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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
+13.95%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
Cap. Flow
+$35.5M
Cap. Flow %
2.36%
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146

Top Buys

Rank Stock Value
1
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$33.5M
2
MSTB icon
LHA Market State Tactical Beta ETF
MSTB
+$7.7M
3
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
+$6.42M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$5.32M
5
EJAN icon
Innovator Emerging Markets Power Buffer ETF January
EJAN
+$5.1M

Top Sells

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$13M
2
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$6.63M
3
PJUL icon
Innovator US Equity Power Buffer ETF July
PJUL
+$6.55M
4
AGZD icon
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
+$5.47M
5
EJUL icon
Innovator Emerging Markets Power Buffer ETF July
EJUL
+$4.6M

Sector Composition

Rank Sector Weight
1 Technology 7.07%
2 Financials 5.1%
3 Healthcare 2.68%
4 Consumer Discretionary 2.27%
5 Consumer Staples 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ALGN icon
201
Align Technology
ALGN
$12.5B
$675K 0.04%
1,264
+226
+22% +$102K
WCLD
202
WisdomTree Cloud Computing Fund
WCLD
$305M
$674K 0.04%
12,590
-318
-2% -$15.2K
SBUX icon
203
Starbucks
SBUX
$119B
$666K 0.04%
6,232
-500
-7% -$47.7K
PFM icon
204
Invesco Dividend Achievers ETF
PFM
$809M
$659K 0.04%
20,069
+54
+0.3% +$1.72K
IHI icon
205
iShares US Medical Devices ETF
IHI
$3.44B
$658K 0.04%
12,078
+1,152
+11% +$60.2K
PPG icon
206
PPG Industries
PPG
$25.7B
$652K 0.04%
4,521
-231
-5% -$32.2K
TREE icon
207
LendingTree
TREE
$453M
$650K 0.04%
2,376
– –
IYJ icon
208
iShares US Industrials ETF
IYJ
$1.94B
$649K 0.04%
6,687
+6,597
+7,330% +$602K
SOXX icon
209
iShares Semiconductor ETF
SOXX
$44.8B
$649K 0.04%
5,136
-918
-15% -$105K
IEFA icon
210
iShares Core MSCI EAFE ETF
IEFA
$195B
$645K 0.04%
9,341
-319
-3% -$20.6K
LNC icon
211
Lincoln National
LNC
$8.75B
$635K 0.04%
12,639
– –
SIZE icon
212
iShares MSCI USA Size Factor ETF
SIZE
$442M
$633K 0.04%
5,700
+2,756
+94% +$285K
MDLZ icon
213
Mondelez International
MDLZ
$78.5B
$626K 0.04%
10,711
-36
-0.3% -$2.06K
AMT icon
214
American Tower
AMT
$78.8B
$625K 0.04%
2,787
– –
USFR
215
DELISTED
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
$623K 0.04%
24,859
-11,298
-31% -$283K
RJF icon
216
Raymond James Financial
RJF
$34.5B
$621K 0.04%
9,737
+800
+9% +$45.8K
ALB icon
217
Albemarle
ALB
$15.5B
$602K 0.04%
4,084
+597
+17% +$70.9K
IYT icon
218
iShares US Transportation ETF
IYT
$2.27B
$601K 0.04%
10,900
+3,612
+50% +$193K
ICLN icon
219
iShares Global Clean Energy ETF
ICLN
$2.08B
$592K 0.04%
20,970
+1,029
+5% +$23.1K
TJX icon
220
TJX Companies
TJX
$175B
$588K 0.04%
8,616
-274
-3% -$16.7K
GILD icon
221
Gilead Sciences
GILD
$165B
$582K 0.04%
10,001
-951
-9% -$57.4K
IBB icon
222
iShares Biotechnology ETF
IBB
$9.82B
$575K 0.04%
3,801
+67
+2% +$9.57K
YUM icon
223
Yum! Brands
YUM
$39.7B
$573K 0.04%
5,286
– –
IEMG icon
224
iShares Core MSCI Emerging Markets ETF
IEMG
$155B
$571K 0.04%
9,208
+179
+2% +$10.3K
DD icon
225
DuPont de Nemours
DD
$19.1B
$569K 0.04%
6,382
+65
+1% +$5.1K
7 8
9
10 11

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Carroll Financial Associates's Q4 2020 Portfolio in Review

As of Q4 2020, Carroll Financial Associates held 1,758 positions worth $1.5B, up 16% from $1.3B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Carroll Financial Associates's Q4 2020 filing shows 90 new, 349 increased, 401 reduced and 146 closed positions. Its largest new stake was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M. The largest sale was Global X Adaptive US Factor ETF, an estimated $13M.

By sector, the portfolio is most concentrated in Technology at 7.1% of assets, down from 7.4% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q4 2020 buy was LHA Market State Tactical Beta ETF: 294,973 shares worth $7.98M.
  • Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q4 2020, an estimated $33.5M increase.
  • Carroll Financial Associates's biggest Q4 2020 reduction was Global X Adaptive US Factor ETF, cutting an estimated $13M.
  • Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF July in Q4 2020, selling an estimated $6.55M.
  • Carroll Financial Associates's ten largest holdings make up 47% of its $1.5B portfolio in Q4 2020.
  • Carroll Financial Associates opened 90 new positions and closed 146 in Q4 2020.
  • Carroll Financial Associates's portfolio value rose 16% quarter-over-quarter to $1.5B.

Based on Carroll Financial Associates's 13F filing for Q4 2020, filed 8 Jan 2021.