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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
CBM
1776
DELISTED
Cambrex Corporation
CBM
– –
-200
Closed -$11K
VIAB
1777
DELISTED
Viacom Inc. Class B
VIAB
– –
-272
Closed -$6K
NNC
1778
DELISTED
Nuveen North Carolina Quality Municipal Income Fund
NNC
– –
-727
Closed -$9K
BPL
1779
DELISTED
Buckeye Partners, L.P.
BPL
– –
-600
Closed -$24K
ISCA
1780
DELISTED
International Speedway Corp
ISCA
– –
-260
Closed -$11K
VSM
1781
DELISTED
Versum Materials, Inc.
VSM
– –
-237
Closed -$12K
AABA
1782
DELISTED
Altaba Inc
AABA
– –
-250
Closed -$4K
GNCA
1783
DELISTED
Genocea Biosciences, Inc.
GNCA
$0 ﹤0.01%
375
– –
MFGP
1784
DELISTED
Micro Focus International plc. American Depositary Shares, each representing One Ordinary Share
MFGP
$0 ﹤0.01%
10
– –
ICON
1785
DELISTED
Iconix Brand Group, Inc.
ICON
$0 ﹤0.01%
1
– –
QMN
1786
DELISTED
IQ Hedge Market Neutral Tracker ETF
QMN
– –
-19,089
Closed -$506K
WLL
1787
DELISTED
Whiting Petroleum Corporation
WLL
– –
0
– –
REGI
1788
DELISTED
Renewable Energy Group, Inc.
REGI
$0 ﹤0.01%
3
– –
STFC
1789
DELISTED
State Auto Financial Corp
STFC
$0 ﹤0.01%
10
– –
UFS
1790
DELISTED
DOMTAR CORPORATION (New)
UFS
$0 ﹤0.01%
1
– –
ORBC
1791
DELISTED
ORBCOMM, Inc.
ORBC
– –
-644
Closed -$3K
CHU
1792
DELISTED
China Unicom (HONG KONG) Limited
CHU
$0 ﹤0.01%
2
– –
AMU
1793
DELISTED
ETRACS Alerian MLP Index ETN
AMU
$0 ﹤0.01%
48
– –
FTR
1794
DELISTED
Frontier Communications Corp.
FTR
$0 ﹤0.01%
110
-23
-17% -$19
CEFL
1795
DELISTED
ETRACS Monthly Pay 2xLeveraged Closed-End Fund ETN
CEFL
– –
-2,000
Closed -$28K
WLH
1796
DELISTED
WILLIAM LYON HOMES
WLH
$0 ﹤0.01%
1
– –
CELG
1797
DELISTED
Celgene Corp
CELG
– –
-313
Closed -$31K
NEWN
1798
DELISTED
NEW ENG SYS GRP COM STK (NV)
NEWN
$0 ﹤0.01%
30
– –
FNSR
1799
DELISTED
Finisar Corp
FNSR
– –
-1
Closed –
GCVRZ
1800
DELISTED
Sanofi Contingent Value Rights
GCVRZ
$0 ﹤0.01%
42
– –
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.