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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
SNAP icon
1676
Snap
SNAP
$9.01B
$0 ﹤0.01%
54
– –
SONN
1677
DELISTED
Sonnet BioTherapeutics
SONN
– –
0
– –
SPNS
1678
DELISTED
Sapiens International
SPNS
$0 ﹤0.01%
1
– –
SPXE icon
1679
ProShares S&P 500 ex-Energy ETF
SPXE
$86.7M
– –
-3,174
Closed -$100K
SSD icon
1680
Simpson Manufacturing
SSD
$8.16B
– –
-27
Closed -$1K
STE icon
1681
Steris
STE
$23.1B
– –
-39
Closed -$5K
STRA icon
1682
Strategic Education
STRA
$1.92B
– –
-6
Closed –
STRM
1683
DELISTED
Streamline Health Solutions
STRM
– –
0
– –
SUI icon
1684
Sun Communities
SUI
$14.7B
– –
-22
Closed -$3K
SXC icon
1685
SunCoke Energy
SXC
$797M
$0 ﹤0.01%
141
– –
TDC icon
1686
Teradata
TDC
$2.55B
$0 ﹤0.01%
12
– –
TFX icon
1687
Teleflex
TFX
$5.98B
– –
-5
Closed -$1K
TIMB icon
1688
TIM SA
TIMB
$8.8B
$0 ﹤0.01%
2
– –
TLH icon
1689
iShares 10-20 Year Treasury Bond ETF
TLH
$10.9B
$0 ﹤0.01%
4
– –
TM icon
1690
Toyota
TM
$225B
$0 ﹤0.01%
2
– –
TMQ
1691
Trilogy Metals
TMQ
$656M
$0 ﹤0.01%
83
– –
TOTL icon
1692
State Street DoubleLine Total Return Tactical ETF
TOTL
$4.03B
– –
-23,807
Closed -$1.17M
TPH
1693
DELISTED
Tri Pointe Homes
TPH
$0 ﹤0.01%
2
– –
TRNO icon
1694
Terreno Realty
TRNO
$7.49B
– –
-65
Closed -$3K
TTC icon
1695
Toro Company
TTC
$9.49B
– –
-60
Closed -$4K
UAA icon
1696
Under Armour
UAA
$2.6B
$0 ﹤0.01%
3
-90
-97% -$1.75K
UBER icon
1697
Uber
UBER
$153B
$0 ﹤0.01%
30
– –
USA icon
1698
Liberty All-Star Equity Fund
USA
$1.85B
$0 ﹤0.01%
96
– –
USRT icon
1699
iShares Core US REIT ETF
USRT
$4.63B
$0 ﹤0.01%
10
– –
VALE icon
1700
Vale
VALE
$62.6B
$0 ﹤0.01%
1
– –
66 67
68
69 70

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RFA
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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.