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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
-12.12%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$899M
AUM Growth
-$46.6M
Cap. Flow
+$64.5M
Cap. Flow %
7.17%
Top 10 Hldgs %
51.54%
Holding
1,465
New
87
Increased
269
Reduced
314
Closed
79

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$95.8M
2
ARKK icon
ARK Innovation ETF
ARKK
+$3.83M
3
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$3.05M
4
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$2.76M
5
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$2.26M

Top Sells

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$26.6M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.04M
3
RTX icon
RTX Corp
RTX
+$4.17M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.03M
5
RNRG icon
Global X Renewable Energy Producers ETF
RNRG
+$3.43M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Technology 5.12%
3 Healthcare 3.27%
4 Energy 2.86%
5 Consumer Staples 2.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NCZ
1351
Virtus Convertible & Income Fund II
NCZ
$301M
– –
-750
Closed -$18K
NEA icon
1352
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.42B
– –
-1,398
Closed -$17K
NMI icon
1353
Nuveen Municipal Income
NMI
$130M
– –
-435
Closed -$4K
NNN icon
1354
NNN REIT
NNN
$8.99B
– –
-470
Closed -$21K
NRG icon
1355
NRG Energy
NRG
$24.8B
$0 ﹤0.01%
7
-1
-13% -$38
NRT
1356
North European Oil Royalty Trust
NRT
$81M
$0 ﹤0.01%
65
– –
NTGR icon
1357
NETGEAR
NTGR
$635M
$0 ﹤0.01%
25
– –
NUSC icon
1358
Nuveen ESG Small-Cap ETF
NUSC
$1.33B
$0 ﹤0.01%
38
– –
NVT icon
1359
nVent Electric
NVT
$26.7B
$0 ﹤0.01%
15
-68
-82% -$1.65K
NWSA icon
1360
News Corp Class A
NWSA
$15.4B
$0 ﹤0.01%
40
– –
IMDX
1361
Insight Molecular Diagnostics
IMDX
$156M
– –
-43
Closed -$2K
OMEX icon
1362
Odyssey Marine Exploration
OMEX
$51.8M
– –
-9
Closed –
PFIG icon
1363
Invesco Fundamental Investment Grade Corporate Bond ETF
PFIG
$118M
$0 ﹤0.01%
24
– –
PHDG icon
1364
Invesco S&P 500 Downside Hedged ETF
PHDG
$65M
– –
-857
Closed -$25K
PHK
1365
PIMCO High Income Fund
PHK
$880M
$0 ﹤0.01%
7
– –
PICB icon
1366
Invesco International Corporate Bond ETF
PICB
$362M
$0 ﹤0.01%
26
– –
PII icon
1367
Polaris
PII
$4.07B
$0 ﹤0.01%
8
– –
PIPR icon
1368
Piper Sandler
PIPR
$5.29B
$0 ﹤0.01%
16
– –
PJT icon
1369
PJT Partners
PJT
$4.38B
$0 ﹤0.01%
2
-54
-96% -$2.42K
PRTA icon
1370
Prothena Corp
PRTA
$450M
$0 ﹤0.01%
1
– –
PSCD icon
1371
Invesco S&P SmallCap Consumer Discretionary ETF
PSCD
$24.4M
– –
-115
Closed -$7K
PSMT icon
1372
Pricesmart
PSMT
$5.46B
– –
-162
Closed -$13K
RGT
1373
Royce Global Value Trust
RGT
$102M
$0 ﹤0.01%
62
– –
RRC icon
1374
Range Resources
RRC
$8.95B
$0 ﹤0.01%
50
– –
ECHO
1375
EchoStar
ECHO
$26.2B
$0 ﹤0.01%
22
– –
53 54
55
56 57

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NFG
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6M
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RFA
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CCT
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RM
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Carroll Financial Associates's Q4 2018 Portfolio in Review

As of Q4 2018, Carroll Financial Associates held 1,465 positions worth $899M, down 4.9% from $945M the previous quarter. Its ten largest holdings account for 52% of the portfolio.

Carroll Financial Associates deployed $64.5M of net new capital in Q4 2018, opening 87 new positions and adding to 269 existing holdings. Its largest new stake was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, down from 8% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was Invesco FTSE RAFI US 1000 ETF, an estimated $26.6M trimmed.

  • Carroll Financial Associates's largest Q4 2018 buy was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.
  • Carroll Financial Associates added most to ARK Innovation ETF in Q4 2018, an estimated $3.83M increase.
  • Carroll Financial Associates's biggest Q4 2018 reduction was Invesco FTSE RAFI US 1000 ETF, cutting an estimated $26.6M.
  • Carroll Financial Associates fully exited Aetna Inc in Q4 2018, selling an estimated $1.34M.
  • Carroll Financial Associates's ten largest holdings make up 52% of its $899M portfolio in Q4 2018.
  • Carroll Financial Associates opened 87 new positions and closed 79 in Q4 2018.
  • Carroll Financial Associates's portfolio value fell 4.9% quarter-over-quarter to $899M.

Based on Carroll Financial Associates's 13F filing for Q4 2018, filed 11 Jan 2019.