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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
PHI icon
1651
PLDT
PHI
$4.33B
– –
-127
Closed -$2K
PHK
1652
PIMCO High Income Fund
PHK
$880M
$0 ﹤0.01%
7
– –
PINS icon
1653
Pinterest
PINS
$13.4B
– –
-200
Closed -$5K
PIPR icon
1654
Piper Sandler
PIPR
$5.29B
$0 ﹤0.01%
16
– –
PJT icon
1655
PJT Partners
PJT
$4.38B
$0 ﹤0.01%
2
– –
PNW icon
1656
Pinnacle West Capital
PNW
$12.2B
$0 ﹤0.01%
4
– –
PODD icon
1657
Insulet
PODD
$9.79B
– –
-9
Closed -$1K
POR icon
1658
Portland General Electric
POR
$5.77B
$0 ﹤0.01%
9
-45
-83% -$2.51K
PPC icon
1659
Pilgrim's Pride
PPC
$6.54B
$0 ﹤0.01%
23
– –
PR
1660
Permian Resources
PR
$16.9B
– –
-3,335
Closed -$15K
PRTA icon
1661
Prothena Corp
PRTA
$450M
$0 ﹤0.01%
1
– –
RBC icon
1662
RBC Bearings
RBC
$18B
– –
-87
Closed -$14K
RDN icon
1663
Radian Group
RDN
$4.93B
– –
-9,848
Closed -$224K
RIG icon
1664
Transocean
RIG
$5.82B
$0 ﹤0.01%
+30
New +$155
RITM icon
1665
Rithm Capital
RITM
$5.69B
$0 ﹤0.01%
3
– –
RLI icon
1666
RLI Corp
RLI
$5.89B
– –
-118
Closed -$5K
RS icon
1667
Reliance Steel & Aluminium
RS
$21.6B
– –
-14
Closed -$1K
SBS icon
1668
Sabesp
SBS
$18.7B
$0 ﹤0.01%
62
– –
SCHC icon
1669
Schwab International Small-Cap Equity ETF
SCHC
$5.66B
$0 ﹤0.01%
12
– –
SCHE icon
1670
Schwab Emerging Markets Equity ETF
SCHE
$12.9B
$0 ﹤0.01%
18
– –
SCHH icon
1671
Schwab US REIT ETF
SCHH
$11.4B
$0 ﹤0.01%
16
– –
SEF icon
1672
ProShares Short Financials
SEF
$13M
$0 ﹤0.01%
+6
New +$481
SHOO icon
1673
Steven Madden
SHOO
$3.55B
$0 ﹤0.01%
1
– –
HTO
1674
H2O America
HTO
$2.62B
$0 ﹤0.01%
2
– –
SLYV icon
1675
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
$5.03B
$0 ﹤0.01%
1
– –
65 66
67
68 69

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NFG
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6M
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RFA
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CCT
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CC
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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.