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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
THRM icon
1476
Gentherm
THRM
$1.27B
$1K ﹤0.01%
38
– –
TK icon
1477
Teekay
TK
$985M
$1K ﹤0.01%
300
– –
TRGP icon
1478
Targa Resources
TRGP
$55.1B
$1K ﹤0.01%
46
– –
UBSI icon
1479
United Bankshares
UBSI
$6.62B
$1K ﹤0.01%
34
– –
UMBF icon
1480
UMB Financial
UMBF
$11.1B
$1K ﹤0.01%
27
– –
VECO icon
1481
Veeco
VECO
$3.23B
$1K ﹤0.01%
80
– –
VNO icon
1482
Vornado Realty Trust
VNO
$7.38B
$1K ﹤0.01%
23
– –
VSS icon
1483
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11.9B
$1K ﹤0.01%
17
– –
VYGR icon
1484
Voyager Therapeutics
VYGR
$201M
$1K ﹤0.01%
100
– –
WASH icon
1485
Washington Trust Bancorp
WASH
$741M
$1K ﹤0.01%
21
– –
WBS icon
1486
Webster Financial
WBS
$12.8B
$1K ﹤0.01%
35
– –
X
1487
DELISTED
US Steel
X
$1K ﹤0.01%
145
– –
ZROZ icon
1488
PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund
ZROZ
$1.32B
$1K ﹤0.01%
15
– –
INEQ
1489
Columbia International Equity Income ETF
INEQ
$105M
$1K ﹤0.01%
70
– –
BCPC
1490
Balchem Corp
BCPC
$5.72B
$1K ﹤0.01%
11
– –
BECN
1491
DELISTED
Beacon Roofing Supply, Inc.
BECN
$1K ﹤0.01%
49
– –
HA
1492
DELISTED
Hawaiian Holdings, Inc.
HA
$1K ﹤0.01%
37
– –
IMGN
1493
DELISTED
Immunogen Inc
IMGN
$1K ﹤0.01%
221
+66
+43% +$224
CSII
1494
DELISTED
Cardiovascular Systems, Inc.
CSII
$1K ﹤0.01%
26
– –
STOR
1495
DELISTED
STORE Capital Corporation
STOR
$1K ﹤0.01%
38
– –
MGLN
1496
DELISTED
Magellan Health Services, Inc.
MGLN
$1K ﹤0.01%
15
– –
BMTC
1497
DELISTED
Bryn Mawr Bank Corp
BMTC
$1K ﹤0.01%
26
– –
VTA
1498
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
$1K ﹤0.01%
106
– –
CLDR
1499
DELISTED
Cloudera, Inc.
CLDR
$1K ﹤0.01%
100
– –
BPYU
1500
DELISTED
Brookfield Property REIT Inc. Class A Common Stock
BPYU
$1K ﹤0.01%
90
– –
58 59
60
61 62

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NFG
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6M
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RFA
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CCT
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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.