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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
CPTAG
1726
DELISTED
Capitala Finance Corp. 5.75% Convertible Notes Due 2022
CPTAG
– –
-4,000
Closed -$90K
ARNA
1727
DELISTED
Arena Pharmaceuticals Inc
ARNA
– –
-1,050
Closed -$78K
BMTC
1728
DELISTED
Bryn Mawr Bank Corp
BMTC
– –
-26
Closed –
CUB
1729
DELISTED
Cubic Corporation
CUB
$0 ﹤0.01%
1
– –
GMLP
1730
DELISTED
Golar LNG Partners LP
GMLP
– –
-75
Closed –
ZAGG
1731
DELISTED
ZAGG Inc Common Stock (Delaware)
ZAGG
– –
-3
Closed –
AIG.WS
1732
DELISTED
American International Group, Inc.
AIG.WS
$0 ﹤0.01%
45
– –
PE
1733
DELISTED
PARSLEY ENERGY INC
PE
– –
-65
Closed –
BMY.RT
1734
DELISTED
Bristol-Myers Squibb Company Contingent Value Rights
BMY.RT
$0 ﹤0.01%
46
– –
GV
1735
DELISTED
Goldfield Corporation
GV
– –
-200
Closed –
HDS
1736
DELISTED
HD Supply Holdings, Inc.
HDS
– –
-399
Closed -$16K
GLIBA
1737
DELISTED
GCI Liberty, Inc. Class A Common Stock (DE)
GLIBA
– –
-385
Closed -$31K
BSJK
1738
DELISTED
Invesco BulletShares 2020 High Yield Corporate Bond ETF
BSJK
– –
-445
Closed -$10K
GPOR
1739
DELISTED
Gulfport Energy Corp.
GPOR
– –
-315
Closed –
GBUY
1740
DELISTED
Goldman Sachs New Age Consumer ETF
GBUY
– –
-597
Closed -$49K
SPAQ.WS
1741
DELISTED
Spartan Energy Acquisition Corp. Warrants, each whole warrant exercisable for one Class A common sto
SPAQ.WS
– –
-632
Closed -$2K
MNK
1742
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$0 ﹤0.01%
7
– –
PSV
1743
DELISTED
Hermitage Offshore Services Ltd.
PSV
– –
-4
Closed –
DZSI
1744
DELISTED
DZS Inc. Common Stock
DZSI
$0 ﹤0.01%
4
– –
VAL
1745
DELISTED
Valaris plc Class A Ordinary Share
VAL
$0 ﹤0.01%
240
– –
ZIV
1746
DELISTED
VelocityShares Daily Inverse VIX Medium Term ETN
ZIV
– –
-161
Closed -$4K
JCP
1747
DELISTED
J.C. Penney Company, Inc.
JCP
– –
-14
Closed –
CRC
1748
DELISTED
California Resources Corporation
CRC
– –
-14
Closed –
TVIX
1749
DELISTED
VelocityShares Daily 2x VIX Short Term ETN
TVIX
– –
-10
Closed –
BSCK
1750
DELISTED
Invesco BulletShares 2020 Corporate Bond ETF
BSCK
– –
-819
Closed -$17K
67 68 69
70
71

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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.