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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
IVTY
1451
DELISTED
Invuity, Inc
IVTY
– –
-1,000
Closed -$7K
ETP
1452
DELISTED
Energy Transfer Partners, L.P.
ETP
– –
-1,950
Closed -$43K
GPT
1453
DELISTED
Gramercy Property Trust
GPT
– –
-233
Closed -$6K
WPG
1454
DELISTED
Washington Prime Group Inc.
WPG
$0 ﹤0.01%
7
-27
-79% -$1.51K
ATLS
1455
DELISTED
ATLAS ENERGY GRP,LLC COM UNITS REPSTG LTD (DE)
ATLS
$0 ﹤0.01%
117
– –
NLSN
1456
DELISTED
Nielsen Holdings plc
NLSN
$0 ﹤0.01%
31
– –
CA
1457
DELISTED
CA, Inc.
CA
– –
-7
Closed –
AMU
1458
DELISTED
ETRACS Alerian MLP Index ETN
AMU
$0 ﹤0.01%
48
– –
FTR
1459
DELISTED
Frontier Communications Corp.
FTR
$0 ﹤0.01%
155
-14
-8% -$59
AST
1460
DELISTED
Asterias Biotherapeutics Inc. Series A
AST
– –
-5,150
Closed -$6K
SHPG
1461
DELISTED
Shire pic
SHPG
– –
-213
Closed -$38K
NEWN
1462
DELISTED
NEW ENG SYS GRP COM STK (NV)
NEWN
$0 ﹤0.01%
30
– –
FNSR
1463
DELISTED
Finisar Corp
FNSR
$0 ﹤0.01%
1
– –
GCVRZ
1464
DELISTED
Sanofi Contingent Value Rights
GCVRZ
$0 ﹤0.01%
42
– –
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.