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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
+6.26%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.63B
AUM Growth
+$123M
Cap. Flow
+$37.1M
Cap. Flow %
2.28%
Top 10 Hldgs %
44.91%
Holding
1,828
New
214
Increased
473
Reduced
322
Closed
87

Top Buys

Rank Stock Value
1
GSST icon
Goldman Sachs Access Ultra Short Bond ETF
GSST
+$13.2M
2
NCNO icon
nCino
NCNO
+$8.92M
3
JPST icon
JPMorgan Ultra-Short Income ETF
JPST
+$6.9M
4
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$4.11M
5
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$2.88M

Top Sells

Rank Stock Value
1
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$8.31M
2
AGGY icon
WisdomTree Yield Enhanced US Aggregate Bond Fund
AGGY
+$7.6M
3
ARKK icon
ARK Innovation ETF
ARKK
+$5.41M
4
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$3.46M
5
KOMP icon
State Street SPDR S&P Kensho New Economies Composite ETF
KOMP
+$3.35M

Sector Composition

Rank Sector Weight
1 Technology 6.93%
2 Financials 5.5%
3 Healthcare 2.53%
4 Consumer Discretionary 2.28%
5 Consumer Staples 1.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IDEX
1801
DELISTED
Ideanomics, Inc. Common Stock
IDEX
$0 ﹤0.01%
+1
New +$435
AMRS
1802
DELISTED
Amyris Inc.
AMRS
$0 ﹤0.01%
+1
New +$15
NMTR
1803
DELISTED
9 Meters Biopharma
NMTR
$0 ﹤0.01%
30
– –
DBD
1804
DELISTED
Diebold Nixdorf Incorporated
DBD
$0 ﹤0.01%
40
– –
AUY
1805
DELISTED
Yamana Gold, Inc.
AUY
$0 ﹤0.01%
100
– –
MTOR
1806
DELISTED
MERITOR, Inc.
MTOR
$0 ﹤0.01%
9
– –
CONE
1807
DELISTED
CyrusOne Inc Common Stock
CONE
$0 ﹤0.01%
+3
New +$208
JTD
1808
DELISTED
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
– –
-1,421
Closed -$20K
WORK
1809
DELISTED
Slack Technologies, Inc.
WORK
– –
-769
Closed -$32K
CMD
1810
DELISTED
Cantel Medical Corporation
CMD
– –
-25
Closed -$1.95K
CUB
1811
DELISTED
Cubic Corporation
CUB
$0 ﹤0.01%
1
– –
RP
1812
DELISTED
RealPage, Inc.
RP
– –
-117
Closed -$10K
PS
1813
DELISTED
Pluralsight, Inc. Class A Common Stock
PS
– –
-580
Closed -$12.4K
MOM
1814
DELISTED
AGFiQ U.S. Market Neutral Momentum Fund
MOM
– –
-90
Closed -$2K
EV
1815
DELISTED
Eaton Vance Corp.
EV
– –
-43
Closed -$2K
AIG.WS
1816
DELISTED
American International Group, Inc.
AIG.WS
– –
-45
Closed –
BMY.RT
1817
DELISTED
Bristol-Myers Squibb Company Contingent Value Rights
BMY.RT
– –
-46
Closed –
MNK
1818
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$0 ﹤0.01%
7
– –
DZSI
1819
DELISTED
DZS Inc. Common Stock
DZSI
$0 ﹤0.01%
4
– –
VAL
1820
DELISTED
Valaris plc Class A Ordinary Share
VAL
$0 ﹤0.01%
240
– –
CFRX
1821
DELISTED
ContraFect Corporation
CFRX
$0 ﹤0.01%
3
– –
STFC
1822
DELISTED
State Auto Financial Corp
STFC
$0 ﹤0.01%
10
– –
CEO
1823
DELISTED
CNOOC Limited
CEO
– –
-34
Closed -$3K
AGGP
1824
DELISTED
IQ Enhanced Core Plus Bond U.S. ETF
AGGP
– –
-1,992
Closed -$39K
CHL
1825
DELISTED
China Mobile Limited
CHL
– –
-206
Closed -$5K
70 71 72
73
74

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Carroll Financial Associates's Q1 2021 Portfolio in Review

As of Q1 2021, Carroll Financial Associates held 1,828 positions worth $1.63B, up 8.2% from $1.5B the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates's Q1 2021 filing shows 214 new, 473 increased, 322 reduced and 87 closed positions. Its largest new stake was Goldman Sachs Access Ultra Short Bond ETF: 259,582 shares worth $13.2M. The largest sale was ARK Genomic Revolution ETF, an estimated $8.31M.

By sector, the portfolio is most concentrated in Technology at 6.9% of assets, down from 7.1% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q1 2021 buy was Goldman Sachs Access Ultra Short Bond ETF: 259,582 shares worth $13.2M.
  • Carroll Financial Associates added most to JPMorgan Ultra-Short Income ETF in Q1 2021, an estimated $6.9M increase.
  • Carroll Financial Associates's biggest Q1 2021 reduction was ARK Genomic Revolution ETF, cutting an estimated $8.31M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF January in Q1 2021, selling an estimated $363K.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $1.63B portfolio in Q1 2021.
  • Carroll Financial Associates opened 214 new positions and closed 87 in Q1 2021.
  • Carroll Financial Associates's portfolio value rose 8.2% quarter-over-quarter to $1.63B.

Based on Carroll Financial Associates's 13F filing for Q1 2021, filed 6 Apr 2021.