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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
BMA icon
1526
Banco Macro
BMA
$5.35B
– –
-73
Closed -$5K
BOKF icon
1527
BOK Financial
BOKF
$8.74B
$0 ﹤0.01%
12
– –
BVN icon
1528
Compañía de Minas Buenaventura
BVN
$8.67B
$0 ﹤0.01%
1
– –
BXC icon
1529
BlueLinx
BXC
$706M
– –
-1,500
Closed -$29K
BXMX
1530
DELISTED
Nuveen S&P 500 Buy-Write Income Fund
BXMX
– –
-392
Closed -$5K
BZH icon
1531
Beazer Homes USA
BZH
$907M
$0 ﹤0.01%
2
– –
CAE icon
1532
CAE Inc. Common Shares
CAE
$8.74B
– –
-2
Closed –
CAKE icon
1533
Cheesecake Factory
CAKE
$5.33B
– –
-141
Closed -$6K
CAMT icon
1534
Camtek
CAMT
$7.25B
$0 ﹤0.01%
2
– –
CARS icon
1535
Cars.com
CARS
$660M
$0 ﹤0.01%
1
– –
CDP icon
1536
COPT Defense Properties
CDP
$4.21B
$0 ﹤0.01%
33
– –
CII icon
1537
BlackRock Enhanced Captial and Income Fund
CII
$1.02B
– –
-1,075
Closed -$16K
CNDT icon
1538
Conduent
CNDT
$264M
$0 ﹤0.01%
120
-11
-8% -$85
COO icon
1539
Cooper Companies
COO
$14.5B
– –
-72
Closed -$6K
COOP
1540
DELISTED
Mr. Cooper
COOP
$0 ﹤0.01%
2
– –
CRDF icon
1541
Cardiff Oncology
CRDF
$77.2M
$0 ﹤0.01%
21
– –
CRI icon
1542
Carter's
CRI
$1.47B
– –
-19
Closed -$1K
CRK icon
1543
Comstock Resources
CRK
$3.94B
$0 ﹤0.01%
+1
New +$7
CSTM icon
1544
Constellium
CSTM
$3.99B
– –
-206
Closed -$2K
CWI icon
1545
State Street SPDR MSCI ACWI ex-US ETF
CWI
$2.85B
$0 ﹤0.01%
28
-1
-3% -$24
CWT icon
1546
California Water Service
CWT
$3.12B
– –
-408
Closed -$20K
DAN icon
1547
Dana Inc
DAN
$3.06B
– –
-38
Closed –
DBL
1548
DoubleLine Opportunistic Credit Fund
DBL
$280M
– –
-218
Closed -$4K
DBO icon
1549
Invesco DB Oil Fund
DBO
$366M
– –
-1
Closed –
DCI icon
1550
Donaldson
DCI
$11.4B
$0 ﹤0.01%
12
– –
60 61
62
63 64

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NFG
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6M
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RFA
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CCT
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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.