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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
+13.56%
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
$112M
AUM Growth
-$4.74M
Cap. Flow
-$15.8M
Cap. Flow %
-14.06%
Top 10 Hldgs %
70.06%
Holding
67
New
5
Increased
12
Reduced
14
Closed
8

Top Buys

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$7.82M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$511K
3
ANET icon
Arista Networks
ANET
+$325K
4
GOOG icon
Alphabet (Google) Class C
GOOG
+$263K
5
REKR icon
Rekor Systems
REKR
+$242K

Top Sells

Rank Stock Value
1
IYK icon
iShares US Consumer Staples ETF
IYK
+$8.14M
2
XOM icon
ExxonMobil
XOM
+$7.73M
3
PDBC icon
Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF
PDBC
+$7.38M
4
AMR icon
Alpha Metallurgical Resources
AMR
+$375K
5
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$318K

Sector Composition

Rank Sector Weight
1 Technology 19.21%
2 Financials 12.11%
3 Materials 9.78%
4 Healthcare 9.75%
5 Industrials 2.23%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ESGD icon
51
iShares ESG Aware MSCI EAFE ETF
ESGD
$12B
$272K 0.24%
3,606
– –
HON icon
52
Honeywell
HON
$77B
$269K 0.24%
1,363
– –
MRK icon
53
Merck
MRK
$322B
$249K 0.22%
2,270
– –
AVGO icon
54
Broadcom
AVGO
$1.85T
$243K 0.22%
+2,180
New +$206K
JPM icon
55
JPMorgan Chase
JPM
$935B
$231K 0.21%
+1,360
New +$206K
ESGV icon
56
Vanguard ESG US Stock ETF
ESGV
$13.1B
$223K 0.2%
+2,618
New +$206K
ITB icon
57
iShares US Home Construction ETF
ITB
$2.26B
$203K 0.18%
+2,000
New +$170K
PFE icon
58
Pfizer
PFE
$143B
$202K 0.18%
7,029
– –
LPSN icon
59
LivePerson
LPSN
$21.8M
$95.2K 0.08%
1,674
– –
DIA icon
60
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45.1B
– –
-883
Closed -$297K
DVY icon
61
iShares Select Dividend ETF
DVY
$23.5B
– –
-2,667
Closed -$291K
IONQ icon
62
IonQ
IONQ
$13.6B
– –
-10,000
Closed -$149K
IYK icon
63
iShares US Consumer Staples ETF
IYK
$1.4B
– –
-129,669
Closed -$8.14M
PDBC icon
64
Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF
PDBC
$6.38B
– –
-493,750
Closed -$7.38M
PSQ icon
65
ProShares Short QQQ
PSQ
$759M
– –
-4,586
Closed -$250K
RSP icon
66
Invesco S&P 500 Equal Weight ETF
RSP
$97.2B
– –
-2,244
Closed -$318K
VO icon
67
Vanguard Morningstar Mid-Cap ETF
VO
$106B
– –
-4,904
Closed -$255K
1 2
3

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MS
Marshall & Sullivan Seattle, Washington $216M AUM 12.97% 1-Year Est. Return
ICM
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FFAM
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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
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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 Q4 2023 Portfolio in Review

As of Q4 2023, D. Scott Neal held 67 positions worth $112M, down 4% from $117M the previous quarter. Its ten largest holdings account for 70% of the portfolio.

D. Scott Neal withdrew a net $15.8M in Q4 2023, closing 8 positions and reducing 14 holdings. Its most notable exit was iShares US Consumer Staples ETF, an estimated $8.14M position sold in full.

By sector, the portfolio is most concentrated in Technology at 19% of assets, up from 15% a quarter earlier, followed by Financials and Materials.

Against the trend, D. Scott Neal opened a new position in Arista Networks worth $364K.

  • D. Scott Neal's largest Q4 2023 buy was Arista Networks: 6,180 shares worth $364K.
  • D. Scott Neal added most to SPDR Gold Trust in Q4 2023, an estimated $7.82M increase.
  • D. Scott Neal's biggest Q4 2023 reduction was ExxonMobil, cutting an estimated $7.73M.
  • D. Scott Neal fully exited iShares US Consumer Staples ETF in Q4 2023, selling an estimated $8.14M.
  • D. Scott Neal's ten largest holdings make up 70% of its $112M portfolio in Q4 2023.
  • D. Scott Neal opened 5 new positions and closed 8 in Q4 2023.
  • D. Scott Neal's portfolio value fell 4% quarter-over-quarter to $112M.

Based on D. Scott Neal's 13F filing for Q4 2023, filed 17 Jan 2024.