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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
-0.53%
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
$237M
AUM Growth
+$16.1M
Cap. Flow
+$17.8M
Cap. Flow %
7.54%
Top 10 Hldgs %
80.91%
Holding
54
New
5
Increased
21
Reduced
12
Closed
3

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$18.2M
2
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$17.9M
3
MDYV icon
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
+$14.4M
4
SCZ icon
iShares MSCI EAFE Small-Cap ETF
SCZ
+$5.22M
5
PDBC icon
Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF
PDBC
+$1.9M

Top Sells

Rank Stock Value
1
IGIB icon
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
+$13.2M
2
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$9.84M
3
SPSB icon
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
+$9.26M
4
FNDF icon
Schwab Fundamental International Large Company Index ETF
FNDF
+$5.46M
5
VXF icon
Vanguard Extended Market ETF
VXF
+$2.63M

Sector Composition

Rank Sector Weight
1 Technology 1.39%
2 Financials 1.33%
3 Industrials 0.62%
4 Consumer Discretionary 0.58%
5 Healthcare 0.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IWM icon
26
iShares Russell 2000 ETF
IWM
$80.8B
$483K 0.2%
2,208
– –
TFC icon
27
Truist Financial
TFC
$63.5B
$473K 0.2%
8,064
+34
+0.4% +$1.9K
RF icon
28
Regions Financial
RF
$26.7B
$457K 0.19%
21,434
– –
IVOL icon
29
Quadratic Interest Rate Volatility and Inflation Hedge ETF
IVOL
$272M
$440K 0.19%
15,775
-374
-2% -$10.4K
PG icon
30
Procter & Gamble
PG
$341B
$400K 0.17%
2,863
+565
+25% +$80.1K
IBM icon
31
IBM
IBM
$213B
$399K 0.17%
3,007
+67
+2% +$8.96K
GSK icon
32
GSK
GSK
$104B
$389K 0.16%
8,146
– –
NVDA icon
33
NVIDIA
NVDA
$4.83T
$376K 0.16%
18,160
– –
XOM icon
34
ExxonMobil
XOM
$635B
$364K 0.15%
6,196
-321
-5% -$18.3K
PNC icon
35
PNC Financial Services
PNC
$100B
$346K 0.15%
1,769
+9
+0.5% +$1.7K
AAPL icon
36
Apple
AAPL
$4.52T
$344K 0.15%
2,430
+215
+10% +$31.7K
ESBA icon
37
Empire State Realty Series ES
ESBA
$1.63B
$342K 0.14%
34,000
-1,000
-3% -$10.8K
NEE icon
38
NextEra Energy
NEE
$179B
$327K 0.14%
4,166
– –
ROST icon
39
Ross Stores
ROST
$82.1B
$311K 0.13%
2,857
– –
LOW icon
40
Lowe's Companies
LOW
$120B
$307K 0.13%
1,515
+24
+2% +$4.78K
WMT icon
41
Walmart Inc
WMT
$890B
$307K 0.13%
6,606
+1,479
+29% +$71.3K
AMZN icon
42
Amazon
AMZN
$3.07T
$306K 0.13%
1,860
+80
+4% +$13.8K
DVY icon
43
iShares Select Dividend ETF
DVY
$23.5B
$306K 0.13%
2,667
– –
SHY icon
44
iShares 1-3 Year Treasury Bond ETF
SHY
$25B
$294K 0.12%
3,414
– –
JNJ icon
45
Johnson & Johnson
JNJ
$610B
$286K 0.12%
1,770
+446
+34% +$76.1K
TLT icon
46
iShares 20+ Year Treasury Bond ETF
TLT
$41.4B
$249K 0.11%
1,727
– –
SPY icon
47
State Street SPDR S&P 500 ETF Trust
SPY
$800B
$239K 0.1%
557
– –
HD icon
48
Home Depot
HD
$340B
$238K 0.1%
+724
New +$238K
SPSB icon
49
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
$10.6B
$221K 0.09%
7,071
-296,178
-98% -$9.26M
MCD icon
50
McDonald's
MCD
$195B
$219K 0.09%
910
+8
+0.9% +$1.91K
1
2
3

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FFAM
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NWM
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LA
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WTFG
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D. Scott Neal's Q3 2021 Portfolio in Review

As of Q3 2021, D. Scott Neal held 54 positions worth $237M, up 7.3% from $220M the previous quarter. Its ten largest holdings account for 81% of the portfolio.

D. Scott Neal deployed $17.8M of net new capital in Q3 2021, opening 5 new positions and adding to 21 existing holdings. Its largest new stake was iShares iBoxx $ Investment Grade Corporate Bond ETF: 134,499 shares worth $17.9M.

By sector, the portfolio is most concentrated in Technology at 1.4% of assets, up from 1.4% a quarter earlier, followed by Financials and Industrials.

On the sell side, the largest reduction was iShares 5-10 Year Investment Grade Corporate Bond ETF, an estimated $13.2M trimmed.

  • D. Scott Neal's largest Q3 2021 buy was iShares iBoxx $ Investment Grade Corporate Bond ETF: 134,499 shares worth $17.9M.
  • D. Scott Neal added most to Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF in Q3 2021, an estimated $1.9M increase.
  • D. Scott Neal's biggest Q3 2021 reduction was iShares 5-10 Year Investment Grade Corporate Bond ETF, cutting an estimated $13.2M.
  • D. Scott Neal fully exited iShares Core S&P Mid-Cap ETF in Q3 2021, selling an estimated $9.84M.
  • D. Scott Neal's ten largest holdings make up 81% of its $237M portfolio in Q3 2021.
  • D. Scott Neal opened 5 new positions and closed 3 in Q3 2021.
  • D. Scott Neal's portfolio value rose 7.3% quarter-over-quarter to $237M.

Based on D. Scott Neal's 13F filing for Q3 2021, filed 4 Nov 2021.