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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
SGI
1726
Somnigroup International
SGI
$13.7B
– –
-11,928
Closed -$230K
EQC
1727
DELISTED
Equity Commonwealth
EQC
– –
-3,934
Closed -$134K
CMRX
1728
DELISTED
Chimerix, Inc.
CMRX
$0 ﹤0.01%
1
– –
VOXX
1729
DELISTED
VOXX International Corporation Class A
VOXX
$0 ﹤0.01%
9
– –
ENLC
1730
DELISTED
ENLINK MIDSTREAM, LLC
ENLC
$0 ﹤0.01%
154
– –
TUP
1731
DELISTED
Tupperware Brands Corporation
TUP
$0 ﹤0.01%
4
– –
CTHR
1732
DELISTED
Charles & Colvard Ltd
CTHR
$0 ﹤0.01%
+12
New +$169
CBD
1733
DELISTED
Companhia Brasileira de Distribuicao
CBD
$0 ﹤0.01%
1
– –
CPE
1734
DELISTED
Callon Petroleum Company
CPE
$0 ﹤0.01%
14
– –
BKCC
1735
DELISTED
BlackRock Capital Investment Corporation
BKCC
$0 ﹤0.01%
200
– –
FGH
1736
DELISTED
FG Group Holdings Inc.
FGH
– –
-700
Closed -$2K
CORR
1737
DELISTED
CorEnergy Infrastructure Trust, Inc.
CORR
$0 ﹤0.01%
1
– –
VRTV
1738
DELISTED
VERITIV CORPORATION
VRTV
$0 ﹤0.01%
1
– –
VMW
1739
DELISTED
VMware, Inc
VMW
– –
-14
Closed -$2K
CCF
1740
DELISTED
Chase Corporation
CCF
$0 ﹤0.01%
5
– –
LTRPA
1741
DELISTED
Liberty TripAdvisor Holdings, Inc. Series A
LTRPA
$0 ﹤0.01%
36
– –
RAD
1742
DELISTED
Rite Aid Corporation
RAD
$0 ﹤0.01%
50
-102
-67% -$998
TRTN
1743
DELISTED
Triton International Limited
TRTN
$0 ﹤0.01%
1
– –
CS
1744
DELISTED
Credit Suisse Group
CS
$0 ﹤0.01%
1
– –
DBD
1745
DELISTED
Diebold Nixdorf Incorporated
DBD
$0 ﹤0.01%
+25
New +$222
AUD
1746
DELISTED
Audacy, Inc.
AUD
$0 ﹤0.01%
44
– –
AUY
1747
DELISTED
Yamana Gold, Inc.
AUY
$0 ﹤0.01%
+100
New +$351
VIVO
1748
DELISTED
Meridian Bioscience Inc
VIVO
$0 ﹤0.01%
3
– –
CLR
1749
DELISTED
CONTINENTAL RESOURCES INC.
CLR
$0 ﹤0.01%
2
– –
SMM
1750
DELISTED
Salient Midstream & MLP Fund
SMM
– –
-17,610
Closed -$138K
68 69
70
71 72

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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.