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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
+1.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
-$3.41M
Cap. Flow
-$15.4M
Cap. Flow %
-1.35%
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$10.7M
2
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.7M
3
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$3.4M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$3.08M
5
FOCS
Focus Financial Partners Inc. Class A
FOCS
+$2.02M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$10.1M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.71M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$5.36M
4
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$4.96M
5
JPIN icon
JPMorgan Diversified Return International Equity ETF
JPIN
+$4.7M

Sector Composition

Rank Sector Weight
1 Financials 6.94%
2 Technology 5.89%
3 Healthcare 2.9%
4 Energy 2.34%
5 Consumer Staples 2.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
STRM
1701
DELISTED
Streamline Health Solutions
STRM
– –
0
– –
SXC icon
1702
SunCoke Energy
SXC
$797M
$0 ﹤0.01%
141
– –
TCOM icon
1703
Trip.com Group
TCOM
$29.6B
– –
-40
Closed -$1K
TDC icon
1704
Teradata
TDC
$2.57B
$0 ﹤0.01%
12
– –
TEAM icon
1705
Atlassian
TEAM
$38.7B
– –
-2,368
Closed -$309K
TEVA icon
1706
Teva Pharmaceuticals
TEVA
$41.8B
– –
-543
Closed -$5K
THQ
1707
abrdn Healthcare Opportunities Fund
THQ
$806M
– –
-900
Closed -$16K
TIMB icon
1708
TIM SA
TIMB
$8.77B
$0 ﹤0.01%
2
-2
-50% -$30
TKC icon
1709
Turkcell
TKC
$4.79B
– –
-6
Closed –
TLH icon
1710
iShares 10-20 Year Treasury Bond ETF
TLH
$10.8B
$0 ﹤0.01%
4
– –
TM icon
1711
Toyota
TM
$223B
$0 ﹤0.01%
2
– –
TMQ
1712
Trilogy Metals
TMQ
$674M
$0 ﹤0.01%
83
– –
TPH
1713
DELISTED
Tri Pointe Homes
TPH
$0 ﹤0.01%
2
– –
TXRH icon
1714
Texas Roadhouse
TXRH
$13.7B
– –
-128
Closed -$6K
UBER icon
1715
Uber
UBER
$159B
$0 ﹤0.01%
+30
New +$1.13K
UBS icon
1716
UBS Group
UBS
$177B
– –
-1,377
Closed -$16K
UDR icon
1717
UDR
UDR
$12.1B
– –
-111
Closed -$5K
USA icon
1718
Liberty All-Star Equity Fund
USA
$1.86B
$0 ﹤0.01%
96
+2
+2% +$13
USRT icon
1719
iShares Core US REIT ETF
USRT
$4.57B
$0 ﹤0.01%
10
– –
VALE icon
1720
Vale
VALE
$63.3B
$0 ﹤0.01%
1
– –
VECO icon
1721
Veeco
VECO
$3.04B
$0 ﹤0.01%
80
– –
VIAV icon
1722
Viavi Solutions
VIAV
$9.24B
$0 ﹤0.01%
2
– –
VIV icon
1723
Telefônica Brasil
VIV
$19.1B
$0 ﹤0.01%
1
– –
VNQI icon
1724
Vanguard Global ex-US Real Estate ETF
VNQI
$3.52B
$0 ﹤0.01%
4
– –
VPL icon
1725
Vanguard FTSE Pacific ETF
VPL
$8.37B
– –
-146
Closed -$9K
67 68
69
70 71

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RFA
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Carroll Financial Associates's Q3 2019 Portfolio in Review

As of Q3 2019, Carroll Financial Associates held 1,848 positions worth $1.14B, down 0.3% from $1.15B the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Carroll Financial Associates's Q3 2019 filing shows 95 new, 278 increased, 448 reduced and 159 closed positions. Its largest new stake was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M. The largest sale was iShares 3-7 Year Treasury Bond ETF, an estimated $10.1M.

By sector, the portfolio is most concentrated in Financials at 6.9% of assets, up from 6.8% a quarter earlier, followed by Technology and Healthcare.

  • Carroll Financial Associates's largest Q3 2019 buy was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M.
  • Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q3 2019, an estimated $10.7M increase.
  • Carroll Financial Associates's biggest Q3 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $10.1M.
  • Carroll Financial Associates fully exited iShares US Healthcare Providers ETF in Q3 2019, selling an estimated $338K.
  • Carroll Financial Associates's ten largest holdings make up 49% of its $1.14B portfolio in Q3 2019.
  • Carroll Financial Associates opened 95 new positions and closed 159 in Q3 2019.
  • Carroll Financial Associates's portfolio value fell 0.3% quarter-over-quarter to $1.14B.

Based on Carroll Financial Associates's 13F filing for Q3 2019, filed 9 Oct 2019.