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D. Scott Neal Portfolio holdings

AUM $216M
1-Year Est. Return 33.28%
This Fund
S&P 500
This Quarter Est. Return
+2.03%
1 Year Est. Return
+33.28%
3 Year Est. Return
+105.2%
5 Year Est. Return
+143.51%
10 Year Est. Return
+276.24%
AUM
$119M
AUM Growth
+$7.35M
Cap. Flow
+$5.3M
Cap. Flow %
4.46%
Top 10 Hldgs %
74.3%
Holding
42
New
5
Increased
14
Reduced
15
Closed
1

Top Buys

Rank Stock Value
1
VNQ icon
Vanguard Real Estate ETF
VNQ
+$8.34M
2
VXX
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
+$5.53M
3
ILF icon
iShares Latin America 40 ETF
ILF
+$5.5M
4
SCHR
Schwab Intermediately-Term US Treasury ETF
SCHR
+$266K
5
VGIT icon
Vanguard Intermediate-Term Treasury ETF
VGIT
+$263K

Top Sells

Rank Stock Value
1
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$8.53M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$3M
3
KRE icon
State Street SPDR S&P Regional Banking ETF
KRE
+$1.9M
4
IWM icon
iShares Russell 2000 ETF
IWM
+$854K
5
TFC icon
Truist Financial
TFC
+$260K

Sector Composition

Rank Sector Weight
1 Healthcare 1.19%
2 Industrials 0.73%
3 Energy 0.71%
4 Technology 0.31%
5 Financials 0.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VGIT icon
26
Vanguard Intermediate-Term Treasury ETF
VGIT
$41.6B
$631K 0.53%
9,975
+4,140
+71% +$263K
SCHF icon
27
Schwab International Equity ETF
SCHF
$65.6B
$615K 0.52%
39,058
+7,478
+24% +$116K
SHY icon
28
iShares 1-3 Year Treasury Bond ETF
SHY
$25.4B
$589K 0.5%
6,970
-2,455
-26% -$207K
MBB icon
29
iShares MBS ETF
MBB
$39B
$579K 0.49%
5,460
-2,020
-27% -$214K
SSO icon
30
ProShares Ultra S&P500
SSO
$7.82B
$471K 0.4%
71,520
– –
CTRX
31
DELISTED
CATAMARAN CORP COM STK (CDA)
CTRX
$448K 0.38%
10,000
– –
JNJ icon
32
Johnson & Johnson
JNJ
$635B
$406K 0.34%
4,138
+100
+2% +$9.27K
VEU icon
33
Vanguard FTSE All-World ex-US ETF
VEU
$65.6B
$379K 0.32%
7,526
+3,253
+76% +$161K
IWB icon
34
iShares Russell 1000 ETF
IWB
$47.7B
$377K 0.32%
3,599
+1,468
+69% +$151K
IBM icon
35
IBM
IBM
$202B
$364K 0.31%
1,977
-84
-4% -$14.8K
ALXN
36
DELISTED
Alexion Pharmaceuticals
ALXN
$304K 0.26%
2,000
– –
USB icon
37
US Bancorp
USB
$99.6B
$280K 0.24%
6,537
+36
+0.6% +$1.48K
GE icon
38
GE Aerospace
GE
$367B
$237K 0.2%
1,914
+67
+4% +$8.28K
PG icon
39
Procter & Gamble
PG
$343B
$237K 0.2%
+2,944
New +$232K
UWM icon
40
ProShares Ultra Russell2000
UWM
$255M
$224K 0.19%
10,400
– –
TFC icon
41
Truist Financial
TFC
$63.2B
– –
-6,977
Closed -$260K
1
2

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MS
Marshall & Sullivan Seattle, Washington $216M AUM 12.97% 1-Year Est. Return
ICM
IMS Capital Management Portland, Oregon $217M AUM 18.69% 1-Year Est. Return
FFAM
Forge First Asset Management Toronto, Ontario, Canada $218M AUM 29.22% 1-Year Est. Return
NWM
Napa Wealth Management Napa, California $213M AUM 25.01% 1-Year Est. Return
LA
Lindenwold Advisors Reading, Pennsylvania $212M AUM 13.02% 1-Year Est. Return
APC
Asset Planning Corporation Knoxville, Tennessee $211M AUM 7.33% 1-Year Est. Return
WTFG
Wells Trecaso Financial Group Akron, Ohio $210M AUM 21.47% 1-Year Est. Return
SNWA
Siligmueller & Norvid Wealth Advisors Glen Ellyn, Illinois $222M AUM 10.94% 1-Year Est. Return

D. Scott Neal's Q1 2014 Portfolio in Review

As of Q1 2014, D. Scott Neal held 42 positions worth $119M, up 6.6% from $112M the previous quarter. Its ten largest holdings account for 74% of the portfolio.

D. Scott Neal deployed $5.3M of net new capital in Q1 2014, opening 5 new positions and adding to 14 existing holdings. Its largest new stake was Vanguard Real Estate ETF: 121,774 shares worth $8.6M.

By sector, the portfolio is most concentrated in Healthcare at 1.2% of assets, up from 1.1% a quarter earlier, followed by Industrials and Energy.

On the sell side, the largest reduction was State Street SPDR S&P MIDCAP 400 ETF Trust, an estimated $8.53M trimmed.

  • D. Scott Neal's largest Q1 2014 buy was Vanguard Real Estate ETF: 121,774 shares worth $8.6M.
  • D. Scott Neal added most to Schwab Intermediately-Term US Treasury ETF in Q1 2014, an estimated $266K increase.
  • D. Scott Neal's biggest Q1 2014 reduction was State Street SPDR S&P MIDCAP 400 ETF Trust, cutting an estimated $8.53M.
  • D. Scott Neal fully exited Truist Financial in Q1 2014, selling an estimated $260K.
  • D. Scott Neal's ten largest holdings make up 74% of its $119M portfolio in Q1 2014.
  • D. Scott Neal opened 5 new positions and closed 1 in Q1 2014.
  • D. Scott Neal's portfolio value rose 6.6% quarter-over-quarter to $119M.

Based on D. Scott Neal's 13F filing for Q1 2014, filed 4 Apr 2014.