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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
-0.55%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.79B
AUM Growth
+$22.2M
Cap. Flow
+$37.5M
Cap. Flow %
2.1%
Top 10 Hldgs %
43.07%
Holding
2,036
New
245
Increased
533
Reduced
393
Closed
104

Top Buys

Rank Stock Value
1
ARMR
Armor US Equity Index ETF
ARMR
+$16.3M
2
SPD icon
Simplify US Equity PLUS Downside Convexity ETF
SPD
+$9.62M
3
VFMF icon
Vanguard US Multifactor ETF
VFMF
+$4.73M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.93M
5
RAAX icon
VanEck Inflation Allocation ETF
RAAX
+$3.78M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.86M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.21M
3
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$2.99M
4
ADER
26 Capital Acquisition Corp
ADER
+$2.49M
5
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$1.98M

Sector Composition

Rank Sector Weight
1 Technology 6.94%
2 Financials 5.81%
3 Healthcare 2.4%
4 Consumer Discretionary 2.07%
5 Consumer Staples 1.68%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPYM
1501
State Street SPDR Portfolio S&P 500 ETF
SPYM
$169B
$3K ﹤0.01%
78
+22
+39% +$1.14K
SQM icon
1502
Sociedad Química y Minera de Chile
SQM
$20.8B
$3K ﹤0.01%
71
– –
URI icon
1503
United Rentals
URI
$70.8B
$3K ﹤0.01%
10
-37
-79% -$12.4K
VVR icon
1504
Invesco Senior Income Trust
VVR
$459M
$3K ﹤0.01%
875
– –
XNTK icon
1505
State Street SPDR NYSE Technology ETF
XNTK
$2.22B
$3K ﹤0.01%
+23
New +$3.68K
XRX icon
1506
Xerox
XRX
$427M
$3K ﹤0.01%
150
– –
CMBT
1507
CMB.TECH NV
CMBT
$4.67B
$3K ﹤0.01%
315
– –
BERY
1508
DELISTED
Berry Global Group, Inc.
BERY
$3K ﹤0.01%
60
– –
PACW
1509
DELISTED
PacWest Bancorp
PACW
$3K ﹤0.01%
69
– –
ARNC
1510
DELISTED
Arconic Corporation
ARNC
$3K ﹤0.01%
120
– –
XM
1511
DELISTED
Qualtrics International Inc. Class A Common Stock
XM
$3K ﹤0.01%
76
+13
+21% +$550
SEAC
1512
DELISTED
Seachange International Inc
SEAC
$3K ﹤0.01%
175
– –
VCLO
1513
DELISTED
Simplify Volt Cloud and Cybersecurity Disruption ETF
VCLO
$3K ﹤0.01%
+231
New +$3.31K
AIMC
1514
DELISTED
Altra Industrial Motion Corp
AIMC
$3K ﹤0.01%
59
– –
BNFT
1515
DELISTED
Benefitfocus, Inc.
BNFT
$3K ﹤0.01%
330
– –
ESTE
1516
DELISTED
Earthstone Energy Inc. Class A Common Stock
ESTE
$3K ﹤0.01%
330
-391
-54% -$3.59K
REV
1517
DELISTED
Revlon, Inc.
REV
$3K ﹤0.01%
297
– –
SLY
1518
DELISTED
SPDR S&P 600 Small Cap ETF (based on S&P SmallCap 600 Index--symbol SML)
SLY
$3K ﹤0.01%
+42
New +$4K
AAON icon
1519
Aaon
AAON
$7.31B
$2K ﹤0.01%
66
+31
+89% +$1.34K
AME icon
1520
Ametek
AME
$58B
$2K ﹤0.01%
18
+5
+38% +$672
AOS icon
1521
A.O. Smith
AOS
$8.48B
$2K ﹤0.01%
37
-214
-85% -$14.9K
ARI
1522
Apollo Commercial Real Estate
ARI
$871M
$2K ﹤0.01%
150
-5,207
-97% -$79.6K
ASAN icon
1523
Asana
ASAN
$2.13B
$2K ﹤0.01%
+21
New +$1.74K
AVTR icon
1524
Avantor
AVTR
$9.29B
$2K ﹤0.01%
70
-3,627
-98% -$142K
BCV
1525
Bancroft Fund
BCV
$140M
$2K ﹤0.01%
96
– –
59 60
61
62 63

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Carroll Financial Associates's Q3 2021 Portfolio in Review

As of Q3 2021, Carroll Financial Associates held 2,036 positions worth $1.79B, up 1.3% from $1.77B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Carroll Financial Associates's Q3 2021 filing shows 245 new, 533 increased, 393 reduced and 104 closed positions. Its largest new stake was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M. The largest sale was State Street SPDR S&P 500 ETF Trust, an estimated $8.86M.

By sector, the portfolio is most concentrated in Technology at 6.9% of assets, down from 7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2021 buy was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M.
  • Carroll Financial Associates added most to Armor US Equity Index ETF in Q3 2021, an estimated $16.3M increase.
  • Carroll Financial Associates's biggest Q3 2021 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.86M.
  • Carroll Financial Associates fully exited VanEck Semiconductor ETF in Q3 2021, selling an estimated $838K.
  • Carroll Financial Associates's ten largest holdings make up 43% of its $1.79B portfolio in Q3 2021.
  • Carroll Financial Associates opened 245 new positions and closed 104 in Q3 2021.
  • Carroll Financial Associates's portfolio value rose 1.3% quarter-over-quarter to $1.79B.

Based on Carroll Financial Associates's 13F filing for Q3 2021, filed 7 Oct 2021.