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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
IBND icon
1601
State Street SPDR Bloomberg International Corporate Bond ETF
IBND
$463M
– –
-1
Closed –
IDA icon
1602
Idacorp
IDA
$8.2B
$0 ﹤0.01%
1
– –
IEO icon
1603
iShares US Oil & Gas Exploration & Production ETF
IEO
$543M
– –
-3
Closed –
IEX icon
1604
IDEX
IEX
$17.3B
$0 ﹤0.01%
6
– –
IGLB icon
1605
iShares 10+ Year Investment Grade Corporate Bond ETF
IGLB
$2.8B
$0 ﹤0.01%
9
– –
IHF icon
1606
iShares US Healthcare Providers ETF
IHF
$1.27B
– –
-9,820
Closed -$338K
IMNN icon
1607
Imunon
IMNN
$6.77M
– –
0
– –
IPG
1608
DELISTED
Interpublic Group of Companies
IPG
– –
-2
Closed –
IPGP icon
1609
IPG Photonics
IPGP
$3.84B
– –
-46
Closed -$7K
IYE icon
1610
iShares US Energy ETF
IYE
$1.7B
– –
-450
Closed -$15K
JPEM icon
1611
JPMorgan Diversified Return Emerging Markets Equity ETF
JPEM
$395M
$0 ﹤0.01%
15
– –
OPLN
1612
Openlane
OPLN
$4.54B
$0 ﹤0.01%
28
-89
-76% -$2.28K
KBA icon
1613
KraneShares Bosera MSCI China A 50 Connect Index ETF
KBA
$150M
– –
-200
Closed -$6K
KBE icon
1614
State Street SPDR S&P Bank ETF
KBE
$1.71B
– –
-2,100
Closed -$91K
KIE icon
1615
State Street SPDR S&P Insurance ETF
KIE
$688M
$0 ﹤0.01%
21
– –
KN icon
1616
Knowles
KN
$3.34B
– –
-573
Closed -$10K
KR icon
1617
Kroger
KR
$34.8B
– –
-163
Closed -$3K
LASR icon
1618
nLIGHT
LASR
$3.17B
– –
-112
Closed -$2K
LEG icon
1619
Leggett & Platt
LEG
$1.31B
$0 ﹤0.01%
3
– –
LEGR icon
1620
First Trust Indxx Innovative Transaction & Process ETF
LEGR
$133M
$0 ﹤0.01%
+8
New +$239
LFCR icon
1621
Lifecore Biomedical
LFCR
$190M
– –
-200
Closed -$1K
LILA icon
1622
Liberty Latin America Class A
LILA
$1.67B
$0 ﹤0.01%
25
– –
LILAK icon
1623
Liberty Latin America Class C
LILAK
$1.64B
$0 ﹤0.01%
61
– –
LKFN icon
1624
Lakeland Financial Corp
LKFN
$1.53B
– –
-38
Closed -$1K
LPX icon
1625
Louisiana-Pacific
LPX
$5.49B
– –
-252
Closed -$6K
63 64
65
66 67

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6M
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RFA
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RM
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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.