CIK: 0001567784
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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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.
No holding changes 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% |
Not enough priced holdings yet to compute performance
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2021-12-31 | 1788 | $1.9B | 0 | |
| 2021-09-30 | 1940 | $1.8B | 0 | |
| 2021-06-30 | 1800 | $1.8B | 96 | |
| 2021-03-31 | 1751 | $1.6B | 16 | |
| 2020-12-31 | 1616 | $1.5B | 21 | |
| 2020-09-30 | 1683 | $1.3B | 16 | |
| 2020-06-30 | 1707 | $1.2B | 38 | |
| 2020-03-31 | 1674 | $1.0B | 37 | |
| 2019-12-31 | 1704 | $1.3B | 21 | |
| 2019-09-30 | 1698 | $1.1B | 13 | |
| 2019-06-30 | 1758 | $1.1B | 26 | |
| 2019-03-31 | 1530 | $1.1B | 24 | |
| 2018-12-31 | 1384 | $898.7M | 31 | |
| 2018-09-30 | 1379 | $945.4M | 12 | |
| 2018-06-30 | 1336 | $937.4M | 44 | |
| 2018-03-31 | 1335 | $910.8M | 11 | |
| 2017-12-31 | 1310 | $914.4M | 13 | |
| 2017-09-30 | 1279 | $877.9M | 17 | |
| 2017-06-30 | 1271 | $827.1M | 10 | |
| 2017-03-31 | 1259 | $784.8M | 17 | |
| 2016-12-31 | 1238 | $700.8M | 12 | |
| 2016-09-30 | 1246 | $666.0M | 15 | |
| 2016-06-30 | 1244 | $597.9M | 16 | |
| 2016-03-31 | 1245 | $538.3M | 21 | |
| 2015-12-31 | 1191 | $480.4M | 20 | |
| 2015-09-30 | 1223 | $451.0M | 16 | |
| 2015-06-30 | 1139 | $447.0M | 68 | |
| 2015-03-31 | 875 | $227.6M | 43 | |
| 2014-12-31 | 773 | $156.7M | 78 | |
| 2014-09-30 | 934 | $324.3M | 22 | |
| 2014-06-30 | 976 | $357.5M | 18 | |
| 2014-03-31 | 922 | $304.9M | 89 | |
| 2013-12-31 | 935 | $281.4M | 39 | 146429b230231g373935x |
| 2013-09-30 | 936 | $265.3M | 48 | 146429b273935x330231g |
| 2013-06-30 | 814 | $204.1M | 0 |
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2021-12-31 | 2022-01-06 | 13F-HR | View on EDGAR |
| 2021-09-30 | 2021-10-07 | 13F-HR | View on EDGAR |
| 2021-06-30 | 2021-07-13 | 13F-HR | View on EDGAR |
| 2021-03-31 | 2021-04-06 | 13F-HR | View on EDGAR |
| 2020-12-31 | 2021-01-08 | 13F-HR | View on EDGAR |
| 2020-09-30 | 2020-10-06 | 13F-HR | View on EDGAR |
| 2020-06-30 | 2020-07-09 | 13F-HR | View on EDGAR |
| 2020-03-31 | 2020-04-10 | 13F-HR | View on EDGAR |
| 2019-12-31 | 2020-01-08 | 13F-HR | View on EDGAR |
| 2019-09-30 | 2019-10-09 | 13F-HR | View on EDGAR |
| 2019-06-30 | 2019-07-08 | 13F-HR | View on EDGAR |
| 2019-03-31 | 2019-04-17 | 13F-HR | View on EDGAR |
| 2018-12-31 | 2019-01-11 | 13F-HR | View on EDGAR |
| 2018-09-30 | 2018-10-30 | 13F-HR | View on EDGAR |
| 2018-06-30 | 2018-07-19 | 13F-HR | View on EDGAR |
| 2018-03-31 | 2018-04-06 | 13F-HR | View on EDGAR |
| 2017-12-31 | 2018-01-18 | 13F-HR | View on EDGAR |
| 2017-09-30 | 2017-10-25 | 13F-HR | View on EDGAR |
| 2017-06-30 | 2017-07-25 | 13F-HR | View on EDGAR |
| 2017-03-31 | 2017-04-11 | 13F-HR | View on EDGAR |
| 2016-12-31 | 2017-01-11 | 13F-HR | View on EDGAR |
| 2016-09-30 | 2016-10-11 | 13F-HR | View on EDGAR |
| 2016-06-30 | 2016-07-18 | 13F-HR | View on EDGAR |
| 2016-03-31 | 2016-04-20 | 13F-HR | View on EDGAR |
| 2015-12-31 | 2016-01-12 | 13F-HR | View on EDGAR |
| 2015-09-30 | 2015-10-28 | 13F-HR | View on EDGAR |
| 2015-06-30 | 2015-08-03 | 13F-HR | View on EDGAR |
| 2015-03-31 | 2015-04-23 | 13F-HR | View on EDGAR |
| 2014-12-31 | 2015-02-09 | 13F-HR | View on EDGAR |
| 2014-09-30 | 2014-11-13 | 13F-HR | View on EDGAR |
| 2014-06-30 | 2014-08-08 | 13F-HR | View on EDGAR |
| 2014-03-31 | 2014-05-02 | 13F-HR | View on EDGAR |
| 2013-12-31 | 2014-02-06 | 13F-HR | View on EDGAR |
| 2013-09-30 | 2013-11-14 | 13F-HR | View on EDGAR |
| 2013-06-30 | 2013-08-13 | Amendment | View on EDGAR |
| 2013-06-30 | 2013-08-12 | 13F-HR | View on EDGAR |
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