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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
+8.4%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.3B
AUM Growth
+$96.9M
Cap. Flow
+$4.07M
Cap. Flow %
0.31%
Top 10 Hldgs %
48.04%
Holding
1,793
New
90
Increased
315
Reduced
397
Closed
127

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$9.69M
2
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$5.47M
3
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$4.77M
4
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$4.62M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.59M

Top Sells

Rank Stock Value
1
HYLB icon
Xtrackers USD High Yield Corporate Bond ETF
HYLB
+$9.64M
2
NJAN icon
Innovator Growth-100 Power Buffer ETF January
NJAN
+$5.35M
3
AAPL icon
Apple
AAPL
+$5.11M
4
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$2.48M
5
MSFT icon
Microsoft
MSFT
+$2.41M

Sector Composition

Rank Sector Weight
1 Technology 7.44%
2 Financials 4.98%
3 Healthcare 2.9%
4 Consumer Discretionary 2.43%
5 Consumer Staples 2.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WU icon
1701
Western Union
WU
$2.2B
$0 ﹤0.01%
7
– –
WYNN icon
1702
Wynn Resorts
WYNN
$10.8B
$0 ﹤0.01%
3
-24
-89% -$1.9K
XHR
1703
Xenia Hotels & Resorts
XHR
$1.72B
$0 ﹤0.01%
2
– –
XRT icon
1704
State Street SPDR S&P Retail ETF
XRT
$645M
– –
-1,589
Closed -$68K
YELP icon
1705
Yelp
YELP
$1.28B
$0 ﹤0.01%
17
– –
ARQ icon
1706
Arq
ARQ
$97.4M
$0 ﹤0.01%
3
– –
DAY
1707
DELISTED
Dayforce
DAY
– –
-49
Closed -$3K
PRKS icon
1708
United Parks & Resorts
PRKS
$2B
$0 ﹤0.01%
35
– –
TXNM
1709
TXNM Energy Inc
TXNM
$5.91B
$0 ﹤0.01%
10
– –
INVX
1710
Innovex International
INVX
$2.11B
$0 ﹤0.01%
12
– –
PENG
1711
Penguin Solutions Inc
PENG
$2.94B
$0 ﹤0.01%
2
– –
JBTM
1712
JBT Marel
JBTM
$6.32B
– –
-92
Closed -$7K
VOXX
1713
DELISTED
VOXX International Corporation Class A
VOXX
$0 ﹤0.01%
9
– –
ENLC
1714
DELISTED
ENLINK MIDSTREAM, LLC
ENLC
$0 ﹤0.01%
293
– –
MSVX
1715
DELISTED
LHA Market State Alpha Seeker ETF
MSVX
$0 ﹤0.01%
+18
New +$432
CTLT
1716
DELISTED
CATALENT, INC.
CTLT
– –
-113
Closed -$8K
PRFT
1717
DELISTED
Perficient Inc
PRFT
– –
-118
Closed -$4K
SWN
1718
DELISTED
Southwestern Energy Company
SWN
– –
-3,645
Closed -$9K
TUP
1719
DELISTED
Tupperware Brands Corporation
TUP
$0 ﹤0.01%
4
– –
SILK
1720
DELISTED
Silk Road Medical, Inc. Common Stock
SILK
– –
-877
Closed -$36K
CTR
1721
DELISTED
ClearBridge MLP and Midstream Total Return Fund Inc.
CTR
– –
-180
Closed -$2K
BTEC
1722
DELISTED
Principal Exchange-Traded Funds Principal Healthcare Innovators ETF
BTEC
– –
-29
Closed -$1K
AMJ
1723
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
– –
-2,330
Closed -$30K
CTHR
1724
DELISTED
Charles & Colvard Ltd
CTHR
$0 ﹤0.01%
12
– –
CEM
1725
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
– –
-180
Closed -$2K
67 68
69
70 71

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Carroll Financial Associates's Q3 2020 Portfolio in Review

As of Q3 2020, Carroll Financial Associates held 1,793 positions worth $1.3B, up 8.1% from $1.2B the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Carroll Financial Associates's Q3 2020 filing shows 90 new, 315 increased, 397 reduced and 127 closed positions. Its largest new stake was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M. The largest sale was Xtrackers USD High Yield Corporate Bond ETF, an estimated $9.64M.

By sector, the portfolio is most concentrated in Technology at 7.4% of assets, down from 7.7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2020 buy was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q3 2020, an estimated $9.69M increase.
  • Carroll Financial Associates's biggest Q3 2020 reduction was Xtrackers USD High Yield Corporate Bond ETF, cutting an estimated $9.64M.
  • Carroll Financial Associates fully exited Global X Scientific Beta US ETF in Q3 2020, selling an estimated $1.49M.
  • Carroll Financial Associates's ten largest holdings make up 48% of its $1.3B portfolio in Q3 2020.
  • Carroll Financial Associates opened 90 new positions and closed 127 in Q3 2020.
  • Carroll Financial Associates's portfolio value rose 8.1% quarter-over-quarter to $1.3B.

Based on Carroll Financial Associates's 13F filing for Q3 2020, filed 6 Oct 2020.