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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
+8.4%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.3B
AUM Growth
+$96.9M
Cap. Flow
+$4.07M
Cap. Flow %
0.31%
Top 10 Hldgs %
48.04%
Holding
1,793
New
90
Increased
315
Reduced
397
Closed
127

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$9.69M
2
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$5.47M
3
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$4.77M
4
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$4.62M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.59M

Top Sells

Rank Stock Value
1
HYLB icon
Xtrackers USD High Yield Corporate Bond ETF
HYLB
+$9.64M
2
NJAN icon
Innovator Growth-100 Power Buffer ETF January
NJAN
+$5.35M
3
AAPL icon
Apple
AAPL
+$5.11M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.48M
5
MSFT icon
Microsoft
MSFT
+$2.41M

Sector Composition

Rank Sector Weight
1 Technology 7.44%
2 Financials 4.98%
3 Healthcare 2.9%
4 Consumer Discretionary 2.43%
5 Consumer Staples 2.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VNO icon
1451
Vornado Realty Trust
VNO
$7.33B
$1K ﹤0.01%
37
– –
WOOD icon
1452
iShares Global Timber & Forestry ETF
WOOD
$270M
$1K ﹤0.01%
+30
New +$1.88K
WWD icon
1453
Woodward
WWD
$21B
$1K ﹤0.01%
21
– –
X
1454
DELISTED
US Steel
X
$1K ﹤0.01%
245
+100
+69% +$758
ALTR
1455
DELISTED
Altair Engineering Inc
ALTR
$1K ﹤0.01%
28
-102
-78% -$4.1K
HYB
1456
DELISTED
New America High Income Fund, Inc.
HYB
$1K ﹤0.01%
240
– –
PACW
1457
DELISTED
PacWest Bancorp
PACW
$1K ﹤0.01%
69
– –
FFTI
1458
DELISTED
FormulaFolios Tactical Income ETF
FFTI
$1K ﹤0.01%
58
-188
-76% -$4.52K
CSII
1459
DELISTED
Cardiovascular Systems, Inc.
CSII
$1K ﹤0.01%
26
– –
DS
1460
DELISTED
Drive Shack Inc.
DS
$1K ﹤0.01%
1,000
– –
ZNGA
1461
DELISTED
ZYNGA INC. CL A COMMON
ZNGA
$1K ﹤0.01%
115
– –
MGLN
1462
DELISTED
Magellan Health Services, Inc.
MGLN
$1K ﹤0.01%
15
– –
BPYU
1463
DELISTED
Brookfield Property REIT Inc. Class A Common Stock
BPYU
$1K ﹤0.01%
90
– –
CMD
1464
DELISTED
Cantel Medical Corporation
CMD
$1K ﹤0.01%
25
– –
CFRX
1465
DELISTED
ContraFect Corporation
CFRX
$1K ﹤0.01%
3
– –
SBNY
1466
DELISTED
Signature Bank
SBNY
$1K ﹤0.01%
17
– –
REV
1467
DELISTED
Revlon, Inc.
REV
$1K ﹤0.01%
297
– –
PSXP
1468
DELISTED
PHILLIPS 66 PARTNERS LP
PSXP
$1K ﹤0.01%
79
– –
ACAD icon
1469
Acadia Pharmaceuticals
ACAD
$5.08B
– –
-432
Closed -$20K
ACB
1470
Aurora Cannabis
ACB
$216M
$0 ﹤0.01%
1
– –
ACCO icon
1471
Acco Brands
ACCO
$400M
$0 ﹤0.01%
159
– –
ADNT icon
1472
Adient
ADNT
$1.48B
$0 ﹤0.01%
28
– –
AEO icon
1473
American Eagle Outfitters
AEO
$2.95B
$0 ﹤0.01%
2
– –
AGIO icon
1474
Agios Pharmaceuticals
AGIO
$1.98B
– –
-655
Closed -$35K
AIRI icon
1475
Air Industries Group
AIRI
$12.7M
– –
-1
Closed –
57 58
59
60 61

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Carroll Financial Associates's Q3 2020 Portfolio in Review

As of Q3 2020, Carroll Financial Associates held 1,793 positions worth $1.3B, up 8.1% from $1.2B the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Carroll Financial Associates's Q3 2020 filing shows 90 new, 315 increased, 397 reduced and 127 closed positions. Its largest new stake was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M. The largest sale was Xtrackers USD High Yield Corporate Bond ETF, an estimated $9.64M.

By sector, the portfolio is most concentrated in Technology at 7.4% of assets, down from 7.7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2020 buy was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q3 2020, an estimated $9.69M increase.
  • Carroll Financial Associates's biggest Q3 2020 reduction was Xtrackers USD High Yield Corporate Bond ETF, cutting an estimated $9.64M.
  • Carroll Financial Associates fully exited Global X Scientific Beta US ETF in Q3 2020, selling an estimated $1.49M.
  • Carroll Financial Associates's ten largest holdings make up 48% of its $1.3B portfolio in Q3 2020.
  • Carroll Financial Associates opened 90 new positions and closed 127 in Q3 2020.
  • Carroll Financial Associates's portfolio value rose 8.1% quarter-over-quarter to $1.3B.

Based on Carroll Financial Associates's 13F filing for Q3 2020, filed 6 Oct 2020.