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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
+7.48%
1 Year Est. Return
+20.52%
3 Year Est. Return
+79.91%
5 Year Est. Return
+101.11%
10 Year Est. Return
–
AUM
$1.88B
AUM Growth
+$88.3M
Cap. Flow
-$37.1M
Cap. Flow %
-1.97%
Top 10 Hldgs %
44.75%
Holding
2,065
New
131
Increased
428
Reduced
514
Closed
302

Top Buys

1
JAAA icon
Janus Henderson AAA CLO ETF
JAAA
+$34.1M
2
STIP icon
iShares 0-5 Year TIPS Bond ETF
STIP
+$14.1M
3
ARMR
Armor US Equity Index ETF
ARMR
+$8.94M
4
RAAX icon
VanEck Inflation Allocation ETF
RAAX
+$6.02M
5
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$3.57M

Top Sells

1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.6M
2
ISTB icon
iShares Core 1-5 Year USD Bond ETF
ISTB
+$11.4M
3
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$9.7M
4
SCHX icon
Schwab US Large- Cap ETF
SCHX
+$6.92M
5
VIG icon
Vanguard Dividend Appreciation ETF
VIG
+$5.08M

Sector Composition

1 Technology 7.87%
2 Financials 5.3%
3 Healthcare 2.68%
4 Consumer Discretionary 2.41%
5 Consumer Staples 1.89%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WRK
2001
DELISTED
WestRock Company
WRK
$0 ﹤0.01%
14
– –
AIRC
2002
DELISTED
Apartment Income REIT Corp.
AIRC
– –
-40
Closed -$1K
SWAV
2003
DELISTED
Shockwave Medical, Inc. Common Stock
SWAV
$0 ﹤0.01%
1
– –
DSKE
2004
DELISTED
Daseke, Inc. Common Stock
DSKE
– –
-121
Closed -$1K
SPLK
2005
DELISTED
Splunk Inc
SPLK
– –
-2
Closed -$279
BKCC
2006
DELISTED
BlackRock Capital Investment Corporation
BKCC
$0 ﹤0.01%
217
– –
SGEN
2007
DELISTED
Seagen Inc. Common Stock
SGEN
$0 ﹤0.01%
2
– –
VRTV
2008
DELISTED
VERITIV CORPORATION
VRTV
$0 ﹤0.01%
1
– –
CEQP
2009
DELISTED
Crestwood Equity Partners LP
CEQP
– –
-27
Closed –
LTRPA
2010
DELISTED
Liberty TripAdvisor Holdings, Inc. Series A
LTRPA
$0 ﹤0.01%
34
– –
FFTG
2011
DELISTED
FormulaFolios Tactical Growth ETF
FFTG
$0 ﹤0.01%
15
– –
HYLD
2012
DELISTED
High Yield ETF
HYLD
– –
-860
Closed -$27K
BBIG
2013
DELISTED
Vinco Ventures, Inc. Common Stock
BBIG
– –
-2
Closed –
NOVN
2014
DELISTED
Novan, Inc. Common Stock
NOVN
$0 ﹤0.01%
100
– –
LSI
2015
DELISTED
Life Storage, Inc.
LSI
– –
-19
Closed -$2.54K
HEXO
2016
DELISTED
HEXO Corp. Common Shares
HEXO
$0 ﹤0.01%
80
– –
CS
2017
DELISTED
Credit Suisse Group
CS
– –
-20
Closed –
DBD
2018
DELISTED
Diebold Nixdorf Incorporated
DBD
$0 ﹤0.01%
40
– –
VCLO
2019
DELISTED
Simplify Volt Cloud and Cybersecurity Disruption ETF
VCLO
– –
-231
Closed -$3K
CSII
2020
DELISTED
Cardiovascular Systems, Inc.
CSII
– –
-39
Closed -$1K
ARVL
2021
DELISTED
Arrival Ordinary Shares
ARVL
– –
-20
Closed -$11.7K
AUY
2022
DELISTED
Yamana Gold, Inc.
AUY
– –
-100
Closed –
LHCG
2023
DELISTED
LHC Group LLC
LHCG
– –
-8
Closed -$1K
CHAD
2024
DELISTED
Direxion Daily CSI 300 China A Share Bear 1X Shares
CHAD
– –
-51
Closed –
VLDR
2025
DELISTED
Velodyne Lidar, Inc. Common Stock
VLDR
$0 ﹤0.01%
100
– –
79 80
81
82 83

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Carroll Financial Associates's Q4 2021 Portfolio in Review

As of Q4 2021, Carroll Financial Associates held 2,065 positions worth $1.88B, up 4.9% from $1.79B the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Carroll Financial Associates's Q4 2021 filing shows 131 new, 428 increased, 514 reduced and 302 closed positions. Its largest new stake was Janus Henderson AAA CLO ETF: 676,455 shares worth $34.1M. The largest sale was Janus Henderson Short Duration Income ETF, an estimated $33.6M.

By sector, the portfolio is most concentrated in Technology at 7.9% of assets, up from 6.9% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2021 buy was Janus Henderson AAA CLO ETF: 676,455 shares worth $34.1M.
  • Carroll Financial Associates added most to iShares 0-5 Year TIPS Bond ETF in Q4 2021, an estimated $14.1M increase.
  • Carroll Financial Associates's biggest Q4 2021 reduction was Janus Henderson Short Duration Income ETF, cutting an estimated $33.6M.
  • Carroll Financial Associates fully exited John Hancock Multifactor Large Cap ETF in Q4 2021, selling an estimated $2.3M.
  • Carroll Financial Associates's ten largest holdings make up 45% of its $1.88B portfolio in Q4 2021.
  • Carroll Financial Associates opened 131 new positions and closed 302 in Q4 2021.
  • Carroll Financial Associates's portfolio value rose 4.9% quarter-over-quarter to $1.88B.

Based on Carroll Financial Associates's 13F filing for Q4 2021, filed 6 Jan 2022.