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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
USRT icon
1676
iShares Core US REIT ETF
USRT
$4.58B
– –
-10
Closed –
UTF icon
1677
Cohen & Steers Infrastructure Fund
UTF
$3.04B
– –
-4
Closed –
UWM icon
1678
ProShares Ultra Russell2000
UWM
$243M
$0 ﹤0.01%
10
– –
VALE icon
1679
Vale
VALE
$63.4B
– –
-1
Closed –
VCLT icon
1680
Vanguard Long-Term Corporate Bond ETF
VCLT
$8.74B
– –
-13
Closed -$1K
VGLT icon
1681
Vanguard Long-Term Treasury ETF
VGLT
$10.3B
– –
-1,398
Closed -$139K
VIAV icon
1682
Viavi Solutions
VIAV
$9.18B
$0 ﹤0.01%
2
– –
VIV icon
1683
Telefônica Brasil
VIV
$19.1B
– –
-1
Closed –
VNQI icon
1684
Vanguard Global ex-US Real Estate ETF
VNQI
$3.52B
$0 ﹤0.01%
4
-93
-96% -$4.79K
VSS icon
1685
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11.9B
– –
-158
Closed -$16K
VST icon
1686
Vistra
VST
$48.2B
– –
-16
Closed –
VTOL icon
1687
Bristow Group
VTOL
$1.38B
$0 ﹤0.01%
5
– –
VTRS icon
1688
Viatris
VTRS
$18.7B
– –
-201
Closed -$2K
VVV icon
1689
Valvoline
VVV
$4.3B
– –
-506
Closed -$9K
WASH icon
1690
Washington Trust Bancorp
WASH
$735M
$0 ﹤0.01%
21
– –
WGO icon
1691
Winnebago Industries
WGO
$906M
– –
-1
Closed –
WU icon
1692
Western Union
WU
$2.19B
– –
-7
Closed –
WYNN icon
1693
Wynn Resorts
WYNN
$10.6B
– –
-3
Closed –
XHR
1694
Xenia Hotels & Resorts
XHR
$1.74B
– –
-2
Closed –
XYLD icon
1695
Global X S&P 500 Covered Call ETF
XYLD
$3.28B
– –
-2,222
Closed -$99K
YELP icon
1696
Yelp
YELP
$1.35B
$0 ﹤0.01%
17
– –
ZNTL icon
1697
Zentalis Pharmaceuticals
ZNTL
$297M
$0 ﹤0.01%
+10
New +$451
ZROZ icon
1698
PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund
ZROZ
$1.3B
– –
-15
Closed -$2K
ARQ icon
1699
Arq
ARQ
$88.9M
– –
-3
Closed –
TXNM
1700
TXNM Energy Inc
TXNM
$5.91B
$0 ﹤0.01%
10
– –
66 67
68
69 70

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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.