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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
+6.26%
1 Year Est. Return
+20.52%
3 Year Est. Return
+79.91%
5 Year Est. Return
+101.11%
10 Year Est. Return
–
AUM
$1.63B
AUM Growth
+$123M
(+8.2%)
Cap. Flow
+$37.1M
Cap. Flow
% of AUM
2.28%
Top 10 Holdings %
Top 10 Hldgs %
44.91%
Holding
1,828
New
214
Increased
473
Reduced
322
Closed
87
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Goldman Sachs Access Ultra Short Bond ETF
GSST
|
+$13.2M |
| 2 |
nCino
NCNO
|
+$8.92M |
| 3 |
JPMorgan Ultra-Short Income ETF
JPST
|
+$6.9M |
| 4 |
LHA Market State Tactical Beta ETF
MSTB
|
+$4.11M |
| 5 |
PGIM Ultra Short Bond ETF
PULS
|
+$2.88M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
ARK Genomic Revolution ETF
ARKG
|
+$8.31M |
| 2 |
WisdomTree Yield Enhanced US Aggregate Bond Fund
AGGY
|
+$7.6M |
| 3 |
ARK Innovation ETF
ARKK
|
+$5.41M |
| 4 |
Innovator US Equity Power Buffer ETF September
PSEP
|
+$3.46M |
| 5 |
State Street SPDR S&P Kensho New Economies Composite ETF
KOMP
|
+$3.35M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 6.93% |
| 2 | Financials | 5.5% |
| 3 | Healthcare | 2.53% |
| 4 | Consumer Discretionary | 2.28% |
| 5 | Consumer Staples | 1.84% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
1
Global X Adaptive US Factor ETF
AUSF
$902M
| $160M | 9.82% |
5,584,567
-66,262
| -1% | -$1.81M |
|
2
iShares MSCI USA Min Vol Factor ETF
USMV
$23.4B
| $140M | 8.6% |
2,020,875
-1,870
| -0.1% | -$126K |
|
|
KLDW
3
DELISTED
Knowledge Leaders Developed World ETF
KLDW
| $111M | 6.85% |
2,539,389
+32,114
| +1% | +$1.4M |
|
4
Invesco FTSE RAFI US 1000 ETF
PRF
$9.75B
| $82M | 5.04% |
2,703,565
+93,010
| +4% | +$2.67M |
|
5
iShares MSCI USA Momentum Factor ETF
MTUM
$24.9B
| $48.8M | 3% |
303,444
+9,212
| +3% | +$1.52M |
|
6
Janus Henderson Short Duration Income ETF
VNLA
$3.33B
| $46.5M | 2.86% |
926,795
+47,832
| +5% | +$2.41M |
|
7
Apple
AAPL
$4.94T
| $42.2M | 2.59% |
345,082
-12,044
| -3% | -$1.55M |
|
8
Microsoft
MSFT
$2.9T
| $35.2M | 2.16% |
149,210
-4,832
| -3% | -$1.12M |
|
9
Vanguard Dividend Appreciation ETF
VIG
$111B
| $33.8M | 2.08% |
229,800
+3,362
| +1% | +$478K |
|
|
10
ARK Innovation ETF
ARKK
$5.69B
| $30.9M | 1.9% |
257,447
-40,007
| -13% | -$5.41M |
|
11
Invesco Russell 1000 Dynamic Multifactor ETF
OMFL
$4.69B
| $28.5M | 1.75% |
645,622
+18,724
| +3% | +$799K |
|
12
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
$16.5B
| $27.3M | 1.68% |
477,391
+1,360
| +0.3% | +$74.6K |
|
13
iShares Core S&P 500 ETF
IVV
$866B
| $26.8M | 1.65% |
67,353
-1,335
| -2% | -$517K |
|
14
State Street SPDR S&P 500 ETF Trust
SPY
$778B
| $26.5M | 1.63% |
66,786
-565
| -0.8% | -$218K |
|
|
15
ARK Genomic Revolution ETF
ARKG
$1.54B
| $25.1M | 1.54% |
282,557
-83,738
| -23% | -$8.31M |
|
16
iShares Russell 1000 Growth ETF
IWF
$119B
| $25M | 1.54% |
411,832
+34,024
| +9% | +$2.07M |
|
17
Berkshire Hathaway Class B
BRK.B
$1.07T
| $22.4M | 1.38% |
87,570
+398
| +0.5% | +$96.7K |
|
|
18
PGIM Ultra Short Bond ETF
PULS
$17.7B
| $17.2M | 1.06% |
344,414
+57,809
| +20% | +$2.88M |
|
19
Duke Energy
DUK
$101B
| $14.5M | 0.89% |
150,252
-72
| -0% | -$6.57K |
|
|
20
Goldman Sachs Access Ultra Short Bond ETF
GSST
$1.57B
| $13.2M | 0.81% |
+259,582
| New | +$13.2M |
|
|
21
LHA Market State Tactical Beta ETF
MSTB
$191M
| $12.7M | 0.78% |
441,280
+146,307
| +50% | +$4.11M |
|
22
Truist Financial
TFC
$63.4B
| $11.6M | 0.71% |
198,814
-3,957
| -2% | -$217K |
|
23
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.76B
| $11.6M | 0.71% |
328,490
-195
| -0.1% | -$6.66K |
|
24
iShares Core S&P Small-Cap ETF
IJR
$109B
| $10.8M | 0.67% |
99,699
+8,618
| +9% | +$902K |
|
25
iShares Core S&P Mid-Cap ETF
IJH
$122B
| $10.2M | 0.63% |
196,220
-265
| -0.1% | -$13.2K |
|
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Carroll Financial Associates's Q1 2021 Portfolio in Review
As of Q1 2021, Carroll Financial Associates held 1,828 positions worth $1.63B, up 8.2% from $1.5B the previous quarter. Its ten largest holdings account for 45% of the portfolio.
Carroll Financial Associates's Q1 2021 filing shows 214 new, 473 increased, 322 reduced and 87 closed positions. Its largest new stake was Goldman Sachs Access Ultra Short Bond ETF: 259,582 shares worth $13.2M. The largest sale was ARK Genomic Revolution ETF, an estimated $8.31M.
By sector, the portfolio is most concentrated in Technology at 6.9% of assets, down from 7.1% a quarter earlier, followed by Financials and Healthcare.
- Carroll Financial Associates's largest Q1 2021 buy was Goldman Sachs Access Ultra Short Bond ETF: 259,582 shares worth $13.2M.
- Carroll Financial Associates added most to JPMorgan Ultra-Short Income ETF in Q1 2021, an estimated $6.9M increase.
- Carroll Financial Associates's biggest Q1 2021 reduction was ARK Genomic Revolution ETF, cutting an estimated $8.31M.
- Carroll Financial Associates fully exited Innovator US Equity Power Buffer ETF January in Q1 2021, selling an estimated $363K.
- Carroll Financial Associates's ten largest holdings make up 45% of its $1.63B portfolio in Q1 2021.
- Carroll Financial Associates opened 214 new positions and closed 87 in Q1 2021.
- Carroll Financial Associates's portfolio value rose 8.2% quarter-over-quarter to $1.63B.
Based on Carroll Financial Associates's 13F filing for Q1 2021, filed 6 Apr 2021.