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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
ZYXI
1976
DELISTED
Zynex
ZYXI
– –
-4,340
Closed -$61K
CPAY icon
1977
Corpay
CPAY
$26.2B
$0 ﹤0.01%
+1
New +$259
BNT
1978
Brookfield Wealth Solutions
BNT
$12.1B
$0 ﹤0.01%
+5
New +$188
INVX
1979
Innovex International
INVX
$2.02B
$0 ﹤0.01%
12
– –
NAGE
1980
Niagen Bioscience
NAGE
$239M
– –
-6,605
Closed -$65K
ENLC
1981
DELISTED
ENLINK MIDSTREAM, LLC
ENLC
$0 ﹤0.01%
139
– –
MSVX
1982
DELISTED
LHA Market State Alpha Seeker ETF
MSVX
$0 ﹤0.01%
18
– –
CTLT
1983
DELISTED
CATALENT, INC.
CTLT
$0 ﹤0.01%
5
-13
-72% -$1.62K
DJCB
1984
DELISTED
ETRACS Bloomberg Commodity Index Total Return ETN Series B due October 31, 2039
DJCB
– –
-3,694
Closed -$66K
DNMR
1985
DELISTED
Danimer Scientific, Inc.
DNMR
$0 ﹤0.01%
1
-5
-83% -$3.68K
MMAT
1986
DELISTED
Meta Materials Inc. Common Stock
MMAT
– –
0
– –
MOON
1987
DELISTED
Direxion Moonshot Innovators ETF
MOON
– –
-239
Closed -$8K
WRK
1988
DELISTED
WestRock Company
WRK
$0 ﹤0.01%
14
– –
SWAV
1989
DELISTED
Shockwave Medical, Inc. Common Stock
SWAV
$0 ﹤0.01%
+1
New +$196
ERF
1990
DELISTED
Enerplus Corporation
ERF
$0 ﹤0.01%
96
– –
FUV
1991
DELISTED
Arcimoto, Inc. Common Stock
FUV
– –
-480
Closed -$165K
SPLK
1992
DELISTED
Splunk Inc
SPLK
$0 ﹤0.01%
+2
New +$291
BKCC
1993
DELISTED
BlackRock Capital Investment Corporation
BKCC
$0 ﹤0.01%
217
– –
SGEN
1994
DELISTED
Seagen Inc. Common Stock
SGEN
$0 ﹤0.01%
+2
New +$311
VRTV
1995
DELISTED
VERITIV CORPORATION
VRTV
$0 ﹤0.01%
1
– –
CEQP
1996
DELISTED
Crestwood Equity Partners LP
CEQP
$0 ﹤0.01%
27
– –
LTRPA
1997
DELISTED
Liberty TripAdvisor Holdings, Inc. Series A
LTRPA
$0 ﹤0.01%
34
-2
-6% -$7
RAD
1998
DELISTED
Rite Aid Corporation
RAD
– –
-50
Closed –
FFTG
1999
DELISTED
FormulaFolios Tactical Growth ETF
FFTG
$0 ﹤0.01%
15
– –
BBIG
2000
DELISTED
Vinco Ventures, Inc. Common Stock
BBIG
$0 ﹤0.01%
2
-29
-94% -$1.95K
78 79
80
81 82

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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.