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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
IART icon
1376
Integra LifeSciences
IART
$1.34B
$2K ﹤0.01%
45
– –
CPTL
1377
Global X Funds Global X Morningstar Capital Allocation Leaders ETF
CPTL
$120M
$2K ﹤0.01%
117
– –
LAD icon
1378
Lithia Motors
LAD
$8.26B
$2K ﹤0.01%
15
– –
LDOS icon
1379
Leidos
LDOS
$17.3B
$2K ﹤0.01%
25
– –
LYTS icon
1380
LSI Industries
LYTS
$924M
$2K ﹤0.01%
340
– –
MPLX icon
1381
MPLX
MPLX
$59.7B
$2K ﹤0.01%
105
– –
NMRK icon
1382
Newmark Group
NMRK
$2.63B
$2K ﹤0.01%
182
– –
NXRT
1383
NexPoint Residential Trust
NXRT
$652M
$2K ﹤0.01%
46
– –
OI icon
1384
O-I Glass
OI
$1.08B
$2K ﹤0.01%
220
– –
OMCL icon
1385
Omnicell
OMCL
$1.68B
$2K ﹤0.01%
30
– –
PFXF icon
1386
VanEck Preferred Securities ex Financials ETF
PFXF
$2.45B
$2K ﹤0.01%
109
-210
-66% -$4.22K
PICB icon
1387
Invesco International Corporate Bond ETF
PICB
$362M
$2K ﹤0.01%
105
-156
-60% -$4.16K
PII icon
1388
Polaris
PII
$4.07B
$2K ﹤0.01%
21
– –
RL icon
1389
Ralph Lauren
RL
$23.6B
$2K ﹤0.01%
18
– –
RSPS icon
1390
Invesco S&P 500 Equal Weight Consumer Staples ETF
RSPS
$247M
$2K ﹤0.01%
70
– –
RYAM icon
1391
Rayonier Advanced Materials
RYAM
$610M
$2K ﹤0.01%
671
– –
SDS icon
1392
ProShares UltraShort S&P500
SDS
$369M
$2K ﹤0.01%
+3
New +$2.06K
TBT icon
1393
ProShares Trust UltraShort Lehman 20+ Year Treasury
TBT
$305M
$2K ﹤0.01%
+76
New +$1.94K
TMFC icon
1394
Motley Fool 100 Index ETF
TMFC
$2.12B
$2K ﹤0.01%
+100
New +$2.37K
UNF icon
1395
Unifirst Corp
UNF
$5.25B
$2K ﹤0.01%
12
– –
URE icon
1396
ProShares Ultra Real Estate
URE
$59.7M
$2K ﹤0.01%
28
– –
WAL icon
1397
Western Alliance Bancorporation
WAL
$8.87B
$2K ﹤0.01%
50
– –
WYNN icon
1398
Wynn Resorts
WYNN
$10.6B
$2K ﹤0.01%
18
-98
-84% -$11.9K
ZM icon
1399
Zoom
ZM
$30.6B
$2K ﹤0.01%
35
– –
BERY
1400
DELISTED
Berry Global Group, Inc.
BERY
$2K ﹤0.01%
60
– –
54 55
56
57 58

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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.