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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
MTOR
1751
DELISTED
MERITOR, Inc.
MTOR
$0 ﹤0.01%
+9
New +$203
KRA
1752
DELISTED
Kraton Corporation
KRA
$0 ﹤0.01%
38
– –
GWB
1753
DELISTED
Great Western Bancorp, Inc.
GWB
$0 ﹤0.01%
60
– –
BMTC
1754
DELISTED
Bryn Mawr Bank Corp
BMTC
$0 ﹤0.01%
26
– –
VTA
1755
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
$0 ﹤0.01%
106
– –
AIRTW
1756
DELISTED
Air T Inc Warrants
AIRTW
– –
-4,192
Closed –
CUB
1757
DELISTED
Cubic Corporation
CUB
$0 ﹤0.01%
1
– –
IPHI
1758
DELISTED
INPHI CORPORATION
IPHI
– –
-33
Closed -$3K
GMLP
1759
DELISTED
Golar LNG Partners LP
GMLP
$0 ﹤0.01%
+75
New +$196
ACIA
1760
DELISTED
Acacia Communications Inc
ACIA
– –
-57
Closed -$3K
ZAGG
1761
DELISTED
ZAGG Inc Common Stock (Delaware)
ZAGG
$0 ﹤0.01%
3
– –
AIG.WS
1762
DELISTED
American International Group, Inc.
AIG.WS
$0 ﹤0.01%
45
– –
PE
1763
DELISTED
PARSLEY ENERGY INC
PE
$0 ﹤0.01%
65
– –
TIF
1764
DELISTED
Tiffany & Co.
TIF
– –
-31
Closed -$3K
BMY.RT
1765
DELISTED
Bristol-Myers Squibb Company Contingent Value Rights
BMY.RT
$0 ﹤0.01%
+46
New +$131
GV
1766
DELISTED
Goldfield Corporation
GV
$0 ﹤0.01%
+200
New +$809
GPOR
1767
DELISTED
Gulfport Energy Corp.
GPOR
$0 ﹤0.01%
315
– –
CBL
1768
DELISTED
CBL& Associates Properties, Inc.
CBL
– –
-27,600
Closed -$7K
AKCA
1769
DELISTED
Akcea Therapeutics Inc
AKCA
– –
-275
Closed -$3K
MNK
1770
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$0 ﹤0.01%
7
– –
PSV
1771
DELISTED
Hermitage Offshore Services Ltd.
PSV
$0 ﹤0.01%
4
– –
DIVY
1772
DELISTED
Reality Shares DIVS ETF
DIVY
– –
-70
Closed -$1K
LOGM
1773
DELISTED
LogMein, Inc.
LOGM
– –
-1
Closed –
DZSI
1774
DELISTED
DZS Inc. Common Stock
DZSI
$0 ﹤0.01%
4
– –
SCIU
1775
DELISTED
Global X Scientific Beta US ETF
SCIU
– –
-48,086
Closed -$1.49M
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.