Carroll Financial Associates, Inc.

CIK

1567784

Location

CHARLOTTE, NC

Portfolio Value

Micro $9,600,655

Diversification

Diversified

Filing Date

Global Rank

#2,127 / 6,774 ▲ 29

Top Industry

Consumer Electronics 14.3%

3Y Alpha vs SPY

-5.7%

Period ended 4 years ago

Filed Jan 6, 2022 · 4y

8 quarters · since Mar 2020

Clone Performance

Jun 2023–Jun 2026 · vs SPY

Hypothetical growth of cloning every reported 13F position and rebalancing on each filing, indexed to the same start.

Cloned portfolio

+54.2%

SPY

+78.1%

Annualised alpha

-5.7%

Max drawdown

−16.3%

Estimate. 13F holdings are quarter-lagged and long-only, so the clone rebalances about 45 days after each period end — when the filing becomes public — and excludes options and short positions. Past performance does not predict future results.

Portfolio Concentration

995 positions · as of Dec 31, 2021 · Δ vs Sep 30, 2021

Top Position

13.3%

+2.1 pts

Top 5

36.2%

+1.7 pts

Top 10

47.5%

+1.7 pts

HHI

394

Diversified+54

Portfolio Trend

8 quarters · across all stocks

Sector Breakdown

As of Dec 31, 2021

Sector	% Portfolio	Value	Positions
Technology	29.1%	$139,709,337	143
Financial Services	19.8%	$95,189,157	198
Healthcare	9.4%	$45,341,456	115
Consumer Cyclical	7.4%	$35,662,569	121
Consumer Defensive	6.9%	$33,011,795	51
Unclassified	6.5%	$31,305,520	14
Utilities	5.5%	$26,567,901	42
Industrials	5.5%	$26,419,644	119
Energy	4.7%	$22,591,626	42
Communication Services	2.4%	$11,469,524	43
Basic Materials	2.0%	$9,600,655	54
Real Estate	0.8%	$3,775,096	53

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
AAPL	Apple Inc.	+19,283	361,058	$64,113,069
KMI	Kinder Morgan, Inc.	+15,456	44,105	$699,505
PFE	Pfizer Inc	+14,347	155,325	$9,171,941
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	$570,057
DUK	Duke Energy CORP	+9,356	166,856	$17,503,194
CTVA	Corteva, Inc.	+8,813	16,464	$778,417
TFC	Truist Financial Corp	+8,364	213,182	$12,481,806
MDLZ	Mondelez International, Inc.	+8,173	18,795	$1,246,296
MFC	Manulife Financial Corp	+7,508	7,704	$146,915
JNJ	Johnson & Johnson	+7,079	64,870	$11,097,310
ENB	Enbridge Inc	+6,223	132,221	$5,167,196
LNC	Lincoln National Corp	+6,057	19,766	$1,349,227
EPD	Enterprise Products Partners L.P.	+5,974	14,662	$321,977
PEP	Pepsico Inc	+5,703	30,735	$5,338,976
F	Ford Motor Co	+5,431	24,113	$500,827
LVS	Las Vegas Sands Corp	+4,792	5,035	$189,517
NEE	Nextera Energy Inc	+4,035	25,863	$2,414,569
FITB	Fifth Third Bancorp	+3,974	24,718	$1,076,468
NKE	NIKE, Inc.	+3,898	13,069	$2,178,210
D	Dominion Energy, Inc	+3,572	30,360	$2,385,081
MCD	Mcdonalds Corp	+3,211	15,143	$4,059,384
EMR	Emerson Electric Co	+3,163	8,436	$784,294
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
T	At&T Inc.	−18,321	74,676	$1,387,487
LPRO	Open Lending Corp	−13,529	10,000	$224,800
BRK-B	Berkshire Hathaway Inc	−11,286	74,517	$22,280,583
VZ	Verizon Communications Inc	−9,581	41,754	$2,169,537
PHYS	Sprott Physical Gold Trust	−7,653	43,970	$631,409
RJF	Raymond James Financial Inc	−6,500	3,223	$323,589
EQX	Equinox Gold Corp.	−6,000	238	$1,608
RY	Royal Bank Of Canada	−5,223	31,523	$3,345,851
NVDA	Nvidia Corp	−4,813	3,777	$111,085
AXP	American Express Co	−4,572	47,049	$7,697,216
GILD	Gilead Sciences, Inc.	−4,145	4,776	$346,785
SPY	Spdr S&P 500 ETF Trust	−4,088	43,844	$20,824,146
COP	Conocophillips	−4,088	11,494	$829,636
CMCSA	Comcast Corp	−3,665	18,026	$850,279
QQQ	Invesco Qqq Trust, Series 1	−3,569	21,569	$8,581,226
MANU	Manchester United plc	−3,098	2	$28
USA	Liberty All Star Equity Fund	−3,023	112	$938
TXT	Textron Inc	−3,000	11	$849
LDP	Cohen & Steers Ltd Duration Preferred & Income Fund, Inc.	−2,861	1,100	$29,128
LNG	Cheniere Energy, Inc.	−2,811	299	$30,324
BFLY	Butterfly Network, Inc.	−2,796	5,927	$39,651
BAC	Bank Of America Corp /De/	−2,622	176,031	$7,831,619
SLV	iShares Silver Trust	−2,601	130	$2,796
META	Meta Platforms, Inc.	−1,950	3,837	$1,290,574
SO	Southern Co	−1,793	25,918	$1,777,456
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
NAD	Nuveen Quality Municipal Income Fund	49,955	$804,775
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
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
ODFL	Old Dominion Freight Line, Inc.	84	$15,051
CAR	Avis Budget Group, Inc.	70	$14,515
JBTM	JBT MAREL Corp	92	$14,127
FCF	First Commonwealth Financial Corp /Pa/	875	$14,078
FIVN	Five9, Inc.	97	$13,320
DJT	Trump Media & Technology Group Corp.	247	$12,703
WH	Wyndham Hotels & Resorts, Inc.	140	$12,551
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
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
MTH	Meritage Homes CORP	975	$47,287
RBLX	Roblox Corp	622	$46,992
HIG	Hartford Insurance Group, Inc.	660	$46,365
FLO	Flowers Foods Inc	1,929	$45,582
HPI	John Hancock Preferred Income Fund	1,800	$38,700
SPXX	Nuveen S&P 500 Dynamic Overwrite Fund	1,988	$33,974
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
FTV	Fortive Corp	532	$28,291
EEFT	Euronet Worldwide, Inc.	199	$25,328
TRN	Trinity Industries Inc	898	$24,398
EFOR	Everforth Inc	209	$23,646
POR	Portland General Electric Co /Or/	488	$22,931
RDN	Radian Group Inc	1,005	$22,833
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

54 positions · $9,600,655 total · Basic Materials only · 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 54 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
NUE	Nucor Corp Basic Materials	Added	29,401	+1,471	$3,356,124	+22.0%	34.96%
DOW	Dow Inc. Basic Materials	Added	17,789	+10,070	$1,008,992	+127.1%	10.51%
CTVA	Corteva, Inc. Basic Materials	Added	16,464	+8,813	$778,417	+141.8%	8.11%
PPG	Ppg Industries Inc Basic Materials	Added	4,422	+1,049	$762,529	+58.1%	7.94%
SHW	Sherwin Williams Co Basic Materials	Added	1,927	+1,201	$678,612	+234.2%	7.07%
ALB	Albemarle Corp Basic Materials	Reduced	2,783	-152	$650,581	+1.2%	6.78%
DD	DuPont de Nemours, Inc. Basic Materials	Added	16,866	+9,744	$570,057	+181.4%	5.94%
BHP	BHP Group Ltd Basic Materials	Reduced	4,327	-177	$232,947	+8.3%	2.43%
FNV	FRANCO NEVADA Corp Basic Materials	Held	1,219	0	$168,575	+6.5%	1.76%
NTR	Nutrien Ltd. Basic Materials	Reduced	1,995	-340	$150,024	−0.9%	1.56%
MLM	Martin Marietta Materials Inc Basic Materials	Reduced	327	-8	$144,050	+25.8%	1.50%
ECL	Ecolab Inc. Basic Materials	Reduced	524	-22	$122,925	+7.9%	1.28%
LYB	LyondellBasell Industries N.V. Basic Materials	Reduced	1,244	-11	$114,734	−2.6%	1.20%
FMC	Fmc Corp Basic Materials	Added	971	+502	$106,703	+148.5%	1.11%
APD	Air Products & Chemicals, Inc. Basic Materials	Reduced	317	-68	$96,450	−2.2%	1.00%
VMC	Vulcan Materials CO Basic Materials	Held	450	0	$93,411	+22.7%	0.97%
EMN	Eastman Chemical Co Basic Materials	Reduced	710	-178	$85,846	−4.0%	0.89%
FCX	Freeport-Mcmoran Inc Basic Materials	Reduced	1,767	-80	$73,736	+22.7%	0.77%
RGLD	Royal Gold Inc Basic Materials	Reduced	592	-16	$62,284	+7.3%	0.65%
RIO	Rio Tinto PLC Basic Materials	Held	915	0	$61,250	+0.2%	0.64%
SCCO	Southern Copper Corp/ Basic Materials	Held	667	0	$39,317	+9.9%	0.41%
NEM	NEWMONT Corp /DE/ Basic Materials	Reduced	494	-24	$30,637	+8.9%	0.32%
WPM	Wheaton Precious Metals Corp. Basic Materials	NEW	708	NEW	$30,394	NEW	0.32%
HL	Hecla Mining Co/De/ Basic Materials	NEW	4,684	NEW	$24,450	NEW	0.25%
CMP	Compass Minerals International Inc Basic Materials	Added	389	+64	$19,870	−5.1%	0.21%
CC	Chemours Co Basic Materials	Added	588	+168	$19,733	+61.7%	0.21%
CLF	Cleveland-Cliffs Inc. Basic Materials	Added	820	+699	$17,851	+644.7%	0.19%
SMG	Scotts Miracle-Gro Co Basic Materials	Held	98	0	$15,778	+10.0%	0.16%
AA	Alcoa Corp Basic Materials	Held	160	0	$9,532	+21.7%	0.10%
OLN	OLIN Corp Basic Materials	Held	115	0	$6,614	+19.2%	0.07%
BCPC	Balchem Corp Basic Materials	Reduced	39	-14	$6,575	−14.5%	0.07%
CX	Cemex Sab De CV Basic Materials	Reduced	869	-1,590	$5,891	−66.6%	0.06%
PAAS	Pan American Silver Corp Basic Materials	NEW	229	NEW	$5,718	NEW	0.06%
VALE	Vale S.A. Basic Materials	NEW	372	NEW	$5,215	NEW	0.05%
CE	Celanese Corp Basic Materials	Held	30	0	$5,041	+11.6%	0.05%
FUL	Fuller H B Co Basic Materials	Held	62	0	$5,022	+25.5%	0.05%
AEM	Agnico Eagle Mines Ltd Basic Materials	Held	91	0	$4,835	+2.5%	0.05%
CLW	Clearwater Paper Corp Basic Materials	Held	119	0	$4,363	−4.3%	0.05%
IFF	International Flavors & Fragrances Inc Basic Materials	Reduced	24	-61	$3,615	−68.2%	0.04%
SCL	Stepan Co Basic Materials	Reduced	27	-14	$3,355	−27.5%	0.03%
KWR	Quaker Chemical Corp Basic Materials	Held	12	0	$2,769	−2.9%	0.03%
SLVM	Sylvamo Corp Basic Materials	NEW	82	NEW	$2,286	NEW	0.02%
HUN	Huntsman CORP Basic Materials	Held	52	0	$1,813	+17.9%	0.02%
ASIX	AdvanSix Inc. Basic Materials	Added	38	+28	$1,795	+352.1%	0.02%
IOSP	Innospec Inc. Basic Materials	Held	18	0	$1,626	+7.3%	0.02%
EQX	Equinox Gold Corp. Basic Materials	Reduced	238	-6,000	$1,608	−96.1%	0.02%
CF	CF Industries Holdings, Inc. Basic Materials	NEW	22	NEW	$1,557	NEW	0.02%
MTA	Metalla Royalty & Streaming Ltd. Basic Materials	Held	200	0	$1,386	+1.9%	0.01%
GORO	Gold Resource Corp Basic Materials	Held	849	0	$1,324	−0.6%	0.01%
NGVT	Ingevity Corp Basic Materials	Held	16	0	$1,147	+0.5%	0.01%