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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
+1.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
-$3.41M
Cap. Flow
-$15.4M
Cap. Flow %
-1.35%
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$10.7M
2
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.7M
3
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$3.4M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$3.08M
5
FOCS
Focus Financial Partners Inc. Class A
FOCS
+$2.02M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$10.1M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.71M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$5.36M
4
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$4.96M
5
JPIN icon
JPMorgan Diversified Return International Equity ETF
JPIN
+$4.7M

Sector Composition

Rank Sector Weight
1 Financials 6.94%
2 Technology 5.89%
3 Healthcare 2.9%
4 Energy 2.34%
5 Consumer Staples 2.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RYAM icon
1351
Rayonier Advanced Materials
RYAM
$610M
$2K ﹤0.01%
671
– –
SIRI icon
1352
SiriusXM
SIRI
$10.1B
$2K ﹤0.01%
44
– –
TRI icon
1353
Thomson Reuters
TRI
$44.1B
$2K ﹤0.01%
42
– –
TX icon
1354
Ternium
TX
$10.6B
$2K ﹤0.01%
156
– –
UNF icon
1355
Unifirst Corp
UNF
$5.25B
$2K ﹤0.01%
12
– –
URE icon
1356
ProShares Ultra Real Estate
URE
$59.7M
$2K ﹤0.01%
28
– –
VIPS icon
1357
Vipshop
VIPS
$7.53B
$2K ﹤0.01%
+250
New +$2.04K
WAL icon
1358
Western Alliance Bancorporation
WAL
$8.87B
$2K ﹤0.01%
50
– –
XT icon
1359
iShares Future Exponential Technologies ETF
XT
$3.97B
$2K ﹤0.01%
71
– –
ZD icon
1360
Ziff Davis
ZD
$1.98B
$2K ﹤0.01%
26
– –
ZROZ icon
1361
PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund
ZROZ
$1.32B
$2K ﹤0.01%
+15
New +$2.07K
ZM icon
1362
Zoom
ZM
$30.6B
$2K ﹤0.01%
+35
New +$3.15K
CMBT
1363
CMB.TECH NV
CMBT
$4.73B
$2K ﹤0.01%
315
– –
BERY
1364
DELISTED
Berry Global Group, Inc.
BERY
$2K ﹤0.01%
60
– –
ATSG
1365
DELISTED
Air Transport Services Group
ATSG
$2K ﹤0.01%
100
– –
HYB
1366
DELISTED
New America High Income Fund, Inc.
HYB
$2K ﹤0.01%
240
– –
FGH
1367
DELISTED
FG Group Holdings Inc.
FGH
$2K ﹤0.01%
700
-3,375
-83% -$10.1K
PACW
1368
DELISTED
PacWest Bancorp
PACW
$2K ﹤0.01%
69
-1
-1% -$36
VMW
1369
DELISTED
VMware, Inc
VMW
$2K ﹤0.01%
14
– –
NOVN
1370
DELISTED
Novan, Inc. Common Stock
NOVN
$2K ﹤0.01%
100
– –
IAA
1371
DELISTED
IAA, Inc. Common Stock
IAA
$2K ﹤0.01%
+52
New +$2.34K
MBII
1372
DELISTED
Marrone Bio Innovations, Inc.
MBII
$2K ﹤0.01%
2,000
– –
NUAN
1373
DELISTED
Nuance Communications, Inc.
NUAN
$2K ﹤0.01%
155
– –
NAV
1374
DELISTED
Navistar International
NAV
$2K ﹤0.01%
75
– –
CCMP
1375
DELISTED
CMC Materials, Inc. Common Stock
CCMP
$2K ﹤0.01%
20
– –
53 54
55
56 57

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Carroll Financial Associates's Q3 2019 Portfolio in Review

As of Q3 2019, Carroll Financial Associates held 1,848 positions worth $1.14B, down 0.3% from $1.15B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates's Q3 2019 filing shows 95 new, 278 increased, 448 reduced and 159 closed positions. Its largest new stake was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M. The largest sale was iShares 3-7 Year Treasury Bond ETF, an estimated $10.1M.

By sector, the portfolio is most concentrated in Financials at 6.9% of assets, up from 6.8% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2019 buy was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q3 2019, an estimated $10.7M increase.
  • Carroll Financial Associates's biggest Q3 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $10.1M.
  • Carroll Financial Associates fully exited iShares US Healthcare Providers ETF in Q3 2019, selling an estimated $338K.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.14B portfolio in Q3 2019.
  • Carroll Financial Associates opened 95 new positions and closed 159 in Q3 2019.
  • Carroll Financial Associates's portfolio value fell 0.3% quarter-over-quarter to $1.14B.

Based on Carroll Financial Associates's 13F filing for Q3 2019, filed 9 Oct 2019.