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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
FHLC icon
1576
Fidelity MSCI Health Care Index ETF
FHLC
$3.37B
– –
-70
Closed -$3K
FHI icon
1577
Federated Hermes
FHI
$4.72B
– –
-201
Closed -$6K
FIXD icon
1578
First Trust Smith Opportunistic Fixed Income ETF
FIXD
$3.24B
– –
-210
Closed -$11K
FL
1579
DELISTED
Foot Locker
FL
$0 ﹤0.01%
1
– –
FLR icon
1580
Fluor
FLR
$7.96B
– –
-178
Closed -$3K
FNDC icon
1581
Schwab Fundamental International Small Company Index ETF
FNDC
$3.16B
$0 ﹤0.01%
18
– –
FNDE icon
1582
Schwab Fundamental Emerging Markets Large Company Index ETF
FNDE
$10B
$0 ﹤0.01%
29
– –
FNDF icon
1583
Schwab Fundamental International Large Company Index ETF
FNDF
$25.7B
$0 ﹤0.01%
29
– –
FR icon
1584
First Industrial Realty Trust
FR
$8.44B
– –
-260
Closed -$10K
FTLS icon
1585
First Trust Long/Short Equity ETF
FTLS
$2.49B
– –
-842
Closed -$34K
FUL icon
1586
H.B. Fuller
FUL
$3.28B
$0 ﹤0.01%
19
– –
FXL icon
1587
First Trust Technology AlphaDEX Fund
FXL
$2.79B
– –
-815
Closed -$53K
FXY icon
1588
Invesco CurrencyShares Japanese Yen Trust
FXY
$431M
– –
-3,212
Closed -$282K
FYX icon
1589
First Trust Small Cap Core AlphaDEX Fund
FYX
$1.41B
– –
-217
Closed -$13K
GEN icon
1590
Gen Digital
GEN
$17.5B
$0 ﹤0.01%
2
– –
GMED icon
1591
Globus Medical
GMED
$11.2B
– –
-38
Closed -$1K
GRFS
1592
Grifois
GRFS
$5.4B
– –
-313
Closed -$6K
GXC icon
1593
State Street SPDR S&P China ETF
GXC
$482M
– –
-20
Closed -$1K
HDEF icon
1594
Xtrackers MSCI EAFE High Dividend Yield Equity ETF
HDEF
$2.36B
– –
-500
Closed -$11K
HELE icon
1595
Helen of Troy
HELE
$693M
– –
-14
Closed -$2K
HLF icon
1596
Herbalife
HLF
$1.29B
$0 ﹤0.01%
2
– –
HNI icon
1597
HNI Corp
HNI
$3.59B
$0 ﹤0.01%
12
– –
HRI icon
1598
Herc Holdings
HRI
$5.61B
– –
-13
Closed –
HRTG icon
1599
Heritage Insurance Holdings
HRTG
$991M
$0 ﹤0.01%
2
– –
HUBB icon
1600
Hubbell
HUBB
$27.2B
$0 ﹤0.01%
6
– –
62 63
64
65 66

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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.