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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
LYV icon
1451
Live Nation Entertainment
LYV
$42.1B
$1K ﹤0.01%
16
– –
MMSI icon
1452
Merit Medical Systems
MMSI
$5.32B
$1K ﹤0.01%
37
– –
MMT
1453
Aberdeen Multi-Market Income Fund
MMT
$243M
$1K ﹤0.01%
195
– –
MPWR icon
1454
Monolithic Power Systems
MPWR
$68.9B
$1K ﹤0.01%
7
-1,343
-99% -$214K
MWA icon
1455
Mueller Water Products
MWA
$4.16B
$1K ﹤0.01%
150
– –
NAD icon
1456
Nuveen Quality Municipal Income Fund
NAD
$2.78B
$1K ﹤0.01%
125
– –
NBIX icon
1457
Neurocrine Biosciences
NBIX
$16.6B
$1K ﹤0.01%
18
– –
NGVT icon
1458
Ingevity
NGVT
$2.68B
$1K ﹤0.01%
16
– –
NMFC icon
1459
New Mountain Finance
NMFC
$732M
$1K ﹤0.01%
100
– –
NUSC icon
1460
Nuveen ESG Small-Cap ETF
NUSC
$1.33B
$1K ﹤0.01%
38
– –
OLLI icon
1461
Ollie's Bargain Outlet
OLLI
$4.94B
$1K ﹤0.01%
16
– –
OLN icon
1462
Olin
OLN
$2.12B
$1K ﹤0.01%
112
+1
+0.9% +$18
PFN
1463
PIMCO Income Strategy Fund II
PFN
$703M
$1K ﹤0.01%
118
– –
PKG icon
1464
Packaging Corp of America
PKG
$22.8B
$1K ﹤0.01%
11
– –
POWI icon
1465
Power Integrations
POWI
$3.61B
$1K ﹤0.01%
36
– –
PRIM icon
1466
Primoris Services
PRIM
$4.45B
$1K ﹤0.01%
72
– –
PRK icon
1467
Park National Corp
PRK
$3.67B
$1K ﹤0.01%
19
-1,100
-98% -$110K
SCS
1468
DELISTED
Steelcase
SCS
$1K ﹤0.01%
+50
New +$927
SDIV icon
1469
Global X SuperDividend ETF
SDIV
$1.22B
$1K ﹤0.01%
+23
New +$1.19K
SFIX
1470
Stitch Fix
SFIX
$560M
$1K ﹤0.01%
65
– –
SNDR icon
1471
Schneider National
SNDR
$6.25B
$1K ﹤0.01%
65
– –
SPOT icon
1472
Spotify
SPOT
$100B
$1K ﹤0.01%
9
– –
SSNC icon
1473
SS&C Technologies
SSNC
$18.6B
$1K ﹤0.01%
26
– –
TCBI icon
1474
Texas Capital Bancshares
TCBI
$4.32B
$1K ﹤0.01%
31
– –
TFI icon
1475
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
$3.17B
$1K ﹤0.01%
30
– –
57 58
59
60 61

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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 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.