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Carroll Financial Associates Inc




There are no insights from this firm to display at this time.


ETF Holdings

Name Assets
Gavekal Knowledge Leaders Developed World ETF $73,429,000
ARK Genomic Revolution Multi-Sector ETF $12,140,000
WisdomTree Bloomberg Floating Rate Treasury Fund $8,651,000
WisdomTree Barclays US Aggregate Bond Zero Duration Fund $3,499,000
Vanguard International Dividend Appreciation Index Fund $2,890,000
IQ Global Resources ETF $1,794,000
Global X Scientific Beta US ETF $1,579,000
ProShares Merger ETF $1,211,000
ARK Web x.0 ETF $876,000
Schwab Fundamental US Broad Market Index ETF $365,000
Goldman Sachs ActiveBeta International Equity ETF $338,000
Reality Shares DIVS ETF $242,000
Victory CEMP US EQ Income Enhanced Volatility Wtd Index ETF $208,000
VanEck Vectors-Investment Grade Floating Rate ETF $179,000
Janus Small/Mid Cap Growth Alpha ETF $164,000
iShares Currency Hedged MSCI EAFE Small-Cap ETF $155,000
Janus Small Cap Growth Alpha ETF $151,000
iShares Global Clean Energy ETF $142,000
IQ Hedge Event-Driven Tracker ETF $139,000
WisdomTree Emerging Markets Quality Dividend Growth Fund $125,000
Vident International Equity Fund $101,000
Global X SuperDividend Alternatives ETF $99,000
PIMCO Broad US TIPS Index Exchange-Traded Fund $98,000
iShares Short Maturity Municipal Bond ETF $72,000
Cohen & Steers Global Realty Majors ETF $57,000
First Trust NASDAQ Clean Edge Green Energy Index Fund $30,000
Victory CEMP US Discovery Enhanced Volatility Wtd Index ETF $23,000
VanEck Vectors Steel ETF $15,000
Direxion Daily Mid Cap Bull 3X Shares $12,000
Victory CEMP Developed Enhanced Volatility Wtd Index ETF $12,000
UBS Exchange Traded Access Securities (E-TRACS) 2x Leveraged Long Wells Fargo BDC Index $11,000
Deutsche X-trackers MSCI EAFE High Dividend Yield Hedged Equity ETF $11,000
KraneShares Bosera MSCI China A Share ETF $6,000
WisdomTree Global High Dividend Fund $4,000
WisdomTree Emerging Markets ex-State-Owned Enterprises Fund $4,000
Global X Yieldco Index ETF $3,000
ProShares Ultra Real Estate $2,000
VanEck Vectors Africa Index ETF $1,000
Fidelity MSCI Real Estate Index ETF $1,000



    Last updated on June 28, 2019
      • $2.5B
        Total Assets Under Management
      • N/A
        Total Assets Under Advisement
      • 7K
      • $363.6K
        Estimated Average Account Balance


    Firm Services

    There is no Services data available to display at this time.

    Firm Client types

    There is no client type data to display at this time.


    Current Advisors

    # of advisors


    name start date
    Christopher Ralph Baker
    January 2019
    Charles Martin Moore
    January 2005
    Marianne Edwards Potter
    May 2012
    Taylor Michael Watts
    October 2017
    John Andrew Patterson
    December 2001

      Affiliated Investment Advisors and Broker Dealers

      Name Type Total Assets
      Peters Tax Preparation & Consulting -- --



        There is no ownership data available to display at this time.

        Executives and Control Persons

        Name Title Tenure Date % Ownership
        Kristopher Wayne Carroll Chief Operations Officer/Chief Compliance Officer March, 2016 75% or more
        Benjamin Kelly Graves Executive Vice President January, 1984 less than 5%
        John Andrew Patterson Executive Vice President December, 1986 less than 5%
        Larry Wayne Carroll President/Ceo June, 1980 less than 5%
          Source: SEC


          Types of Compensation Arrangements

          • Percentage Of Assets
          • Hourly Charges
          • Fixed Fees