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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
-0.55%
1 Year Est. Return
+20.52%
3 Year Est. Return
+79.91%
5 Year Est. Return
+101.11%
10 Year Est. Return
–
AUM
$1.79B
AUM Growth
+$22.2M
Cap. Flow
+$37.5M
Cap. Flow %
2.1%
Top 10 Hldgs %
43.07%
Holding
2,036
New
245
Increased
533
Reduced
393
Closed
104

Top Buys

Rank Stock Value
1
ARMR
Armor US Equity Index ETF
ARMR
+$16.3M
2
SPD icon
Simplify US Equity PLUS Downside Convexity ETF
SPD
+$9.62M
3
VFMF icon
Vanguard US Multifactor ETF
VFMF
+$4.73M
4
PULS icon
PGIM Ultra Short Bond ETF
PULS
+$3.93M
5
RAAX icon
VanEck Inflation Allocation ETF
RAAX
+$3.78M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.86M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$5.21M
3
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$2.99M
4
ADER
26 Capital Acquisition Corp
ADER
+$2.49M
5
PSEP icon
Innovator US Equity Power Buffer ETF September
PSEP
+$1.98M

Sector Composition

Rank Sector Weight
1 Technology 6.94%
2 Financials 5.81%
3 Healthcare 2.4%
4 Consumer Discretionary 2.07%
5 Consumer Staples 1.68%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AUSF icon
1
Global X Adaptive US Factor ETF
AUSF
$888M
$166M 9.3%
5,588,473
-99,646
-2% -$2.99M
USMV icon
2
iShares MSCI USA Min Vol Factor ETF
USMV
$23.2B
$135M 7.55%
1,836,840
-68,421
-4% -$5.21M
KLDW
3
DELISTED
Knowledge Leaders Developed World ETF
KLDW
$120M 6.7%
2,558,802
-1,963
-0.1% -$93.9K
PRF icon
4
Invesco FTSE RAFI US 1000 ETF
PRF
$9.73B
$85.1M 4.76%
2,686,700
-54,335
-2% -$1.76M
MTUM icon
5
iShares MSCI USA Momentum Factor ETF
MTUM
$25.5B
$51.6M 2.88%
293,595
-10,980
-4% -$1.95M
AAPL icon
6
Apple
AAPL
$4.89T
$48.4M 2.7%
341,775
+3,248
+1% +$478K
IWF icon
7
iShares Russell 1000 Growth ETF
IWF
$122B
$46.1M 2.58%
672,792
-3,132
-0.5% -$222K
VNLA icon
8
Janus Henderson Short Duration Income ETF
VNLA
$3.33B
$42.2M 2.36%
840,130
-26,682
-3% -$1.34M
MSFT icon
9
Microsoft
MSFT
$2.84T
$41.3M 2.31%
146,559
-650
-0.4% -$189K
ARMR
10
DELISTED
Armor US Equity Index ETF
ARMR
$34.8M 1.95%
1,426,622
+646,049
+83% +$16.3M
VIG icon
11
Vanguard Dividend Appreciation ETF
VIG
$111B
$34.1M 1.9%
221,860
-5,839
-3% -$930K
IVV icon
12
iShares Core S&P 500 ETF
IVV
$876B
$31.5M 1.76%
73,101
+4,699
+7% +$2.08M
OMFL icon
13
Invesco Russell 1000 Dynamic Multifactor ETF
OMFL
$4.69B
$31.2M 1.74%
673,368
+6,594
+1% +$311K
DGRW icon
14
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
$16.6B
$30.5M 1.7%
518,422
+41,450
+9% +$2.54M
ARKK icon
15
ARK Innovation ETF
ARKK
$5.89B
$27.5M 1.54%
248,667
+655
+0.3% +$78.8K
BRK.B icon
16
Berkshire Hathaway Class B
BRK.B
$1.07T
$23.4M 1.31%
85,803
-914
-1% -$257K
PULS icon
17
PGIM Ultra Short Bond ETF
PULS
$17.7B
$22.3M 1.25%
449,468
+79,007
+21% +$3.93M
ARKG icon
18
ARK Genomic Revolution ETF
ARKG
$1.51B
$21.8M 1.22%
291,696
+3,942
+1% +$331K
SPY icon
19
State Street SPDR S&P 500 ETF Trust
SPY
$778B
$20.6M 1.15%
47,932
-20,089
-30% -$8.86M
DUK icon
20
Duke Energy
DUK
$102B
$15.4M 0.86%
157,500
+11,636
+8% +$1.2M
GSST icon
21
Goldman Sachs Access Ultra Short Bond ETF
GSST
$1.55B
$13.8M 0.77%
272,536
+15,838
+6% +$803K
LSST
22
DELISTED
Natixis Loomis Sayles Short Duration Income ETF
LSST
$13.7M 0.76%
542,080
+128,273
+31% +$3.24M
GSLC icon
23
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
$15.2B
$13.4M 0.75%
155,472
+29,251
+23% +$2.6M
PRFZ icon
24
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.75B
$13.3M 0.74%
364,405
+30,455
+9% +$1.11M
TFC icon
25
Truist Financial
TFC
$63.2B
$12M 0.67%
204,818
+3,653
+2% +$204K
1
2 3 4 5

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RFA
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Carroll Financial Associates's Q3 2021 Portfolio in Review

As of Q3 2021, Carroll Financial Associates held 2,036 positions worth $1.79B, up 1.3% from $1.77B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Carroll Financial Associates's Q3 2021 filing shows 245 new, 533 increased, 393 reduced and 104 closed positions. Its largest new stake was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M. The largest sale was State Street SPDR S&P 500 ETF Trust, an estimated $8.86M.

By sector, the portfolio is most concentrated in Technology at 6.9% of assets, down from 7% a quarter earlier, followed by Financials and Healthcare.

  • Carroll Financial Associates's largest Q3 2021 buy was VanEck Inflation Allocation ETF: 147,767 shares worth $3.76M.
  • Carroll Financial Associates added most to Armor US Equity Index ETF in Q3 2021, an estimated $16.3M increase.
  • Carroll Financial Associates's biggest Q3 2021 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $8.86M.
  • Carroll Financial Associates fully exited VanEck Semiconductor ETF in Q3 2021, selling an estimated $838K.
  • Carroll Financial Associates's ten largest holdings make up 43% of its $1.79B portfolio in Q3 2021.
  • Carroll Financial Associates opened 245 new positions and closed 104 in Q3 2021.
  • Carroll Financial Associates's portfolio value rose 1.3% quarter-over-quarter to $1.79B.

Based on Carroll Financial Associates's 13F filing for Q3 2021, filed 7 Oct 2021.