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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
LFC
1751
DELISTED
China Life Insurance Company Ltd.
LFC
$0 ﹤0.01%
2
– –
SQBG
1752
DELISTED
Sequential Brands Group, Inc.
SQBG
– –
0
– –
FLIR
1753
DELISTED
FLIR Systems, Inc. (DE) Common Stock
FLIR
– –
-22
Closed -$1K
PRSP
1754
DELISTED
Perspecta Inc. Common Stock
PRSP
$0 ﹤0.01%
14
– –
SINA
1755
DELISTED
Sina Corp
SINA
– –
-46
Closed -$1K
ZAGG
1756
DELISTED
ZAGG Inc Common Stock (Delaware)
ZAGG
$0 ﹤0.01%
3
– –
AIG.WS
1757
DELISTED
American International Group, Inc.
AIG.WS
$0 ﹤0.01%
45
-3
-6% -$36
TIF
1758
DELISTED
Tiffany & Co.
TIF
$0 ﹤0.01%
1
– –
HDS
1759
DELISTED
HD Supply Holdings, Inc.
HDS
$0 ﹤0.01%
3
– –
GPOR
1760
DELISTED
Gulfport Energy Corp.
GPOR
$0 ﹤0.01%
315
– –
MLPI
1761
DELISTED
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
– –
-6,678
Closed -$139K
AIMT
1762
DELISTED
Aimmune Therapeutics
AIMT
– –
-910
Closed -$19K
MNK
1763
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$0 ﹤0.01%
7
– –
DZSI
1764
DELISTED
DZS Inc. Common Stock
DZSI
$0 ﹤0.01%
4
– –
LM
1765
DELISTED
Legg Mason, Inc.
LM
$0 ﹤0.01%
1
– –
CHK
1766
DELISTED
Chesapeake Energy Corporation
CHK
$0 ﹤0.01%
5
– –
JPED
1767
DELISTED
JPMorgan Event Driven ETF
JPED
– –
-2,000
Closed -$50K
JPMF
1768
DELISTED
JPMorgan Managed Futures Strategy ETF
JPMF
– –
-16,761
Closed -$426K
SRF
1769
DELISTED
THE CUSHING ROYALTY & INCOME FUND
SRF
$0 ﹤0.01%
140
– –
JCP
1770
DELISTED
J.C. Penney Company, Inc.
JCP
$0 ﹤0.01%
39
– –
MDR
1771
DELISTED
McDermott International
MDR
– –
-2,460
Closed -$3.14K
GWR
1772
DELISTED
Genesee & Wyoming Inc.
GWR
– –
-18
Closed -$2K
BSJJ
1773
DELISTED
Invesco BulletShares 2019 High Yield Corporate Bond ETF
BSJJ
– –
-475
Closed -$11K
BSCJ
1774
DELISTED
Invesco BulletShares 2019 Corporate Bond ETF
BSCJ
– –
-515
Closed -$10K
STI
1775
DELISTED
SunTrust Banks, Inc.
STI
– –
-8,248
Closed -$567K
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.