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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
DOCU
1551
DocuSign
DOCU
$11.5B
– –
-764
Closed -$164K
DOG
1552
ProShares Short Dow30
DOG
$87M
$0 ﹤0.01%
12
– –
DVN icon
1553
Devon Energy
DVN
$50.1B
– –
-187
Closed -$1K
DWSH icon
1554
AdvisorShares Dorsey Wright Short ETF
DWSH
$6.19M
– –
-1,960
Closed -$37K
DXC icon
1555
DXC Technology
DXC
$1.75B
$0 ﹤0.01%
8
– –
EBND icon
1556
State Street SPDR Bloomberg Emerging Markets Local Bond ETF
EBND
$2.28B
– –
-5
Closed –
EDV icon
1557
Vanguard World Funds Extended Duration ETF
EDV
$3.48B
– –
-936
Closed -$154K
EGBN icon
1558
Eagle Bancorp
EGBN
$850M
– –
-15
Closed –
EJUL icon
1559
Innovator Emerging Markets Power Buffer ETF July
EJUL
$187M
– –
-181,830
Closed -$4.6M
ENFR icon
1560
Alerian Energy Infrastructure ETF
ENFR
$520M
$0 ﹤0.01%
11
– –
ERC
1561
Allspring Multi-Sector Income Fund
ERC
$261M
$0 ﹤0.01%
20
– –
ERIC icon
1562
Ericsson
ERIC
$33.1B
$0 ﹤0.01%
20
– –
EWD icon
1563
iShares MSCI Sweden ETF
EWD
$592M
$0 ﹤0.01%
20
– –
FALN icon
1564
iShares Fallen Angels USD Bond ETF
FALN
$1.6B
– –
-6
Closed –
DMC
1565
Del Monte Corp
DMC
$1.45B
– –
-1
Closed –
FL
1566
DELISTED
Foot Locker
FL
– –
-1
Closed –
FLEX icon
1567
Flex
FLEX
$44.6B
– –
-169
Closed -$1K
FLO icon
1568
Flowers Foods
FLO
$1.54B
– –
-163
Closed -$3K
FNDC icon
1569
Schwab Fundamental International Small Company Index ETF
FNDC
$3.16B
$0 ﹤0.01%
18
– –
FNDE icon
1570
Schwab Fundamental Emerging Markets Large Company Index ETF
FNDE
$10B
$0 ﹤0.01%
29
– –
FNDF icon
1571
Schwab Fundamental International Large Company Index ETF
FNDF
$25.7B
$0 ﹤0.01%
29
– –
FREL icon
1572
Fidelity MSCI Real Estate Index ETF
FREL
$1.46B
$0 ﹤0.01%
39
– –
GATX icon
1573
GATX Corp
GATX
$6.28B
$0 ﹤0.01%
5
– –
GT icon
1574
Goodyear
GT
$1.77B
$0 ﹤0.01%
38
– –
GTX icon
1575
Garrett Motion
GTX
$5.45B
$0 ﹤0.01%
91
+10
+12% –
61 62
63
64 65

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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.