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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
+6.77%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.26B
AUM Growth
+$114M
(+9.9%)
Cap. Flow
+$39.5M
Cap. Flow
% of AUM
3.14%
Top 10 Holdings %
Top 10 Hldgs %
49.48%
Holding
1,801
New
113
Increased
378
Reduced
335
Closed
105
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Global X Adaptive US Factor ETF
AUSF
|
+$21.1M |
| 2 |
Vanguard Short-Term Corporate Bond ETF
VCSH
|
+$17.9M |
| 3 |
WisdomTree US MidCap Fund
EZM
|
+$5.8M |
| 4 |
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
|
+$5.05M |
| 5 |
PGIM Ultra Short Bond ETF
PULS
|
+$3.4M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares 3-7 Year Treasury Bond ETF
IEI
|
+$11.3M |
| 2 |
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
|
+$6.74M |
| 3 |
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
|
+$3.09M |
| 4 |
iShares MSCI USA Min Vol Factor ETF
USMV
|
+$2.9M |
| 5 |
Invesco S&P SmallCap 600 Revenue ETF
RWJ
|
+$2.2M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Financials | 6.77% |
| 2 | Technology | 6.26% |
| 3 | Healthcare | 2.89% |
| 4 | Consumer Staples | 2.13% |
| 5 | Energy | 2.03% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
|
176
iShares 3-7 Year Treasury Bond ETF
IEI
$17.8B
| $733K | 0.06% |
5,830
-89,713
| -94% | -$11.3M |
|
177
JPMorgan Ultra-Short Income ETF
JPST
$40.3B
| $732K | 0.06% |
14,523
+6,980
| +93% | +$352K |
|
178
John Hancock Multifactor Mid Cap ETF
JHMM
$6.12B
| $728K | 0.06% |
+18,610
| New | +$704K |
|
179
Enterprise Products Partners
EPD
$81.7B
| $725K | 0.06% |
25,770
+1,041
| +4% | +$28.2K |
|
180
LendingTree
TREE
$451M
| $720K | 0.06% |
2,376
| – | – |
|
181
Honeywell
HON
$78B
| $704K | 0.06% |
4,221
-196
| -4% | -$32K |
|
182
Qualcomm
QCOM
$176B
| $700K | 0.06% |
7,938
-56
| -0.7% | -$4.68K |
|
183
Vanguard FTSE Emerging Markets ETF
VWO
$124B
| $697K | 0.06% |
15,680
+6,567
| +72% | +$278K |
|
184
UnitedHealth
UNH
$370B
| $694K | 0.06% |
2,364
-9
| -0.4% | -$2.35K |
|
185
Eaton
ETN
$174B
| $679K | 0.05% |
7,179
+225
| +3% | +$20K |
|
186
ARK Web x.0 ETF
ARKW
$1.76B
| $677K | 0.05% |
11,761
-3,410
| -22% | -$181K |
|
187
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.9B
| $674K | 0.05% |
4,249
+492
| +13% | +$75.1K |
|
188
First Trust Dorsey Wright Focus 5 ETF
FV
$3.77B
| $672K | 0.05% |
21,301
-397
| -2% | -$12K |
|
|
HFRO
189
Highland Opportunities and Income Fund
HFRO
$407M
| $672K | 0.05% |
54,100
+7,303
| +16% | +$87.9K |
|
190
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.51B
| $670K | 0.05% |
8,989
+575
| +7% | +$42.8K |
|
191
Citigroup
C
$226B
| $654K | 0.05% |
8,190
+4
| +0% | +$296 |
|
192
iShares MSCI China A ETF
CNYA
$208M
| $643K | 0.05% |
21,140
-10,120
| -32% | -$292K |
|
193
Illinois Tool Works
ITW
$84.5B
| $641K | 0.05% |
3,568
+35
| +1% | +$5.93K |
|
194
American Tower
AMT
$80.4B
| $640K | 0.05% |
2,787
+205
| +8% | +$44.7K |
|
195
iShares Expanded Tech-Software Sector ETF
IGV
$14.5B
| $637K | 0.05% |
13,680
-1,085
| -7% | -$48.1K |
|
|
NVO
196
Novo Nordisk
NVO
$209B
| $627K | 0.05% |
21,672
-1,206
| -5% | -$33.4K |
|
197
Target
TGT
$68B
| $620K | 0.05% |
4,841
-26
| -0.5% | -$3.05K |
|
198
TJX Companies
TJX
$178B
| $612K | 0.05% |
10,039
+707
| +8% | +$41.8K |
|
199
Northwest Bancshares
NWBI
$2.28B
| $596K | 0.05% |
35,893
+144
| +0.4% | +$2.41K |
|
200
State Street Technology Select Sector SPDR ETF
XLK
$124B
| $589K | 0.05% |
12,868
-1,000
| -7% | -$42.8K |
|
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Carroll Financial Associates's Q4 2019 Portfolio in Review
As of Q4 2019, Carroll Financial Associates held 1,801 positions worth $1.26B, up 9.9% from $1.14B the previous quarter. Its ten largest holdings account for 49% of the portfolio.
Carroll Financial Associates deployed $39.5M of net new capital in Q4 2019, opening 113 new positions and adding to 378 existing holdings. Its largest new stake was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
By sector, the portfolio is most concentrated in Financials at 6.8% of assets, down from 6.9% a quarter earlier, followed by Technology and Healthcare.
On the sell side, the largest reduction was iShares 3-7 Year Treasury Bond ETF, an estimated $11.3M trimmed.
- Carroll Financial Associates's largest Q4 2019 buy was State Street SPDR S&P 400 Mid Cap Value ETF: 46,097 shares worth $2.52M.
- Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q4 2019, an estimated $21.1M increase.
- Carroll Financial Associates's biggest Q4 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $11.3M.
- Carroll Financial Associates fully exited State Street DoubleLine Total Return Tactical ETF in Q4 2019, selling an estimated $1.17M.
- Carroll Financial Associates's ten largest holdings make up 49% of its $1.26B portfolio in Q4 2019.
- Carroll Financial Associates opened 113 new positions and closed 105 in Q4 2019.
- Carroll Financial Associates's portfolio value rose 9.9% quarter-over-quarter to $1.26B.
Based on Carroll Financial Associates's 13F filing for Q4 2019, filed 8 Jan 2020.