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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
NOVN
2001
DELISTED
Novan, Inc. Common Stock
NOVN
$0 ﹤0.01%
100
– –
CS
2002
DELISTED
Credit Suisse Group
CS
$0 ﹤0.01%
+20
New +$204
DBD
2003
DELISTED
Diebold Nixdorf Incorporated
DBD
$0 ﹤0.01%
40
– –
SJR
2004
DELISTED
Shaw Communications Inc.
SJR
– –
-1,992
Closed -$57K
AUY
2005
DELISTED
Yamana Gold, Inc.
AUY
$0 ﹤0.01%
100
– –
CAJ
2006
DELISTED
Canon, Inc.
CAJ
– –
-400
Closed -$9K
CHAD
2007
DELISTED
Direxion Daily CSI 300 China A Share Bear 1X Shares
CHAD
$0 ﹤0.01%
+51
New +$874
VLDR
2008
DELISTED
Velodyne Lidar, Inc. Common Stock
VLDR
$0 ﹤0.01%
100
– –
CLR
2009
DELISTED
CONTINENTAL RESOURCES INC.
CLR
– –
-1,568
Closed -$59K
TMX
2010
DELISTED
Terminix Global Holdings, Inc.
TMX
– –
-1,178
Closed -$56K
GCP
2011
DELISTED
GCP Applied Technologies Inc.
GCP
$0 ﹤0.01%
40
– –
PTR
2012
DELISTED
PETROCHINA COMPANY LIMITED ADS (REP 100 H SHARES)
PTR
– –
-1,865
Closed -$91K
SPXZ
2013
DELISTED
Morgan Creek Exos SPAC Originated ETF
SPXZ
– –
-276
Closed -$5K
TPTX
2014
DELISTED
Turning Point Therapeutics, Inc. Common Stock
TPTX
$0 ﹤0.01%
+6
New +$427
MTOR
2015
DELISTED
MERITOR, Inc.
MTOR
$0 ﹤0.01%
9
– –
ZNGA
2016
DELISTED
ZYNGA INC. CL A COMMON
ZNGA
$0 ﹤0.01%
115
– –
MIME
2017
DELISTED
Mimecast Limited
MIME
– –
-1,101
Closed -$58K
PBCT
2018
DELISTED
People's United Financial Inc
PBCT
$0 ﹤0.01%
29
– –
XEC
2019
DELISTED
CIMAREX ENERGY CO
XEC
– –
-863
Closed -$62K
SYKE
2020
DELISTED
SYKES Enterprises Inc
SYKE
– –
-800
Closed -$42K
MXIM
2021
DELISTED
Maxim Integrated Products
MXIM
– –
-301
Closed -$31K
BPYU
2022
DELISTED
Brookfield Property REIT Inc. Class A Common Stock
BPYU
– –
-545
Closed -$10K
ALXN
2023
DELISTED
Alexion Pharmaceuticals
ALXN
– –
-7
Closed -$1K
WORK
2024
DELISTED
Slack Technologies, Inc.
WORK
– –
-1,298
Closed -$57K
PRAH
2025
DELISTED
PRA Health Sciences, Inc.
PRAH
– –
-1,410
Closed -$232K
78 79 80
81
82

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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.