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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
SONN
1651
DELISTED
Sonnet BioTherapeutics
SONN
– –
0
– –
SPIB icon
1652
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF
SPIB
$11.5B
– –
-23
Closed –
SPNS
1653
DELISTED
Sapiens International
SPNS
– –
-1
Closed –
SPR
1654
DELISTED
Spirit AeroSystems
SPR
– –
-442
Closed -$8K
SPTL icon
1655
State Street SPDR Portfolio Long Term Treasury ETF
SPTL
$10.7B
– –
-50,266
Closed -$2.35M
SPXU icon
1656
ProShares UltraPro Short S&P 500
SPXU
$384M
– –
-150
Closed -$108K
SQQQ icon
1657
ProShares UltraPro Short QQQ
SQQQ
$1.75B
– –
-24
Closed -$58.2K
SRV
1658
NXG Cushing Midstream Energy Fund
SRV
$216M
$0 ﹤0.01%
28
– –
SSO icon
1659
ProShares Ultra S&P500
SSO
$8.41B
$0 ﹤0.01%
16
– –
STE icon
1660
Steris
STE
$23.3B
– –
-249
Closed -$43K
STLD icon
1661
Steel Dynamics
STLD
$38.5B
$0 ﹤0.01%
1
– –
SXC icon
1662
SunCoke Energy
SXC
$799M
– –
-141
Closed –
TAC icon
1663
TransAlta
TAC
$3.88B
– –
-1,198
Closed -$7K
TAIL icon
1664
Cambria Tail Risk ETF
TAIL
$146M
– –
-4,546
Closed -$98K
TDC icon
1665
Teradata
TDC
$2.58B
$0 ﹤0.01%
12
– –
TIMB icon
1666
TIM SA
TIMB
$8.79B
– –
-2
Closed –
TK icon
1667
Teekay
TK
$973M
$0 ﹤0.01%
300
– –
TLH icon
1668
iShares 10-20 Year Treasury Bond ETF
TLH
$10.8B
$0 ﹤0.01%
4
– –
TLRY icon
1669
Tilray
TLRY
$602M
$0 ﹤0.01%
5
-3
-38% -$219
TOTL icon
1670
State Street DoubleLine Total Return Tactical ETF
TOTL
$3.99B
– –
-4,435
Closed -$218K
TPH
1671
DELISTED
Tri Pointe Homes
TPH
– –
-2
Closed –
TTE icon
1672
TotalEnergies
TTE
$195B
– –
-40
Closed -$1K
UAA icon
1673
Under Armour
UAA
$2.5B
$0 ﹤0.01%
3
– –
UEC icon
1674
Uranium Energy
UEC
$5.63B
$0 ﹤0.01%
+400
New +$473
USO icon
1675
United States Oil Fund
USO
$1.78B
– –
-23
Closed –
65 66
67
68 69

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6M
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RM
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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.