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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
+1.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
-$3.41M
Cap. Flow
-$15.4M
Cap. Flow %
-1.35%
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$10.7M
2
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.7M
3
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$3.4M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$3.08M
5
FOCS
Focus Financial Partners Inc. Class A
FOCS
+$2.02M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$10.1M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.71M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$5.36M
4
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$4.96M
5
JPIN icon
JPMorgan Diversified Return International Equity ETF
JPIN
+$4.7M

Sector Composition

Rank Sector Weight
1 Financials 6.94%
2 Technology 5.89%
3 Healthcare 2.9%
4 Energy 2.34%
5 Consumer Staples 2.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
UN
126
DELISTED
Unilever NV New York Registry Shares
UN
$1.24M 0.11%
20,707
-543
-3% -$32.6K
AMAT icon
127
Applied Materials
AMAT
$428B
$1.21M 0.11%
24,320
+4,116
+20% +$199K
UPS icon
128
United Parcel Service
UPS
$88.9B
$1.19M 0.1%
9,947
-956
-9% -$109K
TOTL icon
129
State Street DoubleLine Total Return Tactical ETF
TOTL
$4.03B
$1.17M 0.1%
+23,807
New +$1.17M
LRFC
130
DELISTED
Logan Ridge Finance Corp
LRFC
$1.17M 0.1%
23,491
– –
AFL icon
131
Aflac
AFL
$62.6B
$1.13M 0.1%
21,561
– –
QQQ icon
132
Invesco QQQ Trust
QQQ
$484B
$1.12M 0.1%
5,938
-690
-10% -$131K
DOW icon
133
Dow Inc
DOW
$21.2B
$1.1M 0.1%
23,127
-2,426
-9% -$114K
EDIV icon
134
State Street SPDR S&P Emerging Markets Dividend ETF
EDIV
$1.23B
$1.07M 0.09%
35,877
+14,037
+64% +$436K
NSC icon
135
Norfolk Southern
NSC
$75.1B
$1.07M 0.09%
5,942
-99
-2% -$18.2K
ORCL icon
136
Oracle
ORCL
$423B
$1.06M 0.09%
19,293
-256
-1% -$14.1K
NUSA icon
137
Nuveen ESG 1-5 Year US Aggregate Bond ETF
NUSA
$34.6M
$1.04M 0.09%
+41,672
New +$1.04M
PDP icon
138
Invesco Dorsey Wright Momentum ETF
PDP
$1.5B
$1.03M 0.09%
16,883
+745
+5% +$45.9K
V icon
139
Visa
V
$677B
$1.02M 0.09%
5,952
-120
-2% -$21.4K
MO icon
140
Altria Group
MO
$114B
$1.01M 0.09%
24,701
-2,393
-9% -$110K
CMCSA icon
141
Comcast
CMCSA
$90B
$1.01M 0.09%
22,327
-135
-0.6% -$5.98K
NKE icon
142
Nike
NKE
$61.9B
$980K 0.09%
10,443
-1,720
-14% -$148K
DDWM icon
143
WisdomTree Dynamic International Equity Fund
DDWM
$1.51B
$976K 0.09%
33,899
+12,965
+62% +$370K
XLF icon
144
State Street Financial Select Sector SPDR ETF
XLF
$58.2B
$976K 0.09%
34,871
+52
+0.1% +$1.44K
VFMF icon
145
Vanguard US Multifactor ETF
VFMF
$733M
$966K 0.08%
12,781
+1,613
+14% +$121K
CEMB icon
146
iShares JPMorgan EM Corporate Bond ETF
CEMB
$405M
$957K 0.08%
18,701
+8,041
+75% +$411K
MLPX icon
147
Global X MLP & Energy Infrastructure ETF
MLPX
$3.53B
$950K 0.08%
25,751
-528
-2% -$19.6K
DBEF icon
148
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
$9.39B
$943K 0.08%
29,160
+8,004
+38% +$253K
VGT icon
149
Vanguard Information Technology ETF
VGT
$149B
$943K 0.08%
35,032
+648
+2% +$17.4K
KMB icon
150
Kimberly-Clark
KMB
$36.5B
$920K 0.08%
6,481
+1,391
+27% +$191K
4 5
6
7 8

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NFG
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6M
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RFA
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CCT
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CC
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RM
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Carroll Financial Associates's Q3 2019 Portfolio in Review

As of Q3 2019, Carroll Financial Associates held 1,848 positions worth $1.14B, down 0.3% from $1.15B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates's Q3 2019 filing shows 95 new, 278 increased, 448 reduced and 159 closed positions. Its largest new stake was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M. The largest sale was iShares 3-7 Year Treasury Bond ETF, an estimated $10.1M.

By sector, the portfolio is most concentrated in Financials at 6.9% of assets, up from 6.8% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2019 buy was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q3 2019, an estimated $10.7M increase.
  • Carroll Financial Associates's biggest Q3 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $10.1M.
  • Carroll Financial Associates fully exited iShares US Healthcare Providers ETF in Q3 2019, selling an estimated $338K.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.14B portfolio in Q3 2019.
  • Carroll Financial Associates opened 95 new positions and closed 159 in Q3 2019.
  • Carroll Financial Associates's portfolio value fell 0.3% quarter-over-quarter to $1.14B.

Based on Carroll Financial Associates's 13F filing for Q3 2019, filed 9 Oct 2019.