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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
+79.91%
5 Year Est. Return
+101.11%
10 Year Est. Return
–
AUM
$1.5B
AUM Growth
+$208M
(+16%)
Cap. Flow
+$35.5M
Cap. Flow
% of AUM
2.36%
Top 10 Holdings %
Top 10 Hldgs %
46.75%
Holding
1,758
New
90
Increased
349
Reduced
401
Closed
146
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Janus Henderson Short Duration Income ETF
VNLA
|
+$33.5M |
| 2 |
LHA Market State Tactical Beta ETF
MSTB
|
+$7.7M |
| 3 |
LSST
Natixis Loomis Sayles Short Duration Income ETF
LSST
|
+$6.42M |
| 4 |
PGIM Ultra Short Bond ETF
PULS
|
+$5.32M |
| 5 |
Innovator Emerging Markets Power Buffer ETF January
EJAN
|
+$5.1M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Global X Adaptive US Factor ETF
AUSF
|
+$13M |
| 2 |
ARK Genomic Revolution ETF
ARKG
|
+$6.63M |
| 3 |
Innovator US Equity Power Buffer ETF July
PJUL
|
+$6.55M |
| 4 |
WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund
AGZD
|
+$5.47M |
| 5 |
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 | |
|---|---|---|---|---|---|---|
|
1
Global X Adaptive US Factor ETF
AUSF
$901M
| $145M | 9.65% |
5,650,829
-536,050
| -9% | -$13M |
|
2
iShares MSCI USA Min Vol Factor ETF
USMV
$23.4B
| $137M | 9.13% |
2,022,745
+2,745
| +0.1% | +$181K |
|
|
KLDW
3
DELISTED
Knowledge Leaders Developed World ETF
KLDW
| $106M | 7.06% |
2,507,275
+78,821
| +3% | +$3.16M |
|
4
Invesco FTSE RAFI US 1000 ETF
PRF
$9.76B
| $69.5M | 4.63% |
2,610,555
-37,890
| -1% | -$944K |
|
5
iShares MSCI USA Momentum Factor ETF
MTUM
$25.2B
| $47.5M | 3.16% |
294,232
+3,878
| +1% | +$594K |
|
6
Apple
AAPL
$4.95T
| $47.4M | 3.15% |
357,126
-10,753
| -3% | -$1.29M |
|
|
7
Janus Henderson Short Duration Income ETF
VNLA
$3.33B
| $44.4M | 2.95% |
878,963
+664,268
| +309% | +$33.5M |
|
8
ARK Innovation ETF
ARKK
$5.74B
| $37M | 2.46% |
297,454
-17,986
| -6% | -$1.95M |
|
9
Microsoft
MSFT
$2.89T
| $34.3M | 2.28% |
154,042
-2,721
| -2% | -$585K |
|
|
10
ARK Genomic Revolution ETF
ARKG
$1.54B
| $34.2M | 2.27% |
366,295
-83,265
| -19% | -$6.63M |
|
11
Vanguard Dividend Appreciation ETF
VIG
$112B
| $32M | 2.13% |
226,438
+2,457
| +1% | +$333K |
|
12
iShares Core S&P 500 ETF
IVV
$869B
| $25.8M | 1.72% |
68,688
+1,044
| +2% | +$372K |
|
13
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
$16.6B
| $25.7M | 1.71% |
476,031
+28,508
| +6% | +$1.48M |
|
14
State Street SPDR S&P 500 ETF Trust
SPY
$781B
| $25.2M | 1.68% |
67,351
-437
| -0.6% | -$155K |
|
15
Invesco Russell 1000 Dynamic Multifactor ETF
OMFL
$4.71B
| $24.9M | 1.66% |
626,898
+6,392
| +1% | +$229K |
|
16
iShares Russell 1000 Growth ETF
IWF
$120B
| $22.8M | 1.52% |
377,808
+47,424
| +14% | +$2.7M |
|
17
Berkshire Hathaway Class B
BRK.B
$1.07T
| $20.2M | 1.34% |
87,172
-1,620
| -2% | -$357K |
|
|
18
PGIM Ultra Short Bond ETF
PULS
$17.7B
| $14.3M | 0.95% |
286,605
+106,552
| +59% | +$5.32M |
|
19
Duke Energy
DUK
$100B
| $13.8M | 0.92% |
150,324
-290
| -0.2% | -$26.8K |
|
20
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.77B
| $9.92M | 0.66% |
328,685
+13,260
| +4% | +$360K |
|
21
Truist Financial
TFC
$63.7B
| $9.72M | 0.65% |
202,771
-2,809
| -1% | -$127K |
|
22
Johnson & Johnson
JNJ
$641B
| $9.11M | 0.61% |
57,875
-30
| -0.1% | -$4.43K |
|
23
iShares Core S&P Mid-Cap ETF
IJH
$123B
| $9.03M | 0.6% |
196,485
-4,150
| -2% | -$175K |
|
24
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
$14.9B
| $8.41M | 0.56% |
111,073
+8,847
| +9% | +$636K |
|
25
iShares Core S&P Small-Cap ETF
IJR
$110B
| $8.37M | 0.56% |
91,081
+9,463
| +12% | +$777K |
|
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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.