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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
-1.18%
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
$126M
AUM Growth
-$840K
Cap. Flow
+$1.07M
Cap. Flow %
0.85%
Top 10 Hldgs %
86.29%
Holding
35
New
1
Increased
13
Reduced
11
Closed
3

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$5.53M
2
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$3.54M
3
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$1.06M
4
EFA icon
iShares MSCI EAFE ETF
EFA
+$893K
5
DVY icon
iShares Select Dividend ETF
DVY
+$843K

Top Sells

Rank Stock Value
1
KRE icon
State Street SPDR S&P Regional Banking ETF
KRE
+$6.16M
2
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$3.9M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$1.89M
4
GE icon
GE Aerospace
GE
+$241K
5
UWM icon
ProShares Ultra Russell2000
UWM
+$211K

Sector Composition

Rank Sector Weight
1 Healthcare 1.2%
2 Energy 0.68%
3 Industrials 0.51%
4 Financials 0.49%
5 Technology 0.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CTRX
26
DELISTED
CATAMARAN CORP COM STK (CDA)
CTRX
$422K 0.34%
10,000
– –
IBM icon
27
IBM
IBM
$200B
$347K 0.28%
1,910
– –
ALXN
28
DELISTED
Alexion Pharmaceuticals
ALXN
$332K 0.26%
2,000
– –
USB icon
29
US Bancorp
USB
$98.4B
$318K 0.25%
7,611
+1,037
+16% +$43.8K
TFC icon
30
Truist Financial
TFC
$65.4B
$298K 0.24%
+7,977
New +$301K
FLOT icon
31
iShares Floating Rate Bond ETF
FLOT
$10B
$279K 0.22%
5,495
-790
-13% -$40.1K
PG icon
32
Procter & Gamble
PG
$349B
$247K 0.2%
2,944
– –
GE icon
33
GE Aerospace
GE
$364B
– –
-1,914
Closed -$241K
KRE icon
34
State Street SPDR S&P Regional Banking ETF
KRE
$4.97B
– –
-152,870
Closed -$6.16M
UWM icon
35
ProShares Ultra Russell2000
UWM
$277M
– –
-9,460
Closed -$211K
1
2

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FFAM
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NWM
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LA
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APC
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WTFG
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SNWA
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D. Scott Neal's Q3 2014 Portfolio in Review

As of Q3 2014, D. Scott Neal held 35 positions worth $126M, down 0.66% from $127M the previous quarter. Its ten largest holdings account for 86% of the portfolio.

D. Scott Neal's Q3 2014 filing shows 1 new, 13 increased, 11 reduced and 3 closed positions. Its largest new stake was Truist Financial: 7,977 shares worth $298K. The largest sale was State Street SPDR S&P Regional Banking ETF, an estimated $6.16M.

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

  • D. Scott Neal's largest Q3 2014 buy was Truist Financial: 7,977 shares worth $298K.
  • D. Scott Neal added most to Invesco QQQ Trust in Q3 2014, an estimated $5.53M increase.
  • D. Scott Neal's biggest Q3 2014 reduction was State Street SPDR S&P MIDCAP 400 ETF Trust, cutting an estimated $3.9M.
  • D. Scott Neal fully exited State Street SPDR S&P Regional Banking ETF in Q3 2014, selling an estimated $6.16M.
  • D. Scott Neal's ten largest holdings make up 86% of its $126M portfolio in Q3 2014.
  • D. Scott Neal opened 1 new position and closed 3 in Q3 2014.
  • D. Scott Neal's portfolio value fell 0.66% quarter-over-quarter to $126M.

Based on D. Scott Neal's 13F filing for Q3 2014, filed 21 Nov 2014.