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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
VEU icon
126
Vanguard FTSE All-World ex-US ETF
VEU
$69.9B
$1.29M 0.1%
25,574
-2,155
-8% -$109K
NUE icon
127
Nucor
NUE
$62.5B
$1.27M 0.1%
28,309
-1,341
-5% -$59.4K
EZM icon
128
WisdomTree US MidCap Fund
EZM
$952M
$1.27M 0.1%
37,111
+4,941
+15% +$170K
OGIG icon
129
ALPS O'Shares Global Internet Giants ETF
OGIG
$115M
$1.25M 0.1%
+28,486
New +$1.19M
CLX icon
130
Clorox
CLX
$13B
$1.25M 0.1%
5,952
-150
-2% -$33.4K
FDX icon
131
FedEx
FDX
$76.9B
$1.22M 0.09%
4,838
-158
-3% -$31.6K
ARKW icon
132
ARK Web x.0 ETF
ARKW
$1.77B
$1.21M 0.09%
11,180
-931
-8% -$94.2K
META icon
133
Meta Platforms (Facebook)
META
$1.52T
$1.21M 0.09%
4,612
+173
+4% +$44.6K
VB icon
134
Vanguard Morningstar Small-Cap ETF
VB
$82.5B
$1.2M 0.09%
7,812
+34
+0.4% +$5.22K
MMM icon
135
3M
MMM
$93.9B
$1.15M 0.09%
8,615
-1,776
-17% -$239K
NSC icon
136
Norfolk Southern
NSC
$75B
$1.14M 0.09%
5,331
-518
-9% -$104K
NKE icon
137
Nike
NKE
$62.5B
$1.14M 0.09%
9,058
-2,896
-24% -$311K
RQI icon
138
Cohen & Steers Quality Income Realty Fund
RQI
$1.68B
$1.13M 0.09%
+101,701
New +$1.13M
COST icon
139
Costco
COST
$423B
$1.12M 0.09%
3,164
+32
+1% +$10.8K
TSLA icon
140
Tesla
TSLA
$1.31T
$1.11M 0.09%
7,767
-1,833
-19% -$216K
BMY icon
141
Bristol-Myers Squibb
BMY
$132B
$1.1M 0.08%
18,253
-900
-5% -$54.2K
AMAT icon
142
Applied Materials
AMAT
$415B
$1.1M 0.08%
18,486
+557
+3% +$34.4K
CVS icon
143
CVS Health
CVS
$122B
$1.08M 0.08%
18,504
-1,248
-6% -$77.7K
ADBE icon
144
Adobe
ADBE
$109B
$1.07M 0.08%
2,188
+33
+2% +$15.4K
HDV
145
iShares Core High Dividend ETF
HDV
$15B
$1.05M 0.08%
65,430
-8,000
-11% -$133K
UN
146
DELISTED
Unilever NV New York Registry Shares
UN
$1.05M 0.08%
17,326
-1,603
-8% -$92.9K
VOT icon
147
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.7B
$1.04M 0.08%
5,798
+298
+5% +$52.5K
RTX icon
148
RTX Corp
RTX
$302B
$1.03M 0.08%
17,847
-723
-4% -$44K
LLY icon
149
Eli Lilly
LLY
$1.1T
$1.02M 0.08%
6,909
-306
-4% -$47.4K
VV icon
150
Vanguard Morningstar Large-Cap ETF
VV
$54.5B
$1.02M 0.08%
6,507
– –
4 5
6
7 8

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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.