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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
VIAV icon
1701
Viavi Solutions
VIAV
$9.28B
$0 ﹤0.01%
2
– –
VIPS icon
1702
Vipshop
VIPS
$7.49B
– –
-250
Closed -$2K
VIV icon
1703
Telefônica Brasil
VIV
$19.1B
$0 ﹤0.01%
1
– –
VLO icon
1704
Valero Energy
VLO
$89.9B
$0 ﹤0.01%
1
-18
-95% -$1.7K
VNQI icon
1705
Vanguard Global ex-US Real Estate ETF
VNQI
$3.52B
$0 ﹤0.01%
4
– –
VPU
1706
Vanguard Utilities ETF
VPU
$8.34B
– –
-453
Closed -$65K
VST icon
1707
Vistra
VST
$48.2B
$0 ﹤0.01%
16
– –
VWOB icon
1708
Vanguard Emerging Markets Government Bond ETF
VWOB
$6.23B
$0 ﹤0.01%
8
– –
VXZ icon
1709
iPath Series B S&P 500 VIX Mid-Term Futures ETN
VXZ
$30.6M
$0 ﹤0.01%
+14
New +$1.05K
WCN
1710
Waste Connections
WCN
$41.9B
– –
-82
Closed -$7K
WDFC icon
1711
WD-40
WDFC
$3.13B
– –
-40
Closed -$7K
WES icon
1712
Western Midstream Partners
WES
$19.5B
– –
-305
Closed -$7K
WGO icon
1713
Winnebago Industries
WGO
$896M
$0 ﹤0.01%
1
– –
WLY icon
1714
John Wiley & Sons Class A
WLY
$2.63B
– –
-39
Closed -$1K
WU icon
1715
Western Union
WU
$2.15B
$0 ﹤0.01%
7
– –
WW
1716
DELISTED
WW International
WW
$0 ﹤0.01%
2
– –
XHR
1717
Xenia Hotels & Resorts
XHR
$1.74B
$0 ﹤0.01%
2
– –
XLC icon
1718
State Street Communication Services Select Sector SPDR ETF
XLC
$22.5B
$0 ﹤0.01%
15
– –
YELP icon
1719
Yelp
YELP
$1.34B
$0 ﹤0.01%
17
– –
ARQ icon
1720
Arq
ARQ
$89.3M
$0 ﹤0.01%
3
– –
CPAY icon
1721
Corpay
CPAY
$25.9B
– –
-656
Closed -$188K
ATYR
1722
aTyr Pharma
ATYR
$51.6M
$0 ﹤0.01%
1
– –
TXNM
1723
TXNM Energy Inc
TXNM
$5.91B
$0 ﹤0.01%
10
– –
INVX
1724
Innovex International
INVX
$2.01B
$0 ﹤0.01%
12
– –
PENG
1725
Penguin Solutions Inc
PENG
$2.91B
$0 ﹤0.01%
2
– –
67 68
69
70 71

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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.