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CFA

Carroll Financial Associates Portfolio holdings

AUM $1.88B
1-Year Est. Return 20.52%
This Fund
S&P 500
This Quarter Est. Return
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CRH icon
1326
CRH
CRH
$67.4B
$3K ﹤0.01%
92
– –
DBC icon
1327
Invesco DB Commodity Index Tracking Fund
DBC
$1.72B
$3K ﹤0.01%
219
– –
DBEU icon
1328
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
$798M
$3K ﹤0.01%
127
– –
FAF icon
1329
First American
FAF
$7.32B
$3K ﹤0.01%
70
+43
+159% +$2.16K
FIW icon
1330
First Trust Water ETF
FIW
$1.94B
$3K ﹤0.01%
45
– –
FMS icon
1331
Fresenius Medical Care
FMS
$12.7B
$3K ﹤0.01%
80
– –
FUL icon
1332
H.B. Fuller
FUL
$3.34B
$3K ﹤0.01%
62
-19
-23% -$963
ICUI icon
1333
ICU Medical
ICUI
$4.55B
$3K ﹤0.01%
15
– –
IDU icon
1334
iShares US Utilities ETF
IDU
$1.37B
$3K ﹤0.01%
50
– –
JBLU icon
1335
JetBlue
JBLU
$2.19B
$3K ﹤0.01%
235
– –
JNPR
1336
DELISTED
Juniper Networks
JNPR
$3K ﹤0.01%
+161
New +$3.51K
KT icon
1337
KT
KT
$8.83B
$3K ﹤0.01%
288
-154
-35% -$1.62K
KW
1338
DELISTED
Kennedy-Wilson Holdings
KW
$3K ﹤0.01%
192
– –
KWR icon
1339
Quaker Houghton
KWR
$2.94B
$3K ﹤0.01%
12
– –
LBTYK icon
1340
Liberty Global Class C
LBTYK
$3.4B
$3K ﹤0.01%
156
– –
MFC icon
1341
Manulife Financial
MFC
$72.7B
$3K ﹤0.01%
196
-92
-32% -$1.47K
NFJ
1342
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.45B
$3K ﹤0.01%
250
– –
NQP
1343
DELISTED
Nuveen Pennsylvania Quality Municipal Income Fund
NQP
$3K ﹤0.01%
244
– –
OKE icon
1344
Oneok
OKE
$57.7B
$3K ﹤0.01%
84
-683
-89% -$23K
OMCL icon
1345
Omnicell
OMCL
$1.68B
$3K ﹤0.01%
30
– –
ORA icon
1346
Ormat Technologies
ORA
$7.04B
$3K ﹤0.01%
42
– –
PDM
1347
Piedmont Realty Trust
PDM
$1.17B
$3K ﹤0.01%
238
– –
PENN icon
1348
PENN Entertainment
PENN
$2.57B
$3K ﹤0.01%
40
– –
PJP icon
1349
Invesco Pharmaceuticals ETF
PJP
$498M
$3K ﹤0.01%
50
– –
PPT
1350
Franklin Premier Income Trust
PPT
$332M
$3K ﹤0.01%
750
– –
52 53
54
55 56

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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.