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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
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MT icon
1601
ArcelorMittal
MT
$55.7B
$0 ﹤0.01%
2
– –
MTG icon
1602
MGIC Investment
MTG
$6.21B
– –
-3
Closed –
MUR icon
1603
Murphy Oil
MUR
$5.09B
– –
-2
Closed –
MVV icon
1604
ProShares Ultra MidCap400
MVV
$161M
$0 ﹤0.01%
9
– –
NAD icon
1605
Nuveen Quality Municipal Income Fund
NAD
$2.77B
– –
-125
Closed -$1K
NAVI icon
1606
Navient
NAVI
$796M
– –
-4
Closed –
NFG icon
1607
National Fuel Gas
NFG
$7.78B
– –
-2
Closed –
NGD
1608
DELISTED
New Gold Inc
NGD
$0 ﹤0.01%
80
– –
NJAN icon
1609
Innovator Growth-100 Power Buffer ETF January
NJAN
$354M
– –
-21,585
Closed -$807K
NJR icon
1610
New Jersey Resources
NJR
$5.45B
– –
-3
Closed –
NMRK icon
1611
Newmark Group
NMRK
$2.52B
– –
-2
Closed –
NOK icon
1612
Nokia
NOK
$51B
$0 ﹤0.01%
147
– –
NOV icon
1613
NOV
NOV
$7.38B
– –
-426
Closed -$3K
NRG icon
1614
NRG Energy
NRG
$25B
$0 ﹤0.01%
10
-6
-38% -$197
NTLA icon
1615
Intellia Therapeutics
NTLA
$1.68B
– –
-744
Closed -$14K
NVT icon
1616
nVent Electric
NVT
$26.3B
$0 ﹤0.01%
15
– –
NWSA icon
1617
News Corp Class A
NWSA
$15.4B
$0 ﹤0.01%
15
– –
OCGN icon
1618
Ocugen
OCGN
$444M
$0 ﹤0.01%
+125
New +$60
OLP
1619
One Liberty Properties
OLP
$512M
$0 ﹤0.01%
11
-2,313
-100% -$41.4K
ON icon
1620
ON Semiconductor
ON
$31.1B
– –
-2
Closed –
PAA icon
1621
Plains All American Pipeline
PAA
$16.4B
– –
-477
Closed -$2K
PAAS icon
1622
Pan American Silver
PAAS
$21.8B
– –
-90
Closed -$2K
PBR icon
1623
Petrobras
PBR
$118B
– –
-201
Closed -$1K
PCG icon
1624
PG&E
PCG
$37.5B
$0 ﹤0.01%
70
+68
+3,400% +$769
PEB icon
1625
Pebblebrook Hotel Trust
PEB
$2B
– –
-4
Closed –
63 64
65
66 67

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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.