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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
IEI icon
151
iShares 3-7 Year Treasury Bond ETF
IEI
$17.7B
$1.17M 0.08%
8,816
-2,251
-20% -$299K
HDV
152
iShares Core High Dividend ETF
HDV
$15B
$1.14M 0.08%
65,270
-160
-0.2% -$2.71K
DE icon
153
Deere & Co
DE
$164B
$1.14M 0.08%
4,249
-38
-0.9% -$9.44K
VV icon
154
Vanguard Morningstar Large-Cap ETF
VV
$54.5B
$1.14M 0.08%
6,507
– –
UNH icon
155
UnitedHealth
UNH
$371B
$1.12M 0.07%
3,200
+30
+0.9% +$10.1K
AUB icon
156
Atlantic Union Bankshares
AUB
$5.95B
$1.12M 0.07%
34,041
– –
FDX icon
157
FedEx
FDX
$76.9B
$1.11M 0.07%
4,266
-572
-12% -$158K
BMY icon
158
Bristol-Myers Squibb
BMY
$132B
$1.1M 0.07%
17,670
-583
-3% -$35.8K
BX icon
159
Blackstone
BX
$113B
$1.09M 0.07%
16,846
+3,893
+30% +$227K
XMLV icon
160
Invesco S&P MidCap Low Volatility ETF
XMLV
$740M
$1.03M 0.07%
21,501
+94
+0.4% +$4.24K
ARKQ icon
161
ARK Autonomous Technology & Robotics ETF
ARKQ
$2.06B
$1.03M 0.07%
13,547
+6,840
+102% +$452K
CMCSA icon
162
Comcast
CMCSA
$89.4B
$1.03M 0.07%
19,600
-144
-0.7% -$6.9K
SCHB icon
163
Schwab US Broad Market ETF
SCHB
$44.8B
$1.02M 0.07%
67,356
+3,198
+5% +$45.5K
ORCL icon
164
Oracle
ORCL
$435B
$984K 0.07%
15,213
+580
+4% +$34.5K
PYPL icon
165
PayPal
PYPL
$50.5B
$971K 0.06%
4,150
-87
-2% -$18K
ACWI icon
166
iShares MSCI ACWI ETF
ACWI
$33.3B
$969K 0.06%
10,688
+8,816
+471% +$753K
MO icon
167
Altria Group
MO
$109B
$968K 0.06%
23,632
-62
-0.3% -$2.49K
VO icon
168
Vanguard Morningstar Mid-Cap ETF
VO
$109B
$956K 0.06%
18,508
+908
+5% +$44K
IJK icon
169
iShares S&P Mid-Cap 400 Growth ETF
IJK
$11.1B
$894K 0.06%
12,383
-401
-3% -$26.7K
OGIG icon
170
ALPS O'Shares Global Internet Giants ETF
OGIG
$115M
$887K 0.06%
16,351
-12,135
-43% -$599K
AFL icon
171
Aflac
AFL
$61.2B
$886K 0.06%
19,939
+13
+0.1% +$532
XSW icon
172
State Street SPDR S&P Software & Services ETF
XSW
$497M
$883K 0.06%
5,735
+20
+0.3% +$2.69K
WFC icon
173
Wells Fargo
WFC
$265B
$864K 0.06%
28,631
-1,657
-5% -$42.9K
BABA icon
174
Alibaba
BABA
$317B
$863K 0.06%
3,710
+391
+12% +$109K
UNP icon
175
Union Pacific
UNP
$174B
$854K 0.06%
4,103
-366
-8% -$73.1K
5 6
7
8 9

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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.