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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
(-0.3%)
Cap. Flow
-$15.4M
Cap. Flow
% of AUM
-1.35%
Top 10 Holdings %
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Global X Adaptive US Factor ETF
AUSF
|
+$10.7M |
| 2 |
PGIM Ultra Short Bond ETF
PULS
|
+$3.7M |
| 3 |
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
|
+$3.4M |
| 4 |
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 |
iShares 3-7 Year Treasury Bond ETF
IEI
|
+$10.1M |
| 2 |
Invesco FTSE RAFI US 1000 ETF
PRF
|
+$9.71M |
| 3 |
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
|
+$5.36M |
| 4 |
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
|
+$4.96M |
| 5 |
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 | |
|---|---|---|---|---|---|---|
151
Union Pacific
UNP
$174B
| $910K | 0.08% |
5,620
-1,151
| -17% | -$194K |
|
152
Vanguard Morningstar Large-Cap ETF
VV
$54.3B
| $894K | 0.08% |
6,558
+51
| +0.8% | +$6.92K |
|
153
Bristol-Myers Squibb
BMY
$132B
| $893K | 0.08% |
17,613
-531
| -3% | -$25K |
|
154
AbbVie
ABBV
$435B
| $891K | 0.08% |
11,769
+477
| +4% | +$32.7K |
|
155
iShares MSCI China A ETF
CNYA
$208M
| $866K | 0.08% |
31,260
-5,420
| -15% | -$152K |
|
156
Costco
COST
$420B
| $865K | 0.08% |
3,002
-22
| -0.7% | -$6.19K |
|
157
SPDR Gold Trust
GLD
$141B
| $854K | 0.07% |
6,156
-165
| -3% | -$22.9K |
|
158
GE Aerospace
GE
$384B
| $849K | 0.07% |
19,055
-4,604
| -19% | -$216K |
|
159
Live Oak Bancshares
LOB
$1.97B
| $838K | 0.07% |
46,323
-5,125
| -10% | -$92.3K |
|
160
Invesco S&P MidCap Low Volatility ETF
XMLV
$748M
| $826K | 0.07% |
15,709
+280
| +2% | +$14.5K |
|
161
iShares S&P Mid-Cap 400 Growth ETF
IJK
$11.2B
| $822K | 0.07% |
14,692
-1,020
| -6% | -$57.4K |
|
162
Lincoln National
LNC
$8.81B
| $815K | 0.07% |
13,512
| – | – |
|
163
Caterpillar
CAT
$387B
| $806K | 0.07% |
6,386
+101
| +2% | +$12.8K |
|
|
164
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
$3.56B
| $799K | 0.07% |
14,006
-86,259
| -86% | -$4.96M |
|
165
Deere & Co
DE
$168B
| $793K | 0.07% |
4,702
+12
| +0.3% | +$1.92K |
|
166
State Street SPDR S&P Global Natural Resources ETF
GNR
$4.9B
| $779K | 0.07% |
18,095
+7,468
| +70% | +$324K |
|
167
Invesco Variable Rate Preferred ETF
VRP
$3.01B
| $777K | 0.07% |
30,586
+9,005
| +42% | +$227K |
|
168
iShares Core S&P US Value ETF
IUSV
$27.7B
| $773K | 0.07% |
13,387
| – | – |
|
169
Eli Lilly
LLY
$1.06T
| $752K | 0.07% |
6,728
-124
| -2% | -$13.8K |
|
170
Vanguard Morningstar Mega Cap Growth ETF
MGK
$34.2B
| $748K | 0.07% |
28,200
+5,520
| +24% | +$146K |
|
171
State Street SPDR S&P Kensho New Economies Composite ETF
KOMP
$2.81B
| $747K | 0.07% |
+22,536
| New | +$755K |
|
172
ARK Web x.0 ETF
ARKW
$1.76B
| $738K | 0.06% |
15,171
-1,673
| -10% | -$85.5K |
|
173
LendingTree
TREE
$451M
| $737K | 0.06% |
2,376
-468
| -16% | -$159K |
|
174
Invesco Bloomberg Pricing Power ETF
POWA
$183M
| $734K | 0.06% |
13,554
+2,019
| +18% | +$108K |
|
175
Raymond James Financial
RJF
$34B
| $731K | 0.06% |
13,314
| – | – |
|
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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.