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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
+1.36%
1 Year Est. Return
+20.52%
3 Year Est. Return
+79.91%
5 Year Est. Return
+101.11%
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
-$3.41M
(-0.3%)
Cap. Flow
-$15.4M
Cap. Flow
% of AUM
-1.35%
Top 10 Holdings %
Top 10 Hldgs %
49.23%
Holding
1,848
New
95
Increased
278
Reduced
448
Closed
159
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Global X Adaptive US Factor ETF
AUSF
|
+$10.7M |
| 2 |
PGIM Ultra Short Bond ETF
PULS
|
+$3.7M |
| 3 |
VictoryShares US Small Cap High Div Volatility Wtd ETF
CSB
|
+$3.4M |
| 4 |
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
|
+$3.08M |
| 5 |
FOCS
Focus Financial Partners Inc. Class A
FOCS
|
+$2.02M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares 3-7 Year Treasury Bond ETF
IEI
|
+$10.1M |
| 2 |
Invesco FTSE RAFI US 1000 ETF
PRF
|
+$9.71M |
| 3 |
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
|
+$5.36M |
| 4 |
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
|
+$4.96M |
| 5 |
JPMorgan Diversified Return International Equity ETF
JPIN
|
+$4.7M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Financials | 6.94% |
| 2 | Technology | 5.89% |
| 3 | Healthcare | 2.9% |
| 4 | Energy | 2.34% |
| 5 | Consumer Staples | 2.27% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
|
1
Global X Adaptive US Factor ETF
AUSF
$888M
| $159M | 13.9% |
6,337,462
+435,362
| +7% | +$10.7M |
|
2
iShares MSCI USA Min Vol Factor ETF
USMV
$23.2B
| $115M | 10% |
1,786,634
-56,246
| -3% | -$3.56M |
|
|
3
Invesco FTSE RAFI US 1000 ETF
PRF
$9.73B
| $81.5M | 7.12% |
3,458,405
-416,560
| -11% | -$9.71M |
|
|
KLDW
4
DELISTED
Knowledge Leaders Developed World ETF
KLDW
| $72.6M | 6.34% |
2,151,160
-50,428
| -2% | -$1.67M |
|
5
iShares MSCI USA Momentum Factor ETF
MTUM
$25.5B
| $26.6M | 2.32% |
222,911
-2,603
| -1% | -$314K |
|
6
Microsoft
MSFT
$2.84T
| $25.6M | 2.23% |
184,004
-7,678
| -4% | -$1.06M |
|
7
Vanguard Dividend Appreciation ETF
VIG
$111B
| $24M | 2.1% |
200,720
+2,317
| +1% | +$273K |
|
8
Apple
AAPL
$4.89T
| $23.5M | 2.05% |
419,832
-5,824
| -1% | -$304K |
|
9
State Street SPDR S&P 500 ETF Trust
SPY
$778B
| $18.1M | 1.58% |
61,015
-448
| -0.7% | -$132K |
|
10
Berkshire Hathaway Class B
BRK.B
$1.07T
| $18.1M | 1.58% |
86,795
+109
| +0.1% | +$22.5K |
|
11
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
$16.6B
| $16M | 1.4% |
354,604
-18,843
| -5% | -$834K |
|
12
iShares Core S&P 500 ETF
IVV
$876B
| $14.3M | 1.25% |
47,777
-601
| -1% | -$179K |
|
13
Duke Energy
DUK
$102B
| $13.4M | 1.17% |
139,750
-2,736
| -2% | -$249K |
|
14
ExxonMobil
XOM
$651B
| $12.6M | 1.1% |
177,753
-7,664
| -4% | -$554K |
|
15
Invesco Russell 1000 Dynamic Multifactor ETF
OMFL
$4.69B
| $12.3M | 1.07% |
394,850
+49,534
| +14% | +$1.5M |
|
|
16
iShares 3-7 Year Treasury Bond ETF
IEI
$18.1B
| $12.1M | 1.06% |
95,543
-79,604
| -45% | -$10.1M |
|
17
ARK Genomic Revolution ETF
ARKG
$1.51B
| $10.4M | 0.91% |
351,641
-577
| -0.2% | -$18.8K |
|
18
ARK Innovation ETF
ARKK
$5.89B
| $9.71M | 0.85% |
226,457
-18,585
| -8% | -$852K |
|
19
iShares Core S&P Mid-Cap ETF
IJH
$123B
| $8.95M | 0.78% |
231,475
-11,780
| -5% | -$453K |
|
20
Truist Financial
TFC
$63.2B
| $8.74M | 0.76% |
163,716
-14,317
| -8% | -$710K |
|
21
Invesco S&P 500 Equal Weight ETF
RSP
$96.1B
| $8.63M | 0.75% |
79,819
+3,612
| +5% | +$388K |
|
22
JPMorgan Chase
JPM
$939B
| $8.02M | 0.7% |
68,125
+6,479
| +11% | +$733K |
|
23
Johnson & Johnson
JNJ
$635B
| $7.9M | 0.69% |
61,038
-1,468
| -2% | -$193K |
|
24
Pfizer
PFE
$140B
| $7.04M | 0.62% |
206,559
-4,672
| -2% | -$170K |
|
25
Schwab Fundamental US Large Company Index ETF
FNDX
$26.4B
| $6.98M | 0.61% |
529,476
-95,418
| -15% | -$1.24M |
|
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Carroll Financial Associates's Q3 2019 Portfolio in Review
As of Q3 2019, Carroll Financial Associates held 1,848 positions worth $1.14B, down 0.3% from $1.15B the previous quarter. Its ten largest holdings account for 49% of the portfolio.
Carroll Financial Associates's Q3 2019 filing shows 95 new, 278 increased, 448 reduced and 159 closed positions. Its largest new stake was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M. The largest sale was iShares 3-7 Year Treasury Bond ETF, an estimated $10.1M.
By sector, the portfolio is most concentrated in Financials at 6.9% of assets, up from 6.8% a quarter earlier, followed by Technology and Healthcare.
- Carroll Financial Associates's largest Q3 2019 buy was iShares Core 1-5 Year USD Bond ETF: 33,694 shares worth $1.7M.
- Carroll Financial Associates added most to Global X Adaptive US Factor ETF in Q3 2019, an estimated $10.7M increase.
- Carroll Financial Associates's biggest Q3 2019 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $10.1M.
- Carroll Financial Associates fully exited iShares US Healthcare Providers ETF in Q3 2019, selling an estimated $338K.
- Carroll Financial Associates's ten largest holdings make up 49% of its $1.14B portfolio in Q3 2019.
- Carroll Financial Associates opened 95 new positions and closed 159 in Q3 2019.
- Carroll Financial Associates's portfolio value fell 0.3% quarter-over-quarter to $1.14B.
Based on Carroll Financial Associates's 13F filing for Q3 2019, filed 9 Oct 2019.