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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
UPBD icon
1951
Upbound Group
UPBD
$1.13B
$0 ﹤0.01%
16
– –
UWM icon
1952
ProShares Ultra Russell2000
UWM
$244M
$0 ﹤0.01%
10
– –
VAL.WS icon
1953
Valaris Ltd Warrants
VAL.WS
$753M
$0 ﹤0.01%
+6
New +$17
VALQ icon
1954
American Century US Quality Value ETF
VALQ
$340M
– –
-425
Closed -$21K
VCEL icon
1955
Vericel Corp
VCEL
$2.26B
– –
-965
Closed -$50K
VIAV icon
1956
Viavi Solutions
VIAV
$9.32B
$0 ﹤0.01%
14
+12
+600% +$197
VIPS icon
1957
Vipshop
VIPS
$7.51B
$0 ﹤0.01%
50
– –
VKTX icon
1958
Viking Therapeutics
VKTX
$4B
$0 ﹤0.01%
+47
New +$290
VNO icon
1959
Vornado Realty Trust
VNO
$7.22B
$0 ﹤0.01%
11
– –
VNQI icon
1960
Vanguard Global ex-US Real Estate ETF
VNQI
$3.53B
$0 ﹤0.01%
4
– –
VTOL icon
1961
Bristow Group
VTOL
$1.37B
$0 ﹤0.01%
5
– –
WD icon
1962
Walker & Dunlop
WD
$1.45B
$0 ﹤0.01%
6
-14
-70% -$1.47K
WKHS icon
1963
Workhorse Group
WKHS
$35.1M
– –
-2
Closed -$60.5K
WOW
1964
DELISTED
WideOpenWest
WOW
– –
-7,773
Closed -$160K
WSBC icon
1965
WesBanco
WSBC
$4B
– –
-251
Closed -$8K
WSM icon
1966
Williams-Sonoma
WSM
$29.6B
– –
-916
Closed -$73K
WWD icon
1967
Woodward
WWD
$21.3B
$0 ﹤0.01%
3
– –
XHB icon
1968
State Street SPDR S&P Homebuilders ETF
XHB
$1.58B
– –
-878
Closed -$64K
XMHQ icon
1969
Invesco S&P MidCap Quality ETF
XMHQ
$5.65B
$0 ﹤0.01%
+11
New +$851
XNCR icon
1970
Xencor
XNCR
$1.56B
$0 ﹤0.01%
+22
New +$723
XPEV icon
1971
XPeng
XPEV
$11.4B
$0 ﹤0.01%
+7
New +$278
XRAY icon
1972
Dentsply Sirona
XRAY
$2.36B
$0 ﹤0.01%
15
– –
YELP icon
1973
Yelp
YELP
$1.33B
$0 ﹤0.01%
17
– –
ZLAB icon
1974
Zai Lab
ZLAB
$2.61B
$0 ﹤0.01%
+2
New +$287
ZNTL icon
1975
Zentalis Pharmaceuticals
ZNTL
$300M
$0 ﹤0.01%
10
– –
77 78
79
80 81

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6M
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RFA
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CCT
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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.