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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
ATSG
1401
DELISTED
Air Transport Services Group
ATSG
$2K ﹤0.01%
100
– –
HYB
1402
DELISTED
New America High Income Fund, Inc.
HYB
$2K ﹤0.01%
240
– –
PACW
1403
DELISTED
PacWest Bancorp
PACW
$2K ﹤0.01%
69
– –
AIMC
1404
DELISTED
Altra Industrial Motion Corp
AIMC
$2K ﹤0.01%
59
– –
IAA
1405
DELISTED
IAA, Inc. Common Stock
IAA
$2K ﹤0.01%
52
– –
MBII
1406
DELISTED
Marrone Bio Innovations, Inc.
MBII
$2K ﹤0.01%
2,000
– –
NUAN
1407
DELISTED
Nuance Communications, Inc.
NUAN
$2K ﹤0.01%
134
-21
-14% -$348
GWB
1408
DELISTED
Great Western Bancorp, Inc.
GWB
$2K ﹤0.01%
60
– –
WORK
1409
DELISTED
Slack Technologies, Inc.
WORK
$2K ﹤0.01%
118
-300
-72% -$6.68K
NAV
1410
DELISTED
Navistar International
NAV
$2K ﹤0.01%
75
– –
CRC
1411
DELISTED
California Resources Corporation
CRC
$2K ﹤0.01%
300
– –
SBNY
1412
DELISTED
Signature Bank
SBNY
$2K ﹤0.01%
17
– –
AAON icon
1413
Aaon
AAON
$7.77B
$1K ﹤0.01%
35
– –
ACCO icon
1414
Acco Brands
ACCO
$407M
$1K ﹤0.01%
159
– –
ACHC icon
1415
Acadia Healthcare
ACHC
$2.94B
$1K ﹤0.01%
45
– –
ALE
1416
DELISTED
Allete
ALE
$1K ﹤0.01%
19
– –
ARWR icon
1417
Arrowhead Research
ARWR
$12.4B
$1K ﹤0.01%
+25
New +$1.24K
BHF icon
1418
Brighthouse Financial
BHF
$3.5B
$1K ﹤0.01%
42
-42
-50% -$1.65K
BOE icon
1419
BlackRock Enhanced Global Dividend Trust
BOE
$684M
$1K ﹤0.01%
149
– –
BOKF icon
1420
BOK Financial
BOKF
$8.74B
$1K ﹤0.01%
12
– –
CAC icon
1421
Camden National
CAC
$976M
$1K ﹤0.01%
25
– –
CATY icon
1422
Cathay General Bancorp
CATY
$4.24B
$1K ﹤0.01%
30
– –
CFR icon
1423
Cullen/Frost Bankers
CFR
$10.2B
$1K ﹤0.01%
15
– –
VISN
1424
Vistance Networks Inc
VISN
$2.52B
$1K ﹤0.01%
100
– –
CRL icon
1425
Charles River Laboratories
CRL
$12.8B
$1K ﹤0.01%
8
– –
55 56
57
58 59

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RM
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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.