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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
+8.4%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.3B
AUM Growth
+$96.9M
Cap. Flow
+$4.07M
Cap. Flow %
0.31%
Top 10 Hldgs %
48.04%
Holding
1,793
New
90
Increased
315
Reduced
397
Closed
127

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$9.69M
2
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$5.47M
3
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$4.77M
4
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$4.62M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.59M

Top Sells

Rank Stock Value
1
HYLB icon
Xtrackers USD High Yield Corporate Bond ETF
HYLB
+$9.64M
2
NJAN icon
Innovator Growth-100 Power Buffer ETF January
NJAN
+$5.35M
3
AAPL icon
Apple
AAPL
+$5.11M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.48M
5
MSFT icon
Microsoft
MSFT
+$2.41M

Sector Composition

Rank Sector Weight
1 Technology 7.44%
2 Financials 4.98%
3 Healthcare 2.9%
4 Consumer Discretionary 2.43%
5 Consumer Staples 2.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MT icon
1601
ArcelorMittal
MT
$56.1B
$0 ﹤0.01%
2
– –
MTG icon
1602
MGIC Investment
MTG
$6.27B
$0 ﹤0.01%
3
– –
MUR icon
1603
Murphy Oil
MUR
$5.09B
$0 ﹤0.01%
2
– –
MVV icon
1604
ProShares Ultra MidCap400
MVV
$161M
$0 ﹤0.01%
9
– –
NAVI icon
1605
Navient
NAVI
$819M
$0 ﹤0.01%
4
– –
NBIX icon
1606
Neurocrine Biosciences
NBIX
$16.5B
– –
-18
Closed -$2K
NEA icon
1607
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.4B
– –
-710
Closed -$9K
NEAR icon
1608
iShares Short Maturity Bond ETF
NEAR
$4.88B
– –
-17
Closed –
NFG icon
1609
National Fuel Gas
NFG
$7.73B
$0 ﹤0.01%
2
– –
NGD
1610
DELISTED
New Gold Inc
NGD
$0 ﹤0.01%
+80
New +$129
NGG icon
1611
National Grid
NGG
$80.5B
$0 ﹤0.01%
2
-155
-99% -$7.79K
NGVT icon
1612
Ingevity
NGVT
$2.68B
$0 ﹤0.01%
16
– –
NJR icon
1613
New Jersey Resources
NJR
$5.47B
$0 ﹤0.01%
3
– –
NMFC icon
1614
New Mountain Finance
NMFC
$732M
– –
-100
Closed –
NMRK icon
1615
Newmark Group
NMRK
$2.61B
$0 ﹤0.01%
2
-180
-99% -$779
NOK icon
1616
Nokia
NOK
$52.5B
$0 ﹤0.01%
147
– –
NRG icon
1617
NRG Energy
NRG
$25.6B
$0 ﹤0.01%
16
+3
+23% +$99
NTGR icon
1618
NETGEAR
NTGR
$645M
$0 ﹤0.01%
25
– –
NVT icon
1619
nVent Electric
NVT
$27.2B
$0 ﹤0.01%
15
– –
NWSA icon
1620
News Corp Class A
NWSA
$15.5B
$0 ﹤0.01%
15
-25
-63% -$349
ADAM
1621
Adamas Trust
ADAM
$917M
– –
-605
Closed -$6K
ODFL icon
1622
Old Dominion Freight Line
ODFL
$44.3B
– –
-602
Closed -$51K
ON icon
1623
ON Semiconductor
ON
$32.1B
$0 ﹤0.01%
2
– –
OUNZ icon
1624
VanEck Merk Gold Trust
OUNZ
$2.72B
– –
-59,038
Closed -$1.03M
PAG icon
1625
Penske Automotive Group
PAG
$14.3B
– –
-97
Closed -$3K
63 64
65
66 67

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NFG
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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 Q3 2020 Portfolio in Review

As of Q3 2020, Carroll Financial Associates held 1,793 positions worth $1.3B, up 8.1% from $1.2B the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Carroll Financial Associates's Q3 2020 filing shows 90 new, 315 increased, 397 reduced and 127 closed positions. Its largest new stake was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M. The largest sale was Xtrackers USD High Yield Corporate Bond ETF, an estimated $9.64M.

By sector, the portfolio is most concentrated in Technology at 7.4% of assets, down from 7.7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2020 buy was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q3 2020, an estimated $9.69M increase.
  • Carroll Financial Associates's biggest Q3 2020 reduction was Xtrackers USD High Yield Corporate Bond ETF, cutting an estimated $9.64M.
  • Carroll Financial Associates fully exited Global X Scientific Beta US ETF in Q3 2020, selling an estimated $1.49M.
  • Carroll Financial Associates's ten largest holdings make up 48% of its $1.3B portfolio in Q3 2020.
  • Carroll Financial Associates opened 90 new positions and closed 127 in Q3 2020.
  • Carroll Financial Associates's portfolio value rose 8.1% quarter-over-quarter to $1.3B.

Based on Carroll Financial Associates's 13F filing for Q3 2020, filed 6 Oct 2020.