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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
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BBWI icon
1526
Bath & Body Works
BBWI
$3.86B
$0 ﹤0.01%
14
-154
-92% -$4.47K
BCX icon
1527
BlackRock Resources & Commodities Strategy Trust
BCX
$965M
$0 ﹤0.01%
98
– –
BEN icon
1528
Franklin Resources
BEN
$17.1B
– –
-4
Closed –
BHF icon
1529
Brighthouse Financial
BHF
$3.43B
$0 ﹤0.01%
6
– –
BKH icon
1530
Black Hills Corp
BKH
$5.59B
– –
-2
Closed –
BLV icon
1531
Vanguard Long-Term Bond ETF
BLV
$5.71B
– –
-15
Closed -$1K
BOKF icon
1532
BOK Financial
BOKF
$8.75B
$0 ﹤0.01%
12
– –
STEX
1533
Streamex Corp
STEX
$82.2M
– –
-243
Closed -$11K
BVN icon
1534
Compañía de Minas Buenaventura
BVN
$8.76B
– –
-1
Closed –
BZH icon
1535
Beazer Homes USA
BZH
$877M
– –
-2
Closed –
CAC icon
1536
Camden National
CAC
$976M
– –
-25
Closed –
CAH icon
1537
Cardinal Health
CAH
$55.7B
– –
-59
Closed -$2K
CAMT icon
1538
Camtek
CAMT
$7.47B
– –
-2
Closed –
CARS icon
1539
Cars.com
CARS
$639M
– –
-1
Closed –
CASY icon
1540
Casey's General Stores
CASY
$31.2B
– –
-135
Closed -$23K
CATY icon
1541
Cathay General Bancorp
CATY
$4.25B
– –
-30
Closed –
CDP icon
1542
COPT Defense Properties
CDP
$4.13B
– –
-33
Closed –
CHRD icon
1543
Chord Energy
CHRD
$7.66B
– –
-37,280
Closed -$10K
CLSK icon
1544
CleanSpark
CLSK
$2.99B
$0 ﹤0.01%
29
-71
-71% -$904
CNDT icon
1545
Conduent
CNDT
$242M
$0 ﹤0.01%
120
– –
COOP
1546
DELISTED
Mr. Cooper
COOP
– –
-2
Closed –
CWI icon
1547
State Street SPDR MSCI ACWI ex-US ETF
CWI
$2.85B
$0 ﹤0.01%
28
– –
DAKT icon
1548
Daktronics
DAKT
$1.02B
$0 ﹤0.01%
32
– –
DIAX
1549
DELISTED
Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX
– –
-621
Closed -$8K
DK icon
1550
Delek US
DK
$3.91B
$0 ﹤0.01%
24
– –
60 61
62
63 64

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CCT
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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.