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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
VIVO
2026
DELISTED
Meridian Bioscience Inc
VIVO
– –
-60
Closed -$1K
SPNE
2027
DELISTED
SeaSpine Holdings Corporation Common Stock
SPNE
$0 ﹤0.01%
+17
New +$244
ABMD
2028
DELISTED
Abiomed Inc
ABMD
– –
-8
Closed -$2.7K
MNDT
2029
DELISTED
Mandiant, Inc. Common Stock
MNDT
– –
-318
Closed -$5K
TPTX
2030
DELISTED
Turning Point Therapeutics, Inc. Common Stock
TPTX
– –
-6
Closed –
MTOR
2031
DELISTED
MERITOR, Inc.
MTOR
$0 ﹤0.01%
9
– –
ZNGA
2032
DELISTED
ZYNGA INC. CL A COMMON
ZNGA
$0 ﹤0.01%
115
– –
KLDO
2033
DELISTED
Kaleido Biosciences, Inc. Common Stock
KLDO
$0 ﹤0.01%
339
– –
PBCT
2034
DELISTED
People's United Financial Inc
PBCT
$0 ﹤0.01%
29
– –
NUAN
2035
DELISTED
Nuance Communications, Inc.
NUAN
– –
-78
Closed -$4K
RBNC
2036
DELISTED
Reliant Bancorp, Inc. Common Stock
RBNC
– –
-2,095
Closed -$66K
COR
2037
DELISTED
Coresite Realty Corporation
COR
– –
-13
Closed -$1K
HCAQ
2038
DELISTED
HealthCor Catalio Acquisition Corp. Class A Ordinary Shares
HCAQ
– –
-2,503
Closed -$24K
BSCL
2039
DELISTED
Invesco BulletShares 2021 Corporate Bond ETF
BSCL
– –
-304
Closed -$6K
KSU
2040
DELISTED
Kansas City Southern
KSU
– –
-133
Closed -$35K
HRC
2041
DELISTED
HILL-ROM HOLDINGS, INC.
HRC
– –
-563
Closed -$84K
PCI
2042
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
– –
-1,040
Closed -$21K
PPD
2043
DELISTED
PPD, Inc. Common Stock
PPD
– –
-115
Closed -$5K
AGC
2044
DELISTED
Altimeter Growth Corp
AGC
– –
-400
Closed -$4K
INOV
2045
DELISTED
Inovalon Holdings, Inc. Class A Common Stock
INOV
– –
-1,416
Closed -$57K
FLXN
2046
DELISTED
Flexion Therapeutics, Inc.
FLXN
– –
-2,000
Closed -$12K
VTA
2047
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
– –
-106
Closed -$1K
LDL
2048
DELISTED
Lydall, Inc.
LDL
– –
-500
Closed -$31K
DZSI
2049
DELISTED
DZS Inc. Common Stock
DZSI
– –
-4
Closed –
PVAL
2050
DELISTED
Principal Contrarian Value Index ETF
PVAL
– –
-1,140
Closed -$29K
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.