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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
SCS
1651
DELISTED
Steelcase
SCS
$0 ﹤0.01%
50
– –
SEF icon
1652
ProShares Short Financials
SEF
$13M
$0 ﹤0.01%
6
– –
SFIX
1653
Stitch Fix
SFIX
$530M
$0 ﹤0.01%
25
– –
SHOO icon
1654
Steven Madden
SHOO
$3.58B
$0 ﹤0.01%
1
– –
HTO
1655
H2O America
HTO
$2.56B
$0 ﹤0.01%
2
– –
SLYV icon
1656
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
$5.04B
$0 ﹤0.01%
1
-3
-75% -$154
SONN
1657
DELISTED
Sonnet BioTherapeutics
SONN
– –
0
– –
SPIB icon
1658
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF
SPIB
$11.5B
$0 ﹤0.01%
23
– –
SPNS
1659
DELISTED
Sapiens International
SPNS
$0 ﹤0.01%
1
– –
SPSC icon
1660
SPS Commerce
SPSC
$2.69B
– –
-70
Closed -$5K
SRV
1661
NXG Cushing Midstream Energy Fund
SRV
$216M
$0 ﹤0.01%
28
– –
SSO icon
1662
ProShares Ultra S&P500
SSO
$8.41B
$0 ﹤0.01%
16
– –
STLD icon
1663
Steel Dynamics
STLD
$38.5B
$0 ﹤0.01%
1
– –
SXC icon
1664
SunCoke Energy
SXC
$799M
$0 ﹤0.01%
141
– –
TALO icon
1665
Talos Energy
TALO
$2.6B
– –
-466
Closed -$4K
TCBI icon
1666
Texas Capital Bancshares
TCBI
$4.32B
$0 ﹤0.01%
31
– –
TDC icon
1667
Teradata
TDC
$2.58B
$0 ﹤0.01%
12
– –
TEAM icon
1668
Atlassian
TEAM
$38.5B
– –
-367
Closed -$66K
TER icon
1669
Teradyne
TER
$57.1B
– –
-398
Closed -$33K
TIMB icon
1670
TIM SA
TIMB
$8.79B
$0 ﹤0.01%
2
– –
TK icon
1671
Teekay
TK
$973M
$0 ﹤0.01%
300
– –
TLH icon
1672
iShares 10-20 Year Treasury Bond ETF
TLH
$10.8B
$0 ﹤0.01%
4
– –
TLRY icon
1673
Tilray
TLRY
$602M
$0 ﹤0.01%
+8
New +$534
TNA icon
1674
Direxion Daily Small Cap Bull 3x ETF
TNA
$1.45B
– –
-2,500
Closed -$68K
TNDM icon
1675
Tandem Diabetes Care
TNDM
$1.59B
– –
-45
Closed -$4K
65 66
67
68 69

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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.