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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
IDA icon
1601
Idacorp
IDA
$8.2B
$0 ﹤0.01%
1
– –
IGE icon
1602
iShares North American Natural Resources ETF
IGE
$754M
– –
-660
Closed -$19K
IGLB icon
1603
iShares 10+ Year Investment Grade Corporate Bond ETF
IGLB
$2.8B
$0 ﹤0.01%
9
– –
IMNN icon
1604
Imunon
IMNN
$6.77M
– –
0
– –
IYM icon
1605
iShares US Basic Materials ETF
IYM
$1.02B
– –
-165
Closed -$15K
IYR icon
1606
iShares US Real Estate ETF
IYR
$4.57B
– –
-1,938
Closed -$181K
JPEM icon
1607
JPMorgan Diversified Return Emerging Markets Equity ETF
JPEM
$395M
$0 ﹤0.01%
15
– –
OPLN
1608
Openlane
OPLN
$4.54B
$0 ﹤0.01%
28
– –
KIE icon
1609
State Street SPDR S&P Insurance ETF
KIE
$688M
$0 ﹤0.01%
21
– –
LCII icon
1610
LCI Industries
LCII
$2.65B
– –
-18
Closed -$1K
LEGR icon
1611
First Trust Indxx Innovative Transaction & Process ETF
LEGR
$133M
– –
-8
Closed –
LILA icon
1612
Liberty Latin America Class A
LILA
$1.67B
$0 ﹤0.01%
25
– –
LKQ icon
1613
LKQ Corp
LKQ
$6.29B
– –
-281
Closed -$8K
LYB icon
1614
LyondellBasell Industries
LYB
$19.2B
$0 ﹤0.01%
2
– –
LZB icon
1615
La-Z-Boy
LZB
$1.69B
– –
-3,236
Closed -$108K
M icon
1616
Macy's
M
$6.68B
– –
-56
Closed –
MAA icon
1617
Mid-America Apartment Communities
MAA
$15.7B
– –
-14
Closed -$1K
MASI
1618
DELISTED
Masimo
MASI
– –
-1,181
Closed -$175K
MAT icon
1619
Mattel
MAT
$4.23B
– –
-187
Closed -$2K
MBIN icon
1620
Merchants Bancorp
MBIN
$2.49B
$0 ﹤0.01%
3
– –
MDU icon
1621
MDU Resources
MDU
$4.32B
$0 ﹤0.01%
11
– –
MEDP icon
1622
Medpace
MEDP
$16.5B
$0 ﹤0.01%
1
– –
MFA
1623
MFA Financial
MFA
$933M
$0 ﹤0.01%
2
– –
MSA icon
1624
Mine Safety
MSA
$7.49B
– –
-14
Closed -$1K
MT icon
1625
ArcelorMittal
MT
$55.3B
$0 ﹤0.01%
2
– –
63 64
65
66 67

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6M
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RFA
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CCT
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RM
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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.