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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
SQBG
1426
DELISTED
Sequential Brands Group, Inc.
SQBG
– –
0
– –
PRSP
1427
DELISTED
Perspecta Inc. Common Stock
PRSP
$0 ﹤0.01%
18
– –
AIG.WS
1428
DELISTED
American International Group, Inc.
AIG.WS
$0 ﹤0.01%
48
– –
HDS
1429
DELISTED
HD Supply Holdings, Inc.
HDS
$0 ﹤0.01%
20
– –
NBL
1430
DELISTED
Noble Energy, Inc.
NBL
$0 ﹤0.01%
40
– –
DLPH
1431
DELISTED
Delphi Technologies PLC Ordinary Shares
DLPH
$0 ﹤0.01%
25
– –
EQM
1432
DELISTED
EQM Midstream Partners, LP
EQM
$0 ﹤0.01%
+5
New +$238
JCP
1433
DELISTED
J.C. Penney Company, Inc.
JCP
$0 ﹤0.01%
25
– –
NRE
1434
DELISTED
NorthStar Realty Europe Corp.
NRE
$0 ﹤0.01%
45
– –
WFT
1435
DELISTED
Weatherford International plc
WFT
– –
-2,634
Closed -$7K
MFGP
1436
DELISTED
Micro Focus International plc. American Depositary Shares, each representing One Ordinary Share
MFGP
$0 ﹤0.01%
25
-11
-31% -$236
ATHN
1437
DELISTED
Athenahealth, Inc.
ATHN
– –
-92
Closed -$12K
CYHHZ
1438
DELISTED
Community Health Systems, Inc. Series A Contingent Value Rights
CYHHZ
$0 ﹤0.01%
189
– –
SCG
1439
DELISTED
Scana
SCG
– –
-20,499
Closed -$797K
BSCI
1440
DELISTED
Invesco BulletShares 2018 Corporate Bond ETF
BSCI
– –
-520
Closed -$10K
BSJI
1441
DELISTED
Invesco BulletShares 2018 High Yield Corporate Bond ETF
BSJI
– –
-1,250
Closed -$31K
ESRX
1442
DELISTED
Express Scripts Holding Company
ESRX
– –
-3,109
Closed -$295K
SEP
1443
DELISTED
Spectra Engy Parters Lp
SEP
– –
-957
Closed -$34K
BCS.PRD.CL
1444
DELISTED
Barclays Bank Plc
BCS.PRD.CL
– –
-4,100
Closed -$106K
OCLR
1445
DELISTED
Oclaro Inc.
OCLR
– –
-2,000
Closed -$17K
AFSI
1446
DELISTED
AmTrust Financial Services, Inc.
AFSI
– –
-507
Closed -$7K
AET
1447
DELISTED
Aetna Inc
AET
– –
-6,616
Closed -$1.34M
COL
1448
DELISTED
Rockwell Collins
COL
– –
-679
Closed -$95K
SNMX
1449
DELISTED
Senomyx, Inc.
SNMX
– –
-125
Closed –
PX
1450
DELISTED
Praxair Inc
PX
– –
-761
Closed -$122K
55 56 57
58
59

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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.