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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
-0.55%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.79B
AUM Growth
+$22.2M
Cap. Flow
+$37.5M
Cap. Flow %
2.1%
Top 10 Hldgs %
43.07%
Holding
2,036
New
245
Increased
533
Reduced
393
Closed
104

Top Buys

Rank Stock Value
1
ARMR
Armor US Equity Index ETF
ARMR
+$16.3M
2
SPD icon
Simplify US Equity PLUS Downside Convexity ETF
SPD
+$9.62M
3
VFMF icon
Vanguard US Multifactor ETF
VFMF
+$4.73M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.93M
5
RAAX icon
VanEck Inflation Allocation ETF
RAAX
+$3.78M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.86M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.21M
3
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$2.99M
4
ADER
26 Capital Acquisition Corp
ADER
+$2.49M
5
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$1.98M

Sector Composition

Rank Sector Weight
1 Technology 6.94%
2 Financials 5.81%
3 Healthcare 2.4%
4 Consumer Discretionary 2.07%
5 Consumer Staples 1.68%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CAH icon
1401
Cardinal Health
CAH
$55.5B
$4K ﹤0.01%
98
+84
+600% +$4.56K
CATO icon
1402
Cato Corp
CATO
$66.3M
$4K ﹤0.01%
255
-400
-61% -$6.68K
CE icon
1403
Celanese
CE
$4.88B
$4K ﹤0.01%
30
– –
CIK
1404
Credit Suisse Asset Management Income Fund
CIK
$134M
$4K ﹤0.01%
1,373
– –
CLVT icon
1405
Clarivate
CLVT
$1.21B
$4K ﹤0.01%
227
– –
CLW icon
1406
Clearwater Paper
CLW
$368M
$4K ﹤0.01%
119
– –
DBC icon
1407
Invesco DB Commodity Index Tracking Fund
DBC
$1.72B
$4K ﹤0.01%
219
– –
DBEU icon
1408
Xtrackers MSCI Europe Hedged Equity ETF
DBEU
$799M
$4K ﹤0.01%
127
– –
DFAU icon
1409
Dimensional US Core Equity Market ETF
DFAU
$12.8B
$4K ﹤0.01%
+139
New +$4.29K
ENFR icon
1410
Alerian Energy Infrastructure ETF
ENFR
$521M
$4K ﹤0.01%
229
-7,341
-97% -$141K
ENS icon
1411
EnerSys
ENS
$6.79B
$4K ﹤0.01%
64
– –
EWBC icon
1412
East-West Bancorp
EWBC
$18.1B
$4K ﹤0.01%
53
+12
+29% +$873
EWN icon
1413
iShares MSCI Netherlands ETF
EWN
$708M
$4K ﹤0.01%
+87
New +$4.41K
EWZ icon
1414
iShares MSCI Brazil ETF
EWZ
$8.91B
$4K ﹤0.01%
+125
New +$4.57K
FEX icon
1415
First Trust Large Cap Core AlphaDEX Fund
FEX
$1.61B
$4K ﹤0.01%
56
– –
FUL icon
1416
H.B. Fuller
FUL
$3.29B
$4K ﹤0.01%
62
– –
GH icon
1417
Guardant Health
GH
$22.4B
$4K ﹤0.01%
36
– –
HII icon
1418
Huntington Ingalls Industries
HII
$13B
$4K ﹤0.01%
24
– –
HIMX
1419
Himax Technologies
HIMX
$2.57B
$4K ﹤0.01%
386
– –
INDA icon
1420
iShares MSCI India ETF
INDA
$6.6B
$4K ﹤0.01%
100
– –
JAZZ icon
1421
Jazz Pharmaceuticals
JAZZ
$16.7B
$4K ﹤0.01%
34
-374
-92% -$56.5K
KLIC icon
1422
Kulicke & Soffa
KLIC
$4.53B
$4K ﹤0.01%
73
– –
LAD icon
1423
Lithia Motors
LAD
$8.35B
$4K ﹤0.01%
15
-143
-91% -$49.8K
LBTYK icon
1424
Liberty Global Class C
LBTYK
$3.41B
$4K ﹤0.01%
156
– –
LOCO icon
1425
El Pollo Loco
LOCO
$463M
$4K ﹤0.01%
276
– –
55 56
57
58 59

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Carroll Financial Associates's Q3 2021 Portfolio in Review

As of Q3 2021, Carroll Financial Associates held 2,036 positions worth $1.79B, up 1.3% from $1.77B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Carroll Financial Associates's Q3 2021 filing shows 245 new, 533 increased, 393 reduced and 104 closed positions. Its largest new stake was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M. The largest sale was State Street SPDR S&P 500 ETF Trust, an estimated $8.86M.

By sector, the portfolio is most concentrated in Technology at 6.9% of assets, down from 7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2021 buy was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M.
  • Carroll Financial Associates added most to Armor US Equity Index ETF in Q3 2021, an estimated $16.3M increase.
  • Carroll Financial Associates's biggest Q3 2021 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.86M.
  • Carroll Financial Associates fully exited VanEck Semiconductor ETF in Q3 2021, selling an estimated $838K.
  • Carroll Financial Associates's ten largest holdings make up 43% of its $1.79B portfolio in Q3 2021.
  • Carroll Financial Associates opened 245 new positions and closed 104 in Q3 2021.
  • Carroll Financial Associates's portfolio value rose 1.3% quarter-over-quarter to $1.79B.

Based on Carroll Financial Associates's 13F filing for Q3 2021, filed 7 Oct 2021.