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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
+6.77%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.26B
AUM Growth
+$114M
Cap. Flow
+$39.5M
Cap. Flow %
3.14%
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$21.1M
2
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$17.9M
3
EZM icon
WisdomTree US MidCap Fund
EZM
+$5.8M
4
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$5.05M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.4M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$11.3M
2
SPTS icon
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
+$6.74M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$3.09M
4
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$2.9M
5
RWJ icon
Invesco S&P SmallCap 600 Revenue ETF
RWJ
+$2.2M

Sector Composition

Rank Sector Weight
1 Financials 6.77%
2 Technology 6.26%
3 Healthcare 2.89%
4 Consumer Staples 2.13%
5 Energy 2.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CONE
1351
DELISTED
CyrusOne Inc Common Stock
CONE
$3K ﹤0.01%
53
– –
COR
1352
DELISTED
Coresite Realty Corporation
COR
$3K ﹤0.01%
28
– –
ACM icon
1353
Aecom
ACM
$9.75B
$2K ﹤0.01%
65
– –
ALLE icon
1354
Allegion
ALLE
$14.4B
$2K ﹤0.01%
23
-13
-36% -$1.5K
AMCX icon
1355
AMC Global Media
AMCX
$489M
$2K ﹤0.01%
75
– –
ARI
1356
Apollo Commercial Real Estate
ARI
$885M
$2K ﹤0.01%
150
-7,375
-98% -$136K
ATR icon
1357
AptarGroup
ATR
$8.61B
$2K ﹤0.01%
22
– –
BBWI icon
1358
Bath & Body Works
BBWI
$4.1B
$2K ﹤0.01%
168
– –
BCV
1359
Bancroft Fund
BCV
$139M
$2K ﹤0.01%
96
– –
BGC icon
1360
BGC Group
BGC
$4.89B
$2K ﹤0.01%
373
– –
BIO icon
1361
Bio-Rad Laboratories Class A
BIO
$9.42B
$2K ﹤0.01%
7
– –
BRW
1362
Saba Capital Income & Opportunities Fund
BRW
$339M
$2K ﹤0.01%
207
-397
-66% -$3.83K
BTI icon
1363
British American Tobacco
BTI
$128B
$2K ﹤0.01%
51
– –
CAR icon
1364
Avis
CAR
$5.02B
$2K ﹤0.01%
70
– –
CNP icon
1365
CenterPoint Energy
CNP
$26.8B
$2K ﹤0.01%
104
– –
CNS icon
1366
Cohen & Steers
CNS
$4.3B
$2K ﹤0.01%
47
– –
CVCO icon
1367
Cavco Industries
CVCO
$4.55B
$2K ﹤0.01%
12
– –
DORM icon
1368
Dorman Products
DORM
$4.18B
$2K ﹤0.01%
28
– –
EPR icon
1369
EPR Properties
EPR
$4.77B
$2K ﹤0.01%
29
– –
FHB icon
1370
First Hawaiian
FHB
$3.35B
$2K ﹤0.01%
74
– –
FIW icon
1371
First Trust Water ETF
FIW
$1.95B
$2K ﹤0.01%
45
– –
GPK icon
1372
Graphic Packaging
GPK
$3.58B
$2K ﹤0.01%
170
– –
HBAN icon
1373
Huntington Bancshares
HBAN
$35.5B
$2K ﹤0.01%
140
– –
HOG icon
1374
Harley-Davidson
HOG
$2.71B
$2K ﹤0.01%
59
– –
HUN icon
1375
Huntsman Corp
HUN
$1.77B
$2K ﹤0.01%
120
– –
53 54
55
56 57

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Carroll Financial Associates's Q4 2019 Portfolio in Review

As of Q4 2019, Carroll Financial Associates held 1,801 positions worth $1.26B, up 9.9% from $1.14B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates deployed $39.5M of net new capital in Q4 2019, opening 113 new positions and adding to 378 existing holdings. Its largest new stake was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.

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

On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $11.3M trimmed.

  • Carroll Financial Associates's largest Q4 2019 buy was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q4 2019, an estimated $21.1M increase.
  • Carroll Financial Associates's biggest Q4 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $11.3M.
  • Carroll Financial Associates fully exited State Street DoubleLine Total Return Tactical ETF in Q4 2019, selling an estimated $1.17M.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.26B portfolio in Q4 2019.
  • Carroll Financial Associates opened 113 new positions and closed 105 in Q4 2019.
  • Carroll Financial Associates's portfolio value rose 9.9% quarter-over-quarter to $1.26B.

Based on Carroll Financial Associates's 13F filing for Q4 2019, filed 8 Jan 2020.