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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
FINX icon
1576
Global X FinTech ETF
FINX
$166M
– –
-197
Closed -$5K
FL
1577
DELISTED
Foot Locker
FL
$0 ﹤0.01%
1
– –
FMS icon
1578
Fresenius Medical Care
FMS
$12.9B
– –
-1
Closed –
FNDC icon
1579
Schwab Fundamental International Small Company Index ETF
FNDC
$3.16B
$0 ﹤0.01%
18
– –
FNDE icon
1580
Schwab Fundamental Emerging Markets Large Company Index ETF
FNDE
$10B
$0 ﹤0.01%
29
– –
FNDF icon
1581
Schwab Fundamental International Large Company Index ETF
FNDF
$25.7B
$0 ﹤0.01%
29
– –
FOX icon
1582
Fox Class B
FOX
$23.9B
– –
-266
Closed -$9K
FOXA icon
1583
Fox Class A
FOXA
$26.9B
$0 ﹤0.01%
22
-23
-51% -$796
FTS icon
1584
Fortis
FTS
$28.7B
– –
-14
Closed –
FUL icon
1585
H.B. Fuller
FUL
$3.28B
$0 ﹤0.01%
19
– –
GEN icon
1586
Gen Digital
GEN
$17.5B
$0 ﹤0.01%
2
– –
GEM icon
1587
Goldman Sachs ActiveBeta Emerging Markets Equity ETF
GEM
$1.72B
– –
-928
Closed -$30K
GGZ
1588
Gabelli Global Small and Mid-Cap Value Trust
GGZ
$127M
– –
-6,000
Closed -$69K
GIL icon
1589
Gildan
GIL
$10.6B
– –
-2,794
Closed -$108K
GRPN icon
1590
Groupon
GRPN
$1.02B
– –
0
– –
HDGE icon
1591
AdvisorShares Ranger Equity Bear ETF
HDGE
$53.1M
– –
-25
Closed -$1K
HII icon
1592
Huntington Ingalls Industries
HII
$12.8B
– –
-28
Closed -$6K
HLF icon
1593
Herbalife
HLF
$1.29B
$0 ﹤0.01%
2
– –
HNI icon
1594
HNI Corp
HNI
$3.59B
$0 ﹤0.01%
12
– –
HRI icon
1595
Herc Holdings
HRI
$5.61B
$0 ﹤0.01%
13
– –
HRTG icon
1596
Heritage Insurance Holdings
HRTG
$991M
$0 ﹤0.01%
2
– –
HUBB icon
1597
Hubbell
HUBB
$27.2B
$0 ﹤0.01%
6
– –
HYLB icon
1598
Xtrackers USD High Yield Corporate Bond ETF
HYLB
$3.48B
– –
-1,451
Closed -$58K
IBDQ
1599
DELISTED
iShares iBonds Dec 2025 Term Corporate ETF
IBDQ
– –
-384
Closed -$9K
IBDR icon
1600
iShares iBonds Dec 2026 Term Corporate ETF
IBDR
$3.38B
– –
-188
Closed -$4K
62 63
64
65 66

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6M
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RFA
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CCT
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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.