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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
USA icon
1401
Liberty All-Star Equity Fund
USA
$1.85B
$0 ﹤0.01%
90
+2
+2% +$12
USO icon
1402
United States Oil Fund
USO
$1.67B
– –
-262
Closed -$32K
VECO icon
1403
Veeco
VECO
$3.23B
$0 ﹤0.01%
80
– –
VERU icon
1404
Veru
VERU
$37.4M
$0 ﹤0.01%
+1
New +$14
VIAV icon
1405
Viavi Solutions
VIAV
$9.66B
$0 ﹤0.01%
2
– –
VMO icon
1406
Invesco Municipal Opportunity Trust
VMO
$663M
– –
-1,829
Closed -$20K
VNQI icon
1407
Vanguard Global ex-US Real Estate ETF
VNQI
$3.57B
$0 ﹤0.01%
4
-256
-98% -$13.8K
VTRS icon
1408
Viatris
VTRS
$18.9B
$0 ﹤0.01%
31
– –
WLK icon
1409
Westlake Corp
WLK
$9.9B
– –
-120
Closed -$9K
WPP icon
1410
WPP
WPP
$5.94B
– –
-89
Closed -$6K
X
1411
DELISTED
US Steel
X
$0 ﹤0.01%
34
– –
CPAY icon
1412
Corpay
CPAY
$25.7B
– –
-33
Closed -$7K
PDCO
1413
DELISTED
Patterson Companies, Inc.
PDCO
$0 ﹤0.01%
35
– –
LGTY
1414
DELISTED
Logility Supply Chain Solutions, Inc. Common Stock
LGTY
– –
-400
Closed -$4K
AGR
1415
DELISTED
Avangrid, Inc.
AGR
– –
-360
Closed -$17K
SWN
1416
DELISTED
Southwestern Energy Company
SWN
– –
-117
Closed –
BIG
1417
DELISTED
Big Lots, Inc.
BIG
– –
-79
Closed -$3K
SPWR
1418
DELISTED
SunPower Corporation Common Stock
SPWR
$0 ﹤0.01%
52
– –
IMGN
1419
DELISTED
Immunogen Inc
IMGN
$0 ﹤0.01%
155
-53
-25% -$322
VRTV
1420
DELISTED
VERITIV CORPORATION
VRTV
$0 ﹤0.01%
1
– –
LTRPA
1421
DELISTED
Liberty TripAdvisor Holdings, Inc. Series A
LTRPA
$0 ﹤0.01%
38
– –
CS
1422
DELISTED
Credit Suisse Group
CS
– –
-169
Closed -$2K
MGP
1423
DELISTED
MGM Growth Properties LLC Class A common shares representing limited liability company interests
MGP
$0 ﹤0.01%
20
– –
PBCT
1424
DELISTED
People's United Financial Inc
PBCT
– –
-891
Closed -$15K
PCI
1425
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
– –
-700
Closed -$16K
55 56
57
58 59

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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.