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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
PFEB icon
1626
Innovator US Equity Power Buffer ETF February
PFEB
$923M
– –
-1,379
Closed -$34K
PFIG icon
1627
Invesco Fundamental Investment Grade Corporate Bond ETF
PFIG
$117M
$0 ﹤0.01%
18
– –
PFSI icon
1628
PennyMac Financial
PFSI
$3.94B
– –
-1
Closed –
IFLN
1629
Invesco Bloomberg Enhanced Fallen Angels ETF
IFLN
$306M
– –
-5
Closed –
PHK
1630
PIMCO High Income Fund
PHK
$878M
$0 ﹤0.01%
7
– –
PICB icon
1631
Invesco International Corporate Bond ETF
PICB
$360M
$0 ﹤0.01%
21
– –
PJUL icon
1632
Innovator US Equity Power Buffer ETF July
PJUL
$1.29B
– –
-236,721
Closed -$6.55M
PRK icon
1633
Park National Corp
PRK
$3.63B
– –
-19
Closed -$1K
QAI icon
1634
NYLI Hedge Multi-Strategy Tracker ETF
QAI
$1.02B
– –
-100
Closed -$3K
RDOG icon
1635
ALPS REIT Dividend Dogs ETF
RDOG
$11.1M
$0 ﹤0.01%
20
+1
+5% +$38
RIG icon
1636
Transocean
RIG
$6.39B
$0 ﹤0.01%
56
– –
RITM icon
1637
Rithm Capital
RITM
$5.65B
– –
-3
Closed –
RLI icon
1638
RLI Corp
RLI
$5.83B
– –
-72
Closed -$3K
SBS icon
1639
Sabesp
SBS
$18.3B
– –
-62
Closed –
SCHC icon
1640
Schwab International Small-Cap Equity ETF
SCHC
$5.63B
$0 ﹤0.01%
12
-240
-95% -$8.38K
SCHE icon
1641
Schwab Emerging Markets Equity ETF
SCHE
$12.9B
$0 ﹤0.01%
18
– –
SCHH icon
1642
Schwab US REIT ETF
SCHH
$11.2B
$0 ﹤0.01%
16
– –
SCS
1643
DELISTED
Steelcase
SCS
$0 ﹤0.01%
50
– –
SDIV icon
1644
Global X SuperDividend ETF
SDIV
$1.22B
$0 ﹤0.01%
23
-1,859
-99% -$66.1K
SEF icon
1645
ProShares Short Financials
SEF
$13M
$0 ﹤0.01%
6
– –
SGOL icon
1646
abrdn Physical Gold Shares ETF
SGOL
$7.49B
– –
-61
Closed -$1K
SHOO icon
1647
Steven Madden
SHOO
$3.58B
– –
-1
Closed –
SHYG icon
1648
iShares 0-5 Year High Yield Corporate Bond ETF
SHYG
$7.59B
$0 ﹤0.01%
16
-49
-75% -$2.19K
HTO
1649
H2O America
HTO
$2.56B
– –
-2
Closed –
SLYV icon
1650
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
$5.04B
$0 ﹤0.01%
1
– –
64 65
66
67 68

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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.