Carroll Financial Associates, Inc.

CIK

1567784

Location

CHARLOTTE, NC

Portfolio Value

Mid $1,505,950,699

Diversification

Diversified

Filing Date

Global Rank

#1,317 / 6,912 ▼ 15 · as of Dec 2021

Top Industry

Consumer Electronics 13.4%

Period ended 4 years ago

Filed Jan 6, 2022 · 4y

8 quarters · since Mar 2020

Portfolio Concentration

1,209 tracked positions · as of Dec 31, 2021 · Δ vs Sep 30, 2021

Top Position

22.1%

−0.5 pts

Top 5

45.5%

+0.2 pts

Top 10

57.9%

−0.2 pts

HHI

749

Diversified−15

Portfolio Trend

8 quarters · across all stocks

Sector Breakdown

As of Dec 31, 2021

Sector	% Portfolio	Value	Positions
Unclassified	68.3%	$1,028,393,498	176
Technology	9.5%	$142,621,934	150
Financial Services	6.6%	$100,090,377	207
Healthcare	3.1%	$46,849,642	124
Consumer Cyclical	3.0%	$44,834,784	127
Consumer Defensive	2.4%	$35,908,785	53
Industrials	1.8%	$27,484,424	124
Utilities	1.8%	$26,688,337	42
Energy	1.5%	$22,628,321	45
Communication Services	1.1%	$16,209,115	47
Basic Materials	0.7%	$10,427,798	55
Real Estate	0.3%	$3,813,684	59

Last Quarter's Activity

Export CSV

Dec 31, 2021 vs Sep 30, 2021

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
AFK	VanEck Africa Index ETF	+224,049	394,771	$10,155,859
BAB	Invesco Taxable Municipal Bond ETF	+83,582	362,761	$12,057,659
VEU	Vanguard FTSE All-World Ex-US ETF	+70,960	105,568	$5,615,136
AIEQ	Amplify AI Powered Equity ETF	+60,690	183,092	$6,860,172
—		+52,183	173,462	$0
BBAG	JPMorgan BetaBuilders U.S. Aggregate Bond ETF	+27,788	240,089	$12,275,883
AGGH	Simplify Aggregate Bond ETF	+21,736	335,816	$11,169,996
BCHP	Principal Focused Blue Chip ETF	+21,157	294,117	$5,964,692
AAPD	Direxion Shares ETF Trust Direxion Daily AAPL Bear 1X ETF	+19,868	20,934	$379,043
AAPL	Apple Inc.	+19,283	361,058	$64,113,069
BWX	State Street SPDR Bloomberg International Treasury Bond ETF	+19,087	161,762	$8,440,802
GBIL	Goldman Sachs Access Treasury 0-1 Year ETF	+18,354	548,408	$37,436,703
KMI	Kinder Morgan, Inc.	+15,456	44,105	$699,505
PFE	Pfizer Inc	+14,347	155,325	$9,171,941
BIL	State Street SPDR Bloomberg 1-3 Month T-Bill ETF	+13,703	48,503	$2,291,241
AGNG	Global X Funds Global X Aging Population ETF	+13,421	6,167,450	$194,799,545
KO	Coca Cola Co	+12,984	76,779	$4,546,084
NWBI	Northwest Bancshares, Inc.	+10,321	48,964	$693,330
DOW	Dow Inc.	+10,070	17,789	$1,008,992
DD	DuPont de Nemours, Inc.	+9,744	16,866	$1,362,435
DUK	Duke Energy CORP	+9,356	166,856	$17,503,194
CTVA	Corteva, Inc.	+8,813	16,464	$778,417
CWI	State Street SPDR MSCI ACWI ex-US ETF	+8,419	175,799	$7,291,157
TFC	Truist Financial Corp	+8,364	213,182	$12,481,806
MDLZ	Mondelez International, Inc.	+8,173	18,795	$1,246,296
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
AAXJ	iShares MSCI All Country Asia ex Japan ETF	−319,703	3,344,064	$333,157,549
FNDA	Schwab Fundamental U.S. Small Company ETF	−116,016	119,104	$90,255
ABI	VictoryShares Pioneer Asset-Based Income ETF	−65,929	691,883	$28,118,419
AAPR	Innovator Equity Defined Protection ETF - 2 Yr to April 2028	−65,188	75,423	$2,373,837
JDVI	John Hancock Disciplined Value International Select ETF	−42,288	477	$26,516
AGGY	WisdomTree Yield Enhanced U.S. Aggregate Bond Fund	−41,525	609,919	$38,437,184
XLBI	State Street Materials Select Sector SPDR Premium Income ETF	−40,975	21,644	$1,678,232
VIG	Vanguard Dividend Appreciation ETF	−30,848	193,428	$33,089,823
VB	Vanguard Morningstar Small-Cap ETF	−30,521	81,093	$15,403,672
BILZ	PIMCO Ultra Short Government Active ETF	−29,054	5,427	$491,572
—		−19,504	146,550	$0
T	At&T Inc.	−18,321	74,676	$1,837,033
AAAD	PGIM AAA CLO Aggregate Duration ETF	−16,428	434,080	$21,477,670
—		−13,529	10,000	$224,800
BRK-B	Berkshire Hathaway Inc	−11,291	74,519	$23,181,907
ACIO	Aptus Collared Investment Opportunity ETF	−10,065	361,538	$11,614,241
VZ	Verizon Communications Inc	−9,581	41,754	$2,169,537
PHYS	Sprott Physical Gold Trust	−7,653	43,970	$631,409
AIRR	First Trust RBA American Industrial Renaissance ETF	−6,812	1,373	$64,266
BAPR	Innovator U.S. Equity Buffer ETF - April	−6,662	282,678	$8,634,655
NLY	Annaly Capital Management Inc	−6,500	1,849	$14,459
RJF	Raymond James Financial Inc	−6,500	3,223	$323,589
EQX	Equinox Gold Corp.	−6,000	238	$1,608
EVMT	Invesco Electric Vehicle Metals Commodity Strategy No K-1 ETF	−5,456	685	$9,631
RY	Royal Bank Of Canada	−5,223	31,523	$3,345,851
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
BDBT	Bluemonte Core Bond ETF	30,366	$1,323,168
NAD	Nuveen Quality Municipal Income Fund	49,955	$804,775
AGRH	iShares Interest Rate Hedged U.S. Aggregate Bond ETF	25,991	$802,602
NZF	Nuveen Municipal Credit Income Fund	36,771	$628,784
HSIC	Henry Schein Inc	1,930	$149,632
OTTR	Otter Tail Corp	1,623	$115,914
CEF	Sprott Physical Gold & Silver Trust	4,770	$84,619
PTY	Pimco Corporate & Income Opportunity Fund	4,290	$70,956
MANH	Manhattan Associates Inc	327	$50,845
WPM	Wheaton Precious Metals Corp.	708	$30,394
ODFL	Old Dominion Freight Line, Inc.	84	$30,103
AFGR	First Trust Active Factor Large Cap Growth ETF	1,235	$29,677
TNL	Travel & Leisure Co.	513	$28,353
NEA	Nuveen AMT-Free Quality Municipal Income Fund	1,765	$27,534
HL	Hecla Mining Co/De/	4,684	$24,450
ARW	Arrow Electronics, Inc.	174	$23,362
IMMR	Immersion Corp	3,898	$22,257
BDJ	BlackRock Enhanced Equity Dividend Trust	2,158	$21,752
AYI	Acuity Inc. (De)	100	$21,172
TDS	Telephone & Data Systems Inc /De/	1,000	$20,150
HYPR	Hyperfine, Inc.	2,503	$18,146
ENTG	Entegris Inc	130	$18,015
CAR	Avis Budget Group, Inc.	70	$14,515
JBTM	JBT MAREL Corp	92	$14,127
FCF	First Commonwealth Financial Corp /Pa/	875	$14,078
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
MDT	Medtronic plc	24,162	$3,028,706
ETN	Eaton Corp plc	7,134	$1,065,177
AMT	American Tower Corp /Ma/	2,881	$764,646
AMP	Ameriprise Financial Inc	2,382	$629,133
TROW	Price T Rowe Group Inc	1,588	$312,359
TFX	Teleflex Inc	728	$274,128
COR	Cencora, Inc.	1,543	$184,311
TWO-PC	Two Harbors Investment Corp.	4,266	$108,228
MTH	Meritage Homes CORP	975	$94,575
BGH	Barings Global Short Duration High Yield Fund	4,578	$78,283
BLW	BLACKROCK Ltd DURATION INCOME TRUST	4,367	$74,632
CW	Curtiss Wright Corp	504	$63,594
RBLX	Roblox Corp	622	$46,992
HIG	Hartford Insurance Group, Inc.	660	$46,365
FLO	Flowers Foods Inc	1,929	$45,582
ANET	Arista Networks, Inc.	118	$40,549
HPI	John Hancock Preferred Income Fund	1,800	$38,700
FTV	Fortive Corp	532	$37,543
SPXX	Nuveen S&P 500 Dynamic Overwrite Fund	1,988	$33,974
VXUS	Vanguard Total International Stock ETF	497	$31,440
MTB	M&T Bank Corp	202	$30,166
ETJ	Eaton Vance Risk-Managed Diversified Equity Income Fund	2,768	$29,589
CCK	Crown Holdings, Inc.	283	$28,520
EEFT	Euronet Worldwide, Inc.	199	$25,328
TRN	Trinity Industries Inc	898	$24,398
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

1,209 tracked positions · $1,505,950,699 total · filing declares 1,788 positions · $1,877,613,000 · as of Dec 31, 2021

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 1,209 positions by value · page 1 of 25

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
AAXJ	iShares MSCI All Country Asia ex Japan ETF	Reduced	3,344,064	-319,703	$333,157,549	+2.9%	22.12%
AGNG	Global X Funds Global X Aging Population ETF	Added	6,167,450	+13,421	$194,799,545	+6.7%	12.94%
AAPL	Apple Inc. Technology	Added	361,058	+19,283	$64,113,069	+32.6%	4.26%
MSFT	Microsoft Corp Technology	Reduced	146,227	-332	$49,179,064	+19.0%	3.27%
ARKD	ARK DIET Q1 Buffer ETF	Reduced	585,841	-1,475	$44,060,428	−16.3%	2.93%
JA	Janus Henderson AA-A CLO ETF	Added	849,492	+3,195	$42,758,084	+0.5%	2.84%
AGGY	WisdomTree Yield Enhanced U.S. Aggregate Bond Fund	Reduced	609,919	-41,525	$38,437,184	+4.0%	2.55%
GBIL	Goldman Sachs Access Treasury 0-1 Year ETF	Added	548,408	+18,354	$37,436,703	+10.1%	2.49%
BSCA	Invesco BulletShares 2036 Corporate Bond ETF	Added	688,293	+1,120	$34,896,455	+8.7%	2.32%
VIG	Vanguard Dividend Appreciation ETF	Reduced	193,428	-30,848	$33,089,823	−3.6%	2.20%
ABI	VictoryShares Pioneer Asset-Based Income ETF	Reduced	691,883	-65,929	$28,118,419	−22.4%	1.87%
BRK-B	Berkshire Hathaway Inc Financial Services	Reduced	74,519	-11,291	$23,181,907	−11.9%	1.54%
AAAD	PGIM AAA CLO Aggregate Duration ETF	Reduced	434,080	-16,428	$21,477,670	−3.8%	1.43%
SPY	Spdr S&P 500 ETF Trust	Reduced	43,844	-4,088	$20,824,146	+1.2%	1.38%
DUK	Duke Energy CORP Utilities	Added	166,856	+9,356	$17,503,194	+13.9%	1.16%
VB	Vanguard Morningstar Small-Cap ETF	Reduced	81,093	-30,521	$15,403,672	−12.7%	1.02%
TFC	Truist Financial Corp Financial Services	Added	213,182	+8,364	$12,481,806	+3.9%	0.83%
BBAG	JPMorgan BetaBuilders U.S. Aggregate Bond ETF	Added	240,089	+27,788	$12,275,883	+12.4%	0.82%
LOW	Lowes Companies Inc Consumer Cyclical	Added	47,080	+2,267	$12,169,238	+33.9%	0.81%
BAB	Invesco Taxable Municipal Bond ETF	Added	362,761	+83,582	$12,057,659	+44.0%	0.80%
ACIO	Aptus Collared Investment Opportunity ETF	Reduced	361,538	-10,065	$11,614,241	+3.6%	0.77%
AGGH	Simplify Aggregate Bond ETF	Added	335,816	+21,736	$11,169,996	+16.9%	0.74%
JNJ	Johnson & Johnson Healthcare	Added	64,870	+7,079	$11,097,310	+18.9%	0.74%
AFK	VanEck Africa Index ETF	Added	394,771	+224,049	$10,155,859	+116.8%	0.67%
JPM	Jpmorgan Chase & Co Financial Services	Added	58,862	+2,461	$9,320,797	+1.0%	0.62%
PFE	Pfizer Inc Healthcare	Added	155,325	+14,347	$9,171,941	+51.3%	0.61%
XOM	ExxonMobil Holdings Corp Energy	Added	147,691	+2,691	$9,037,212	+6.0%	0.60%
BAPR	Innovator U.S. Equity Buffer ETF - April	Reduced	282,678	-6,662	$8,634,655	−1.8%	0.57%
QQQ	Invesco Qqq Trust, Series 1	Reduced	21,569	-3,569	$8,581,226	−4.6%	0.57%
BWX	State Street SPDR Bloomberg International Treasury Bond ETF	Added	161,762	+19,087	$8,440,802	+21.1%	0.56%
BAC	Bank Of America Corp /De/ Financial Services	Reduced	176,031	-2,622	$7,831,619	+3.3%	0.52%
AXP	American Express Co Financial Services	Reduced	47,049	-4,572	$7,697,216	−11.0%	0.51%
AMZN	Amazon Com Inc Consumer Cyclical	Added	2,250	+79	$7,502,265	+5.2%	0.50%
BNDW	Vanguard Total World Bond ETF	Reduced	97,720	-2,478	$7,360,541	−3.3%	0.49%
CWI	State Street SPDR MSCI ACWI ex-US ETF	Added	175,799	+8,419	$7,291,157	+2.3%	0.48%
VIGI	Vanguard International Dividend Appreciation ETF	Reduced	83,120	-1,212	$7,276,854	−2.7%	0.48%
PG	PROCTER & GAMBLE Co Consumer Defensive	Added	42,500	+1,806	$6,952,150	+22.2%	0.46%
AIEQ	Amplify AI Powered Equity ETF	Added	183,092	+60,690	$6,860,172	+66.8%	0.46%
VFMF	Vanguard U.S. Multifactor ETF	Added	60,189	+3,693	$6,452,862	+14.7%	0.43%
HD	Home Depot, Inc. Consumer Cyclical	Added	14,921	+1,976	$6,192,364	+45.7%	0.41%
ASHR	Xtrackers Harvest CSI 300 China A-Shares ETF	Added	243,119	+5,452	$5,982,651	+5.3%	0.40%
BCHP	Principal Focused Blue Chip ETF	Added	294,117	+21,157	$5,964,692	+5.4%	0.40%
VEU	Vanguard FTSE All-World Ex-US ETF	Added	105,568	+70,960	$5,615,136	+168.0%	0.37%
HFXI	NYLI FTSE International Equity Currency Neutral ETF	Added	171,080	+5,446	$5,485,722	+1.7%	0.36%
PEP	Pepsico Inc Consumer Defensive	Added	30,735	+5,703	$5,338,976	+41.8%	0.35%
ENB	Enbridge Inc Energy	Added	132,221	+6,223	$5,167,196	+3.0%	0.34%
DIS	Walt Disney Co Communication Services	Reduced	30,244	-289	$4,684,493	−9.3%	0.31%
VXF	Vanguard Extended Market ETF	Added	25,407	+637	$4,645,924	+2.9%	0.31%
ACYN	FT Vest Laddered Autocallable Barrier & Income ETF	Reduced	54,411	-1,399	$4,573,055	+8.4%	0.30%
KO	Coca Cola Co Consumer Defensive	Added	76,779	+12,984	$4,546,084	+35.8%	0.30%

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.