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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
RMAX icon
1351
RE/MAX Holdings
RMAX
$258M
$3K ﹤0.01%
100
– –
SANM icon
1352
Sanmina
SANM
$10.9B
$3K ﹤0.01%
107
– –
SCL icon
1353
Stepan Co
SCL
$1.48B
$3K ﹤0.01%
27
– –
SHBI icon
1354
Shore Bancshares
SHBI
$795M
$3K ﹤0.01%
227
– –
TX icon
1355
Ternium
TX
$10.7B
$3K ﹤0.01%
129
-20
-13% -$493
VVR icon
1356
Invesco Senior Income Trust
VVR
$460M
$3K ﹤0.01%
875
– –
WERN icon
1357
Werner Enterprises
WERN
$2.18B
$3K ﹤0.01%
87
– –
WTW icon
1358
Willis Towers Watson
WTW
$31.8B
$3K ﹤0.01%
17
-7
-29% -$1.44K
XRX icon
1359
Xerox
XRX
$423M
$3K ﹤0.01%
150
– –
BERY
1360
DELISTED
Berry Global Group, Inc.
BERY
$3K ﹤0.01%
60
– –
ATSG
1361
DELISTED
Air Transport Services Group
ATSG
$3K ﹤0.01%
100
– –
ARNC
1362
DELISTED
Arconic Corporation
ARNC
$3K ﹤0.01%
120
– –
AIMC
1363
DELISTED
Altra Industrial Motion Corp
AIMC
$3K ﹤0.01%
59
– –
CCMP
1364
DELISTED
CMC Materials, Inc. Common Stock
CCMP
$3K ﹤0.01%
20
– –
REV
1365
DELISTED
Revlon, Inc.
REV
$3K ﹤0.01%
297
– –
CEO
1366
DELISTED
CNOOC Limited
CEO
$3K ﹤0.01%
34
-18
-35% -$1.78K
ABM icon
1367
ABM Industries
ABM
$2.83B
$2K ﹤0.01%
73
– –
ACHC icon
1368
Acadia Healthcare
ACHC
$2.9B
$2K ﹤0.01%
45
– –
ALLE icon
1369
Allegion
ALLE
$14.3B
$2K ﹤0.01%
23
– –
AMCX icon
1370
AMC Global Media
AMCX
$486M
$2K ﹤0.01%
75
– –
BCV
1371
Bancroft Fund
BCV
$140M
$2K ﹤0.01%
96
– –
CIEN icon
1372
Ciena
CIEN
$54.9B
$2K ﹤0.01%
39
-408
-91% -$18.1K
CNK icon
1373
Cinemark Holdings
CNK
$4.25B
$2K ﹤0.01%
136
– –
CNP icon
1374
CenterPoint Energy
CNP
$26.5B
$2K ﹤0.01%
102
-4
-4% -$89
CRON
1375
Cronos Group
CRON
$1.13B
$2K ﹤0.01%
320
– –
53 54
55
56 57

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6M
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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.