CARROLL FINANCIAL ASSOCIATES, INC.

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Carroll Financial Associates is based out of Charlotte. Carroll Financial Associates is a large advisory firm with 4359 clients and discretionary assets under management (AUM) of $2,175,732,987 (Form ADV from 2019-06-20). Their last reported 13F filing for Q3 2019 included $1,144,699,000 in managed 13F securities and a top 10 holdings concentration of 49.23%. Carroll Financial Associates's largest holding is Global X Adaptive US Factor ETF with shares held of 6,337,462. Whalewisdom has at least 29 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $1.145 Billion
  • Prior Market Value $1.148 Billion
  • New Purchases103 stocks
  • Additional Purchases279 stocks
  • Sold out of163 stocks
  • Reduced holdings in445 stocks
  • Top 10 Holdings % 49.23 %
  • Turnover % [1]:15.67%
  • Turnover Alt % [2]: 7.61 %
  • Time Held Top20:13.00 quarters
  • Time Held Top10:12.30 quarters
  • Time Held All:12.35 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -0.92%
Performance Last 4 Quarters: -2.06%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR/A (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CARROLL FINANCIAL ASSOCIATES INC
4201 CONGRESS STREET, STE 210
CHARLOTTE NC    28209
Country: United States

Business Phone: 704-553-8006
Fax: 704-553-9610
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: NC
Number of employees: 46
Other Business Activities: registered representative of a broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 137,798,000
Total Number of Clients: 4359
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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CARROLL FINANCIAL ASSOCIATES INC

ownership team - last updated 2019-06-20
Name Title Start Date Direct/Indirect % Ownership
CARROLL, LARRY, WAYNE PRESIDENT/CEO 06/01/1980 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARROLL FINANCIAL ASSOCIATES INC PRESIDENT/CEO direct 1980-06-01
CARROLL FINANCIAL ASSOCIATES INC PRESIDENT direct 1980-06-01 2004-03-30
CARROLL FINANCIAL ASSOCIATES INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1980-06-01 2016-03-02
GRAVES, BENJAMIN, KELLY EXECUTIVE VICE PRESIDENT 01/01/1984 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARROLL FINANCIAL ASSOCIATES INC EXECUTIVE VICE PRESIDENT direct 1984-01-01
PATTERSON, JOHN, ANDREW EXECUTIVE VICE PRESIDENT 12/01/1986 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARROLL FINANCIAL ASSOCIATES INC EXECUTIVE VICE PRESIDENT direct 1986-12-01
CARROLL, KRISTOPHER, WAYNE CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER 03/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
CARROLL FINANCIAL ASSOCIATES INC CHIEF OPERATIONS OFFICER direct 2015-01-01
CARROLL FINANCIAL ASSOCIATES INC CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER direct 2016-03-01

CARROLL FINANCIAL ASSOCIATES INC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
CARROLL, LARRY, WAYNE PRESIDENT/CEO 06/01/1980 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARROLL FINANCIAL ASSOCIATES INC PRESIDENT/CEO direct 1980-06-01
CARROLL FINANCIAL ASSOCIATES INC PRESIDENT direct 1980-06-01 2004-03-30
CARROLL FINANCIAL ASSOCIATES INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1980-06-01 2016-03-02
GRAVES, BENJAMIN, KELLY EXECUTIVE VICE PRESIDENT 01/01/1984 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARROLL FINANCIAL ASSOCIATES INC EXECUTIVE VICE PRESIDENT direct 1984-01-01
PATTERSON, JOHN, ANDREW EXECUTIVE VICE PRESIDENT 12/01/1986 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARROLL FINANCIAL ASSOCIATES INC EXECUTIVE VICE PRESIDENT direct 1986-12-01
CARROLL, KRISTOPHER, WAYNE CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER 03/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
CARROLL FINANCIAL ASSOCIATES INC CHIEF OPERATIONS OFFICER direct 2015-01-01
CARROLL FINANCIAL ASSOCIATES INC CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER direct 2016-03-01

CARROLL FINANCIAL ASSOCIATES INC

ownership team - last updated 2017-06-29
Name Title Start Date Direct/Indirect % Ownership
CARROLL, LARRY, WAYNE PRESIDENT/CEO 06/01/1980 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARROLL FINANCIAL ASSOCIATES INC PRESIDENT/CEO direct 1980-06-01
CARROLL FINANCIAL ASSOCIATES INC PRESIDENT direct 1980-06-01 2004-03-30
CARROLL FINANCIAL ASSOCIATES INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1980-06-01 2016-03-02
GRAVES, BENJAMIN, KELLY EXECUTIVE VICE PRESIDENT 01/01/1984 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARROLL FINANCIAL ASSOCIATES INC EXECUTIVE VICE PRESIDENT direct 1984-01-01
PATTERSON, JOHN, ANDREW EXECUTIVE VICE PRESIDENT 12/01/1986 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARROLL FINANCIAL ASSOCIATES INC EXECUTIVE VICE PRESIDENT direct 1986-12-01
CARROLL, KRISTOPHER, WAYNE CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER 03/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
CARROLL FINANCIAL ASSOCIATES INC CHIEF OPERATIONS OFFICER direct 2015-01-01
CARROLL FINANCIAL ASSOCIATES INC CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER direct 2016-03-01

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