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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
SLG icon
1926
SL Green Realty
SLG
$3.9B
$0 ﹤0.01%
5
– –
SLP icon
1927
Simulations Plus
SLP
$371M
$0 ﹤0.01%
+19
New +$867
SLYV icon
1928
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
$5.04B
$0 ﹤0.01%
1
– –
SMDV icon
1929
ProShares Russell 2000 Dividend Growers ETF
SMDV
$702M
– –
-42
Closed -$2K
SMH icon
1930
VanEck Semiconductor ETF
SMH
$70.1B
– –
-6,396
Closed -$838K
SMMV icon
1931
iShares MSCI USA Small-Cap Min Vol Factor ETF
SMMV
$290M
$0 ﹤0.01%
+10
New +$379
SONN
1932
DELISTED
Sonnet BioTherapeutics
SONN
– –
0
– –
SPXS icon
1933
Direxion Daily S&P 500 Bear 3x ETF
SPXS
$332M
– –
-1
Closed –
SRV
1934
NXG Cushing Midstream Energy Fund
SRV
$216M
$0 ﹤0.01%
28
– –
SSL icon
1935
Sasol
SSL
$7.38B
– –
-3,993
Closed -$61K
SSO icon
1936
ProShares Ultra S&P500
SSO
$8.41B
$0 ﹤0.01%
16
– –
STLD icon
1937
Steel Dynamics
STLD
$38.5B
$0 ﹤0.01%
1
-988
-100% -$63.1K
STNE icon
1938
StoneCo
STNE
$2.52B
– –
-346
Closed -$23K
TBX icon
1939
ProShares Short 7-10 Year Treasury
TBX
$20.9M
– –
-96
Closed -$2K
TEF
1940
DELISTED
Telefonica
TEF
$0 ﹤0.01%
+51
New +$227
TEI
1941
Templeton Emerging Markets Income Fund
TEI
$322M
– –
-1,500
Closed -$11K
TER icon
1942
Teradyne
TER
$57.1B
$0 ﹤0.01%
+2
New +$243
TK icon
1943
Teekay
TK
$973M
– –
-300
Closed -$1K
TLH icon
1944
iShares 10-20 Year Treasury Bond ETF
TLH
$10.8B
$0 ﹤0.01%
4
– –
TTE icon
1945
TotalEnergies
TTE
$195B
$0 ﹤0.01%
+17
New +$754
TZA icon
1946
Direxion Daily Small Cap Bear 3x ETF
TZA
$206M
– –
-2,500
Closed -$716K
UAVS icon
1947
AgEagle Aerial Systems
UAVS
$59.2M
– –
0
– –
UBS icon
1948
UBS Group
UBS
$177B
$0 ﹤0.01%
+18
New +$292
UI icon
1949
Ubiquiti
UI
$34.5B
– –
-236
Closed -$73K
UMC icon
1950
United Microelectronic
UMC
$47.1B
$0 ﹤0.01%
69
-150
-68% -$1.61K
76 77
78
79 80

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NFG
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6M
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RFA
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CCT
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RM
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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.