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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
CBD
1726
DELISTED
Companhia Brasileira de Distribuicao
CBD
$0 ﹤0.01%
1
– –
CPE
1727
DELISTED
Callon Petroleum Company
CPE
– –
-14
Closed –
BKCC
1728
DELISTED
BlackRock Capital Investment Corporation
BKCC
$0 ﹤0.01%
211
+11
+6% +$29
MDRX
1729
DELISTED
Veradigm Inc. Common Stock
MDRX
– –
-643
Closed -$4K
IMGN
1730
DELISTED
Immunogen Inc
IMGN
$0 ﹤0.01%
221
– –
CORR
1731
DELISTED
CorEnergy Infrastructure Trust, Inc.
CORR
$0 ﹤0.01%
1
– –
VRTV
1732
DELISTED
VERITIV CORPORATION
VRTV
$0 ﹤0.01%
1
– –
CCF
1733
DELISTED
Chase Corporation
CCF
$0 ﹤0.01%
5
– –
LTRPA
1734
DELISTED
Liberty TripAdvisor Holdings, Inc. Series A
LTRPA
$0 ﹤0.01%
36
– –
RAD
1735
DELISTED
Rite Aid Corporation
RAD
$0 ﹤0.01%
50
– –
FFTG
1736
DELISTED
FormulaFolios Tactical Growth ETF
FFTG
$0 ﹤0.01%
15
-799
-98% -$22.1K
TRTN
1737
DELISTED
Triton International Limited
TRTN
$0 ﹤0.01%
1
– –
NUVA
1738
DELISTED
NuVasive, Inc.
NUVA
$0 ﹤0.01%
18
– –
NMTR
1739
DELISTED
9 Meters Biopharma
NMTR
$0 ﹤0.01%
30
– –
NOVN
1740
DELISTED
Novan, Inc. Common Stock
NOVN
$0 ﹤0.01%
100
– –
LSI
1741
DELISTED
Life Storage, Inc.
LSI
– –
-1,350
Closed -$85K
GER
1742
DELISTED
Goldman Sachs MLP Energy Renaissance Fund
GER
– –
-40
Closed –
CS
1743
DELISTED
Credit Suisse Group
CS
$0 ﹤0.01%
1
– –
AUD
1744
DELISTED
Audacy, Inc.
AUD
$0 ﹤0.01%
44
– –
AUY
1745
DELISTED
Yamana Gold, Inc.
AUY
$0 ﹤0.01%
100
– –
IAA
1746
DELISTED
IAA, Inc. Common Stock
IAA
– –
-28
Closed -$1K
STOR
1747
DELISTED
STORE Capital Corporation
STOR
$0 ﹤0.01%
33
– –
QED
1748
DELISTED
IQ Hedge Event-Driven Tracker ETF
QED
– –
-88
Closed -$1K
VIVO
1749
DELISTED
Meridian Bioscience Inc
VIVO
$0 ﹤0.01%
3
– –
LFC
1750
DELISTED
China Life Insurance Company Ltd.
LFC
$0 ﹤0.01%
2
– –
68 69
70
71 72

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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.