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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
MNK
1801
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$0 ﹤0.01%
7
-4
-36% -$20
DLPH
1802
DELISTED
Delphi Technologies PLC Ordinary Shares
DLPH
– –
-8
Closed –
LOGM
1803
DELISTED
LogMein, Inc.
LOGM
$0 ﹤0.01%
12
– –
DZSI
1804
DELISTED
DZS Inc. Common Stock
DZSI
$0 ﹤0.01%
+4
New +$44
LM
1805
DELISTED
Legg Mason, Inc.
LM
$0 ﹤0.01%
1
-1
-50% -$38
SRF
1806
DELISTED
THE CUSHING ROYALTY & INCOME FUND
SRF
$0 ﹤0.01%
140
– –
JCP
1807
DELISTED
J.C. Penney Company, Inc.
JCP
$0 ﹤0.01%
39
-4
-9% -$3
MLNX
1808
DELISTED
Mellanox Technologies, Ltd.
MLNX
– –
-13
Closed -$1K
BDCL
1809
DELISTED
2Leveraged Long ETRACS Linked to the Wells Fargo Business Dev
BDCL
– –
-795
Closed -$11K
CFRX
1810
DELISTED
ContraFect Corporation
CFRX
$0 ﹤0.01%
3
– –
NRE
1811
DELISTED
NorthStar Realty Europe Corp.
NRE
– –
-45
Closed -$763
CRAY
1812
DELISTED
Cray, Inc.
CRAY
– –
-2
Closed –
TRK
1813
DELISTED
Speedway Motorsports, Inc.
TRK
– –
-8,546
Closed -$158K
BT
1814
DELISTED
BT Group plc (ADR)
BT
– –
-1,600
Closed -$20K
APC
1815
DELISTED
Anadarko Petroleum
APC
– –
-1,434
Closed -$101K
DATA
1816
DELISTED
Tableau Software, Inc.
DATA
– –
-381
Closed -$63K
WP
1817
DELISTED
Worldpay, Inc.
WP
– –
-115
Closed -$14K
LEXEA
1818
DELISTED
Liberty Expedia Holdings, Inc. Class A Common Stock
LEXEA
– –
-44
Closed -$2K
GM.WS.B
1819
DELISTED
General Motors Company
GM.WS.B
– –
-164
Closed -$3K
HF
1820
DELISTED
HFF Inc.
HF
– –
-120
Closed -$5K
LLL
1821
DELISTED
L3 Technologies, Inc.
LLL
– –
-64
Closed -$15K
LION
1822
DELISTED
Fidelity Southern Corporation
LION
– –
-336
Closed -$10K
BRS
1823
DELISTED
Bristow Group, Inc.
BRS
– –
-3
Closed –
MFGP
1824
DELISTED
Micro Focus International plc. American Depositary Shares, each representing One Ordinary Share
MFGP
$0 ﹤0.01%
10
-7
-41% -$130
TIS
1825
DELISTED
Orchids Paper Products, Inc.
TIS
– –
-5
Closed –
70 71 72
73
74

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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.