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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
COOP
1551
DELISTED
Mr. Cooper
COOP
$0 ﹤0.01%
2
– –
CRDF icon
1552
Cardiff Oncology
CRDF
$77.2M
– –
-21
Closed –
CRK icon
1553
Comstock Resources
CRK
$3.94B
$0 ﹤0.01%
1
– –
CRNC icon
1554
Cerence
CRNC
$413M
$0 ﹤0.01%
+16
New +$262
CVGW
1555
DELISTED
Calavo Growers
CVGW
– –
-13
Closed -$1K
CWI icon
1556
State Street SPDR MSCI ACWI ex-US ETF
CWI
$2.85B
$0 ﹤0.01%
28
– –
DAKT icon
1557
Daktronics
DAKT
$1.04B
$0 ﹤0.01%
+32
New +$214
DCI icon
1558
Donaldson
DCI
$11.4B
$0 ﹤0.01%
12
– –
DK icon
1559
Delek US
DK
$3.58B
$0 ﹤0.01%
24
– –
DOG
1560
ProShares Short Dow30
DOG
$86.8M
$0 ﹤0.01%
+12
New +$615
EBND icon
1561
State Street SPDR Bloomberg Emerging Markets Local Bond ETF
EBND
$2.29B
$0 ﹤0.01%
5
– –
EGBN icon
1562
Eagle Bancorp
EGBN
$845M
$0 ﹤0.01%
15
– –
EGP icon
1563
EastGroup Properties
EGP
$10.9B
– –
-5
Closed –
EHC icon
1564
Encompass Health
EHC
$12.4B
$0 ﹤0.01%
11
– –
ELAN icon
1565
Elanco Animal Health
ELAN
$11.1B
$0 ﹤0.01%
25
– –
ENFR icon
1566
Alerian Energy Infrastructure ETF
ENFR
$511M
$0 ﹤0.01%
11
– –
ENTG icon
1567
Entegris
ENTG
$23.2B
– –
-30
Closed -$1K
EOS
1568
Eaton Vance Enhance Equity Income Fund II
EOS
$1.18B
$0 ﹤0.01%
1
– –
EPAM icon
1569
EPAM Systems
EPAM
$5.03B
– –
-9
Closed -$1K
ERIC icon
1570
Ericsson
ERIC
$33.3B
$0 ﹤0.01%
20
– –
EWD icon
1571
iShares MSCI Sweden ETF
EWD
$595M
$0 ﹤0.01%
20
– –
FAD icon
1572
First Trust Multi Cap Growth AlphaDEX Fund
FAD
$594M
– –
-353
Closed -$25K
FALN icon
1573
iShares Fallen Angels USD Bond ETF
FALN
$1.6B
$0 ﹤0.01%
6
– –
FAZ
1574
Direxion Daily Financial Bear 3x ETF
FAZ
$86.7M
– –
0
– –
DMC
1575
Del Monte Corp
DMC
$1.45B
$0 ﹤0.01%
1
– –
61 62
63
64 65

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6M
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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.