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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
-0.55%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.79B
AUM Growth
+$22.2M
Cap. Flow
+$37.5M
Cap. Flow %
2.1%
Top 10 Hldgs %
43.07%
Holding
2,036
New
245
Increased
533
Reduced
393
Closed
104

Top Buys

Rank Stock Value
1
ARMR
Armor US Equity Index ETF
ARMR
+$16.3M
2
SPD icon
Simplify US Equity PLUS Downside Convexity ETF
SPD
+$9.62M
3
VFMF icon
Vanguard US Multifactor ETF
VFMF
+$4.73M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.93M
5
RAAX icon
VanEck Inflation Allocation ETF
RAAX
+$3.78M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.86M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.21M
3
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$2.99M
4
ADER
26 Capital Acquisition Corp
ADER
+$2.49M
5
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$1.98M

Sector Composition

Rank Sector Weight
1 Technology 6.94%
2 Financials 5.81%
3 Healthcare 2.4%
4 Consumer Discretionary 2.07%
5 Consumer Staples 1.68%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GL icon
1826
Globe Life
GL
$14.2B
– –
-2,954
Closed -$281K
GMAB icon
1827
Genmab
GMAB
$19.2B
$0 ﹤0.01%
+11
New +$494
GME icon
1828
GameStop
GME
$8.43B
$0 ﹤0.01%
4
– –
GPRE icon
1829
Green Plains
GPRE
$1.06B
– –
-1,840
Closed -$61K
GTX icon
1830
Garrett Motion
GTX
$5.41B
$0 ﹤0.01%
+16
New +$115
HACK icon
1831
Amplify Cybersecurity ETF
HACK
$3.01B
– –
-3,351
Closed -$203K
HLF icon
1832
Herbalife
HLF
$1.21B
– –
-3,197
Closed -$168K
HMC icon
1833
Honda
HMC
$41.2B
$0 ﹤0.01%
+10
New +$315
HST icon
1834
Host Hotels & Resorts
HST
$15.5B
$0 ﹤0.01%
26
– –
HYMC icon
1835
Hycroft Mining Holding Corp
HYMC
$2.54B
– –
-20
Closed –
IGLB icon
1836
iShares 10+ Year Investment Grade Corporate Bond ETF
IGLB
$2.78B
$0 ﹤0.01%
9
– –
IGOV icon
1837
iShares International Treasury Bond ETF
IGOV
$1.53B
$0 ﹤0.01%
18
+1
+6% +$53
IMNN icon
1838
Imunon
IMNN
$6.85M
$0 ﹤0.01%
+2
New +$415
IMO icon
1839
Imperial Oil
IMO
$62.3B
– –
-1,825
Closed -$55K
INCY icon
1840
Incyte
INCY
$24.6B
– –
-10
Closed –
INN
1841
Summit Hotel Properties
INN
$670M
$0 ﹤0.01%
+100
New +$915
ITT icon
1842
ITT
ITT
$18.9B
$0 ﹤0.01%
+4
New +$375
IYE icon
1843
iShares US Energy ETF
IYE
$1.78B
– –
-4,137
Closed -$120K
JD icon
1844
JD.com
JD
$45.2B
– –
-200
Closed -$15K
JEF icon
1845
Jefferies Financial Group
JEF
$12.8B
– –
-659
Closed -$21K
JPEM icon
1846
JPMorgan Diversified Return Emerging Markets Equity ETF
JPEM
$394M
$0 ﹤0.01%
12
– –
JPI
1847
DELISTED
Nuveen Preferred Securities & Income Opportunities Fund
JPI
– –
-1,000
Closed -$25K
JQC icon
1848
Nuveen Credit Strategies Income Fund
JQC
$712M
$0 ﹤0.01%
15
-3,000
-100% -$19.6K
JRS icon
1849
Nuveen Real Estate Income Fund
JRS
$244M
– –
-9,615
Closed -$106K
OPLN
1850
Openlane
OPLN
$4.58B
$0 ﹤0.01%
28
– –
72 73
74
75 76

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Carroll Financial Associates's Q3 2021 Portfolio in Review

As of Q3 2021, Carroll Financial Associates held 2,036 positions worth $1.79B, up 1.3% from $1.77B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Carroll Financial Associates's Q3 2021 filing shows 245 new, 533 increased, 393 reduced and 104 closed positions. Its largest new stake was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M. The largest sale was State Street SPDR S&P 500 ETF Trust, an estimated $8.86M.

By sector, the portfolio is most concentrated in Technology at 6.9% of assets, down from 7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2021 buy was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M.
  • Carroll Financial Associates added most to Armor US Equity Index ETF in Q3 2021, an estimated $16.3M increase.
  • Carroll Financial Associates's biggest Q3 2021 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.86M.
  • Carroll Financial Associates fully exited VanEck Semiconductor ETF in Q3 2021, selling an estimated $838K.
  • Carroll Financial Associates's ten largest holdings make up 43% of its $1.79B portfolio in Q3 2021.
  • Carroll Financial Associates opened 245 new positions and closed 104 in Q3 2021.
  • Carroll Financial Associates's portfolio value rose 1.3% quarter-over-quarter to $1.79B.

Based on Carroll Financial Associates's 13F filing for Q3 2021, filed 7 Oct 2021.