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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
AGI icon
1501
Alamos Gold
AGI
$13.9B
– –
-1,100
Closed -$6K
AIN icon
1502
Albany International
AIN
$1.78B
$0 ﹤0.01%
10
– –
AIRI icon
1503
Air Industries Group
AIRI
$12.8M
$0 ﹤0.01%
1
– –
AMRX icon
1504
Amneal Pharmaceuticals
AMRX
$5.79B
$0 ﹤0.01%
42
-3
-7% -$10
APAM icon
1505
Artisan Partners
APAM
$3.02B
$0 ﹤0.01%
25
– –
APTV icon
1506
Aptiv
APTV
$10.3B
– –
-62
Closed -$5K
AQB icon
1507
AquaBounty Technologies
AQB
$6.02M
$0 ﹤0.01%
1
– –
ARLO icon
1508
Arlo Technologies
ARLO
$1.65B
$0 ﹤0.01%
49
– –
ASML icon
1509
ASML
ASML
$669B
– –
-48
Closed -$9K
ASX icon
1510
ASE Group
ASX
$82.2B
– –
-10
Closed –
AU icon
1511
AngloGold Ashanti
AU
$48.7B
– –
-12,771
Closed -$227K
AUDC icon
1512
AudioCodes
AUDC
$253M
$0 ﹤0.01%
1
– –
BAC.PRL icon
1513
Bank of America Series L
BAC.PRL
$3.99B
– –
-10
Closed -$13K
BATRA icon
1514
Atlanta Braves Holdings Series A
BATRA
$3.43B
$0 ﹤0.01%
7
– –
BATRK icon
1515
Atlanta Braves Holdings Series B
BATRK
$3.21B
$0 ﹤0.01%
16
– –
BBAR icon
1516
BBVA Argentina
BBAR
$3.49B
$0 ﹤0.01%
1
– –
BBD icon
1517
Banco Bradesco
BBD
$36.7B
$0 ﹤0.01%
3
– –
BCS icon
1518
Barclays
BCS
$94.1B
– –
-272
Closed -$1.97K
BCX icon
1519
BlackRock Resources & Commodities Strategy Trust
BCX
$923M
– –
-836
Closed -$6K
BJRI icon
1520
BJ's Restaurants
BJRI
$1.48B
– –
-32
Closed -$1K
BKH icon
1521
Black Hills Corp
BKH
$5.69B
$0 ﹤0.01%
2
– –
BLCN
1522
DELISTED
Siren ETF Trust Siren NexGen Economy ETF
BLCN
$0 ﹤0.01%
+10
New +$233
BLKB icon
1523
Blackbaud
BLKB
$2.08B
$0 ﹤0.01%
9
– –
BLOK icon
1524
Amplify Blockchain Technology ETF
BLOK
$1.07B
$0 ﹤0.01%
+13
New +$239
BLW icon
1525
BlackRock Limited Duration Income Trust
BLW
$493M
– –
-313
Closed -$4K
59 60
61
62 63

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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.