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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
+8.4%
1 Year Est. Return
+20.52%
3 Year Est. Return
+79.91%
5 Year Est. Return
+101.11%
10 Year Est. Return
–
AUM
$1.3B
AUM Growth
+$96.9M
(+8.1%)
Cap. Flow
+$4.07M
Cap. Flow
% of AUM
0.31%
Top 10 Holdings %
Top 10 Hldgs %
48.04%
Holding
1,793
New
90
Increased
315
Reduced
397
Closed
127
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Janus Henderson Short Duration Income ETF
VNLA
|
+$9.69M |
| 2 |
Innovator US Equity Power Buffer ETF September
PSEP
|
+$5.47M |
| 3 |
PGIM Ultra Short Bond ETF
PULS
|
+$4.77M |
| 4 |
Global X Adaptive US Factor ETF
AUSF
|
+$4.62M |
| 5 |
Innovator Emerging Markets Power Buffer ETF July
EJUL
|
+$4.59M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Xtrackers USD High Yield Corporate Bond ETF
HYLB
|
+$9.64M |
| 2 |
Innovator Growth-100 Power Buffer ETF January
NJAN
|
+$5.35M |
| 3 |
Apple
AAPL
|
+$5.11M |
| 4 |
Invesco FTSE RAFI US 1000 ETF
PRF
|
+$2.48M |
| 5 |
Microsoft
MSFT
|
+$2.41M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 7.44% |
| 2 | Financials | 4.98% |
| 3 | Healthcare | 2.9% |
| 4 | Consumer Discretionary | 2.43% |
| 5 | Consumer Staples | 2.13% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
|
1
Global X Adaptive US Factor ETF
AUSF
$901M
| $137M | 10.54% |
6,186,879
+207,336
| +3% | +$4.62M |
|
2
iShares MSCI USA Min Vol Factor ETF
USMV
$23.4B
| $129M | 9.94% |
2,020,000
+18,655
| +0.9% | +$1.18M |
|
|
KLDW
3
DELISTED
Knowledge Leaders Developed World ETF
KLDW
| $91.9M | 7.1% |
2,428,454
+33,855
| +1% | +$1.24M |
|
|
4
Invesco FTSE RAFI US 1000 ETF
PRF
$9.76B
| $60.3M | 4.65% |
2,648,445
-108,495
| -4% | -$2.48M |
|
5
iShares MSCI USA Momentum Factor ETF
MTUM
$25.2B
| $42.8M | 3.3% |
290,354
+1,258
| +0.4% | +$180K |
|
|
6
Apple
AAPL
$4.95T
| $42.6M | 3.29% |
367,879
-46,813
| -11% | -$5.11M |
|
|
7
Microsoft
MSFT
$2.89T
| $33M | 2.55% |
156,763
-11,491
| -7% | -$2.41M |
|
8
ARK Innovation ETF
ARKK
$5.74B
| $29M | 2.24% |
315,440
-20,686
| -6% | -$1.77M |
|
9
Vanguard Dividend Appreciation ETF
VIG
$112B
| $28.8M | 2.22% |
223,981
-4,192
| -2% | -$527K |
|
10
ARK Genomic Revolution ETF
ARKG
$1.54B
| $28.6M | 2.21% |
449,560
-22,436
| -5% | -$1.31M |
|
11
iShares Core S&P 500 ETF
IVV
$869B
| $22.7M | 1.75% |
67,644
+1,936
| +3% | +$644K |
|
12
State Street SPDR S&P 500 ETF Trust
SPY
$781B
| $22.7M | 1.75% |
67,788
-551
| -0.8% | -$183K |
|
13
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
$16.6B
| $22.2M | 1.71% |
447,523
+48,733
| +12% | +$2.37M |
|
14
Invesco Russell 1000 Dynamic Multifactor ETF
OMFL
$4.71B
| $19.2M | 1.48% |
620,506
+10,506
| +2% | +$328K |
|
15
Berkshire Hathaway Class B
BRK.B
$1.07T
| $18.9M | 1.46% |
88,792
-1,083
| -1% | -$222K |
|
16
iShares Russell 1000 Growth ETF
IWF
$120B
| $17.9M | 1.38% |
330,384
-15,788
| -5% | -$832K |
|
17
Duke Energy
DUK
$100B
| $13.3M | 1.03% |
150,614
-2,693
| -2% | -$222K |
|
|
18
Janus Henderson Short Duration Income ETF
VNLA
$3.33B
| $10.8M | 0.84% |
214,695
+192,392
| +863% | +$9.69M |
|
|
19
PGIM Ultra Short Bond ETF
PULS
$17.7B
| $8.99M | 0.69% |
180,053
+95,568
| +113% | +$4.77M |
|
20
Johnson & Johnson
JNJ
$641B
| $8.62M | 0.67% |
57,905
-1,993
| -3% | -$295K |
|
21
Lowe's Companies
LOW
$119B
| $7.84M | 0.6% |
47,249
-72
| -0.2% | -$11.1K |
|
22
Truist Financial
TFC
$63.7B
| $7.82M | 0.6% |
205,580
-2,808
| -1% | -$106K |
|
23
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
| $7.62M | 0.59% |
92,011
-10,556
| -10% | -$875K |
|
24
iShares Core S&P Mid-Cap ETF
IJH
$123B
| $7.44M | 0.57% |
200,635
-15,225
| -7% | -$569K |
|
25
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.77B
| $7.39M | 0.57% |
315,425
+1,190
| +0.4% | +$28.1K |
|
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Carroll Financial Associates's Q3 2020 Portfolio in Review
As of Q3 2020, Carroll Financial Associates held 1,793 positions worth $1.3B, up 8.1% from $1.2B the previous quarter. Its ten largest holdings account for 48% of the portfolio.
Carroll Financial Associates's Q3 2020 filing shows 90 new, 315 increased, 397 reduced and 127 closed positions. Its largest new stake was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M. The largest sale was Xtrackers USD High Yield Corporate Bond ETF, an estimated $9.64M.
By sector, the portfolio is most concentrated in Technology at 7.4% of assets, down from 7.7% a quarter earlier, followed by Financials and Healthcare.
- Carroll Financial Associates's largest Q3 2020 buy was Innovator Emerging Markets Power Buffer ETF July: 181,830 shares worth $4.6M.
- Carroll Financial Associates added most to Janus Henderson Short Duration Income ETF in Q3 2020, an estimated $9.69M increase.
- Carroll Financial Associates's biggest Q3 2020 reduction was Xtrackers USD High Yield Corporate Bond ETF, cutting an estimated $9.64M.
- Carroll Financial Associates fully exited Global X Scientific Beta US ETF in Q3 2020, selling an estimated $1.49M.
- Carroll Financial Associates's ten largest holdings make up 48% of its $1.3B portfolio in Q3 2020.
- Carroll Financial Associates opened 90 new positions and closed 127 in Q3 2020.
- Carroll Financial Associates's portfolio value rose 8.1% quarter-over-quarter to $1.3B.
Based on Carroll Financial Associates's 13F filing for Q3 2020, filed 6 Oct 2020.