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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
(+9.9%)
Cap. Flow
+$39.5M
Cap. Flow
% of AUM
3.14%
Top 10 Holdings %
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Global X Adaptive US Factor ETF
AUSF
|
+$21.1M |
| 2 |
Vanguard Short-Term Corporate Bond ETF
VCSH
|
+$17.9M |
| 3 |
WisdomTree US MidCap Fund
EZM
|
+$5.8M |
| 4 |
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
|
+$5.05M |
| 5 |
PGIM Ultra Short Bond ETF
PULS
|
+$3.4M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares 3-7 Year Treasury Bond ETF
IEI
|
+$11.3M |
| 2 |
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
|
+$6.74M |
| 3 |
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
|
+$3.09M |
| 4 |
iShares MSCI USA Min Vol Factor ETF
USMV
|
+$2.9M |
| 5 |
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 | |
|---|---|---|---|---|---|---|
126
United Parcel Service
UPS
$88.9B
| $1.15M | 0.09% |
9,856
-91
| -0.9% | -$10.8K |
|
127
Norfolk Southern
NSC
$75.1B
| $1.15M | 0.09% |
5,932
-10
| -0.2% | -$1.88K |
|
128
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.89B
| $1.15M | 0.09% |
41,950
-16,990
| -29% | -$448K |
|
|
FOCS
129
DELISTED
Focus Financial Partners Inc. Class A
FOCS
| $1.14M | 0.09% |
38,701
-77,949
| -67% | -$1.99M |
|
130
Aflac
AFL
$62.6B
| $1.12M | 0.09% |
21,100
-461
| -2% | -$24.5K |
|
131
Vanguard Information Technology ETF
VGT
$149B
| $1.09M | 0.09% |
35,784
+752
| +2% | +$21.5K |
|
132
Invesco Dorsey Wright Momentum ETF
PDP
$1.5B
| $1.08M | 0.09% |
16,863
-20
| -0.1% | -$1.24K |
|
133
Nike
NKE
$61.9B
| $1.08M | 0.09% |
10,622
+179
| +2% | +$16.9K |
|
134
Vanguard Morningstar Mega Cap Growth ETF
MGK
$34.2B
| $1.05M | 0.08% |
36,120
+7,920
| +28% | +$219K |
|
135
State Street Financial Select Sector SPDR ETF
XLF
$58.2B
| $1.04M | 0.08% |
33,878
-993
| -3% | -$29.1K |
|
136
AbbVie
ABBV
$435B
| $1.04M | 0.08% |
11,764
-5
| -0% | -$415 |
|
137
GE Aerospace
GE
$384B
| $1.01M | 0.08% |
18,172
-883
| -5% | -$45.6K |
|
138
Goldman Sachs Access Ultra Short Bond ETF
GSST
$1.58B
| $1M | 0.08% |
+19,805
| New | +$1M |
|
139
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
$2.96B
| $998K | 0.08% |
23,492
-25,555
| -52% | -$1.05M |
|
140
iShares Gold Trust
IAU
$67.5B
| $997K | 0.08% |
34,411
+17,733
| +106% | +$503K |
|
141
Vanguard Morningstar Large-Cap ETF
VV
$54.3B
| $992K | 0.08% |
6,712
+154
| +2% | +$21.8K |
|
142
Caterpillar
CAT
$387B
| $972K | 0.08% |
6,587
+201
| +3% | +$28.1K |
|
143
Meta Platforms (Facebook)
META
$1.51T
| $955K | 0.08% |
4,656
+1,192
| +34% | +$231K |
|
144
Global X MLP & Energy Infrastructure ETF
MLPX
$3.53B
| $949K | 0.08% |
25,762
+11
| +0% | +$386 |
|
145
Costco
COST
$420B
| $946K | 0.08% |
3,218
+216
| +7% | +$64.2K |
|
146
Comcast
CMCSA
$90B
| $919K | 0.07% |
20,442
-1,885
| -8% | -$83.9K |
|
147
Invesco S&P MidCap Low Volatility ETF
XMLV
$748M
| $918K | 0.07% |
17,067
+1,358
| +9% | +$71.9K |
|
148
SPDR Gold Trust
GLD
$141B
| $911K | 0.07% |
6,378
+222
| +4% | +$31K |
|
149
Oracle
ORCL
$423B
| $904K | 0.07% |
17,067
-2,226
| -12% | -$123K |
|
150
Invesco Variable Rate Preferred ETF
VRP
$3.01B
| $893K | 0.07% |
34,583
+3,997
| +13% | +$102K |
|
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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.