CF
Carroll Financial Associates, Inc. Historical SEC 13F Holdings & Archive (Q4 2021)
Carroll Financial Associates, Inc.CIK: 0001567784
Diversified strategyLong-term holderSector-focused
Total reported value
$1.9B
Reporting period: 2021-12-31 · Number of holdings: 1788
Carroll Financial Associates, Inc. disclosed 1788 holdings in its latest 13F filing for the period ending 2021-12-31, with total reported value of $1.9B and a quarterly turnover rate of 0.0%.
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Personality snowflake
- Concentration
- 11.71
- Portfolio Stability
- 0
- Momentum
- 50
- Sector conviction
- 66.7
- Diversification
- 100
- Sizing Uniformity
- 28.33
Carroll Financial Associates, Inc.'s disclosed holdings carry a Herfindahl concentration index of 0.029 — mathematically equivalent to about 34 equally-sized positions, well below its 1788 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 7.17), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 18% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govNo holding changes this quarter
Holdings Map
New buyAddUnchangedTrim
* This report is exclusively curated by the AlphaSMO team. AlphaSMO is the web's most authoritative 13F / Inside Trader database, delivering precise insider trading and institutional holdings insights.
Top 10 holdings by weight
Full holdings list this quarter
Showing top 200 holdings (of 1788 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | AUSF | Global X Adaptive US Factor | ETF-Other | 9.35% | — | -1.02% | |
| 2 | USMV | Ishares Msci USA Min Vol Fac | ETF-Other | 7.79% | — | -1.11% | |
| 3 | ✓ | Investment Managers Ser Tr | Stock-Other | 6.55% | — | +0.35% | |
| 4 | PRF | Invesco Rafi US 1000 ETF | ETF-Other | 5.00% | — | +1.88% | |
| 5 | AAPL | Apple Inc | Stock-Tech | 3.47% | — | +5.64% | |
| 6 | MTUM | Ishares Msci USA Momentum Fa | ETF-Other | 2.85% | — | -1.13% | |
| 7 | MSFT | Microsoft CORP | Stock-Tech | 2.67% | — | -0.23% | |
| 8 | IWF | Ishares Russell 1000 Growth | ETF-Other | 2.62% | — | -5.45% | |
| 9 | ✓ | Stock-Other | 2.56% | — | +23.78% | ||
| 10 | IVV | Ishares Core S&p 500 ETF | ETF-Large Cap & Growth | 1.89% | — | +1.05% | |
| 11 | OMFL | Invesco Russell 1000 Dyn M/f | ETF-Other | 1.86% | — | +2.22% | |
| 12 | JAAA | Janus Henderson Aaa Clo ETF | ETF-Other | 1.81% | — | — | |
| 13 | VIG | Vanguard Dividend Apprec ETF | ETF-Other | 1.74% | — | -13.88% | |
| 14 | DGRW | Wisdomtree U.s. Quality Divi | ETF-Other | 1.69% | — | -6.74% | |
| 15 | ARKK | Ark Innovation ETF | ETF-Other | 1.26% | — | -2.21% | |
| 16 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 1.18% | — | -13.15% | |
| 17 | PULS | Pgim Ultra Short Bond ETF | ETF-Other | 1.14% | — | -3.45% | |
| 18 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 1.11% | — | -8.53% | |
| 19 | ARKG | Ark Genomic Revolution ETF | ETF-Other | 0.96% | — | -0.31% | |
| 20 | DUK | Duke Energy CORP | Stock-Utilities | 0.92% | — | +5.94% | |
| 21 | GSLC | Goldman Activebeta US Lc ETF | ETF-Commodities | 0.88% | — | +11.43% | |
| 22 | ✓ | Stock-Other | 0.77% | — | +6.93% | ||
| 23 | STIP | Ishares 0-5 Year Tips Bond E | ETF-Other | 0.75% | — | +16904.18% | |
| 24 | PRFZ | Inv Rafi US 1500 Sm-usd Inc | ETF-Other | 0.74% | — | -0.58% | |
| 25 | GSST | Goldman Sachs Ultra Short Bo | ETF-Commodities | 0.73% | — | -0.76% | |
| 26 | TFC | Truist Financial CORP | Stock-Financials | 0.66% | — | +4.08% | |
| 27 | LOW | Lowe's Cos Inc | Stock-Consumer Disc | 0.64% | — | +5.06% | |
| 28 | JPST | Jpmorgan Ultra-short Income | ETF-Other | 0.62% | — | +13.69% | |
| 29 | MSTB | Lha Market State Tactical | ETF-Other | 0.61% | — | -1.98% | |
| 30 | SPD | Simplify US Eqty Plus Down | ETF-Other | 0.60% | — | +6.93% | |
| 31 | JNJ | Johnson & Johnson | Stock-Healthcare | 0.59% | — | +12.25% | |
| 32 | IOO | Ishares Global 100 ETF | ETF-Other | 0.54% | — | +0.69% | |
| 33 | RAAX | Vaneck Real Assets ETF | ETF-Other | 0.54% | — | +152.05% | |
| 34 | JPM | Jpmorgan Chase & Co | Stock-Financials | 0.50% | — | +4.36% | |
| 35 | PFE | Pfizer Inc | Stock-Healthcare | 0.49% | — | +10.18% | |
| 36 | XOM | Exxon Mobil CORP | Stock-Energy | 0.49% | — | +1.86% | |
| 37 | DGRO | Ishares Core Dividend Growth | ETF-Other | 0.47% | — | +6.09% | |
| 38 | QQQ | Invesco Qqq Trust Series 1 | ETF-Tech | 0.46% | — | -14.20% | |
| 39 | VNLA | Janus Henderson Short Durati | ETF-Other | 0.44% | — | -80.14% | |
| 40 | BAC | Bank Of America CORP | Stock-Financials | 0.42% | — | -1.47% | |
| 41 | EMBD | Global X Emerging Markets Bd | ETF-Emerging Markets | 0.42% | — | +16.72% | |
| 42 | AXP | American Express Co | Stock-Financials | 0.41% | — | -8.86% | |
| 43 | AMZN | Amazon.com Inc | Stock-Consumer Disc | 0.41% | — | +3.64% | |
| 44 | SPMD | Ss Spdr P S&p 400 Midcap ETF | ETF-Other | 0.39% | — | +19.92% | |
| 45 | IJR | Ishares Core S&p Small-cap E | ETF-Small Cap | 0.39% | — | -39.52% | |
| 46 | SPEM | State Street Sp Ptf Em ETF | ETF-Other | 0.38% | — | +4.35% | |
| 47 | GSEW | Goldman Sachs Eql Wght Large | ETF-Commodities | 0.37% | — | — | |
| 48 | PG | Procter & Gamble Co/the | Stock-Consumer Staples | 0.37% | — | +4.44% | |
| 49 | DIVO | Amplify Cwp Enhan Divid ETF | ETF-Other | 0.36% | — | +55.65% | |
| 50 | QUAL | Ishares Msci USA Quality Fac | ETF-Other | 0.35% | — | +4.40% |
1–50 of 200
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2021 Q4 | 1788 | $1.9B | 0 | ||
| 2021 Q3 | 1940 | $1.8B | 0 | ||
| 2021 Q2 | 1800 | $1.8B | 96 | ||
| 2021 Q1 | 1751 | $1.6B | 16 | ||
| 2020 Q4 | 1616 | $1.5B | 21 | ||
| 2020 Q3 | 1683 | $1.3B | 16 | ||
| 2020 Q2 | 1707 | $1.2B | 38 | ||
| 2020 Q1 | 1674 | $1.0B | 37 | ||
| 2019 Q4 | 1704 | $1.3B | 21 | ||
| 2019 Q3 | 1698 | $1.1B | 13 | ||
| 2019 Q2 | 1758 | $1.1B | 26 | ||
| 2019 Q1 | 1530 | $1.1B | 24 | ||
| 2018 Q4 | 1384 | $898.7M | 31 | ||
| 2018 Q3 | 1379 | $945.4M | 12 | ||
| 2018 Q2 | 1336 | $937.4M | 44 | ||
| 2018 Q1 | 1335 | $910.8M | 11 | ||
| 2017 Q4 | 1310 | $914.4M | 13 | ||
| 2017 Q3 | 1279 | $877.9M | 17 | ||
| 2017 Q2 | 1271 | $827.1M | 10 | ||
| 2017 Q1 | 1259 | $784.8M | 17 | ||
| 2016 Q4 | 1238 | $700.8M | 12 | ||
| 2016 Q3 | 1246 | $666.0M | 15 | ||
| 2016 Q2 | 1244 | $597.9M | 16 | ||
| 2016 Q1 | 1245 | $538.3M | 21 | ||
| 2015 Q4 | 1191 | $480.4M | 20 | ||
| 2015 Q3 | 1223 | $451.0M | 16 | ||
| 2015 Q2 | 1139 | $447.0M | 68 | ||
| 2015 Q1 | 875 | $227.6M | 43 | ||
| 2014 Q4 | 773 | $156.7M | 78 | ||
| 2014 Q3 | 934 | $324.3M | 22 | ||
| 2014 Q2 | 976 | $357.5M | 18 | ||
| 2014 Q1 | 922 | $304.9M | 89 | ||
| 2013 Q4 | 935 | $281.4M | 39 | 146429b230231g373935x | |
| 2013 Q3 | 936 | $265.3M | 48 | 146429b273935x330231g | |
| 2013 Q2 | 814 | $204.1M | 0 |
Holding changes this quarter
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|
Filing History
FAQ
What is Carroll Financial Associates, Inc. and what type of investor is it?
Carroll Financial Associates, Inc. is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2021-12-31), the firm manages a tracked equity portfolio valued at approximately $1.9B, spread across 1788 disclosed positions.
What are Carroll Financial Associates, Inc.'s largest equity positions?
Based on the latest 13F filing, Carroll Financial Associates, Inc.'s top holdings by market value are:
1. Global X Adaptive US Factor (AUSF) — $175.5M (9.3%)
2. Ishares Msci USA Min Vol Fac (USMV) — $146.3M (7.8%)
3. Investment Managers Ser Tr — $123.0M (6.5%)
4. Invesco Rafi US 1000 ETF (PRF) — $93.9M (5.0%)
5. Apple Inc (AAPL) — $65.1M (3.5%)
What changes did Carroll Financial Associates, Inc. make in its most recent portfolio filing?
No notable portfolio changes were recorded for Carroll Financial Associates, Inc. in the most recent quarter. Holdings appear to have remained relatively stable.
What sectors does Carroll Financial Associates, Inc. focus on?
Carroll Financial Associates, Inc. is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 39.9%
• Financials: 15.9%
• Health Care: 11.8%
• Consumer Discretionary: 11.1%
• Consumer Staples: 6.9%
• Communication Services: 5.8%
Investment Profile
Carroll Financial Associates, Inc.'s portfolio is broadly diversified and long-term-holding, with 39.9% of the portfolio concentrated in Information Technology.
Its turnover score has fallen from 21 to 0 over the past 4 quarters — a shift toward longer holding periods.
It has added to its 30151E764 position over the past two quarters (+$28.8M, now $48.1M), while trimming VNLA over the same stretch (-$35.3M, still holding $8.3M).
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OM
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FF
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