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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
Cap. Flow
-$15.4M
Cap. Flow %
-1.35%
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$10.7M
2
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.7M
3
CSB icon
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
+$3.4M
4
MDYG icon
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
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$10.1M
2
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$9.71M
3
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$5.36M
4
EEMV icon
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
+$4.96M
5
JPIN icon
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
CMRX
1751
DELISTED
Chimerix, Inc.
CMRX
$0 ﹤0.01%
+1
New +$3
PDCO
1752
DELISTED
Patterson Companies, Inc.
PDCO
– –
-734
Closed -$16K
VOXX
1753
DELISTED
VOXX International Corporation Class A
VOXX
$0 ﹤0.01%
9
– –
ALTR
1754
DELISTED
Altair Engineering Inc
ALTR
$0 ﹤0.01%
28
– –
IBDP
1755
DELISTED
iShares iBonds Dec 2024 Term Corporate ETF
IBDP
– –
-382
Closed -$9K
MFD
1756
DELISTED
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund
MFD
– –
-600
Closed -$6K
HA
1757
DELISTED
Hawaiian Holdings, Inc.
HA
$0 ﹤0.01%
37
– –
TUP
1758
DELISTED
Tupperware Brands Corporation
TUP
$0 ﹤0.01%
4
– –
CTR
1759
DELISTED
ClearBridge MLP and Midstream Total Return Fund Inc.
CTR
– –
-300
Closed -$14K
CEM
1760
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
– –
-37
Closed -$2K
CBD
1761
DELISTED
Companhia Brasileira de Distribuicao
CBD
$0 ﹤0.01%
1
– –
CPE
1762
DELISTED
Callon Petroleum Company
CPE
$0 ﹤0.01%
14
– –
SPLK
1763
DELISTED
Splunk Inc
SPLK
– –
-82
Closed -$10K
IMGN
1764
DELISTED
Immunogen Inc
IMGN
$0 ﹤0.01%
155
– –
IBDO
1765
DELISTED
iShares iBonds Dec 2023 Term Corporate ETF
IBDO
– –
-378
Closed -$9K
CORR
1766
DELISTED
CorEnergy Infrastructure Trust, Inc.
CORR
$0 ﹤0.01%
1
– –
VRTV
1767
DELISTED
VERITIV CORPORATION
VRTV
$0 ﹤0.01%
1
– –
CCF
1768
DELISTED
Chase Corporation
CCF
$0 ﹤0.01%
5
– –
NXGN
1769
DELISTED
NextGen Healthcare, Inc. Common Stock
NXGN
– –
-4
Closed –
LTRPA
1770
DELISTED
Liberty TripAdvisor Holdings, Inc. Series A
LTRPA
$0 ﹤0.01%
36
– –
TRTN
1771
DELISTED
Triton International Limited
TRTN
$0 ﹤0.01%
1
– –
BBIG
1772
DELISTED
Vinco Ventures, Inc. Common Stock
BBIG
– –
-18
Closed –
FIHD
1773
DELISTED
UBS AG FI Enhanced Global High Yield ETN
FIHD
– –
-394
Closed -$70K
CS
1774
DELISTED
Credit Suisse Group
CS
$0 ﹤0.01%
1
– –
AUD
1775
DELISTED
Audacy, Inc.
AUD
$0 ﹤0.01%
44
– –
69 70
71
72 73

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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.