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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
+2.58%
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
+$6.99M
Cap. Flow
+$4.59M
Cap. Flow %
3.64%
Top 10 Hldgs %
84.86%
Holding
152
New
118
Increased
7
Reduced
23
Closed
–

Top Buys

Rank Stock Value
1
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$1.91M
2
IGIB icon
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
+$796K
3
VNQ icon
Vanguard Real Estate ETF
VNQ
+$453K
4
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$321K
5
QQQ icon
Invesco QQQ Trust
QQQ
+$310K

Top Sells

Rank Stock Value
1
OIL
Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In
OIL
+$666K
2
MRK icon
Merck
MRK
+$639K
3
IWM icon
iShares Russell 2000 ETF
IWM
+$379K
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$356K
5
JNJ icon
Johnson & Johnson
JNJ
+$247K

Sector Composition

Rank Sector Weight
1 Healthcare 0.95%
2 Industrials 0.88%
3 Technology 0.81%
4 Financials 0.63%
5 Energy 0.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
D icon
126
Dominion Energy
D
$60.4B
$3K ﹤0.01%
+40
New +$2.76K
ES icon
127
Eversource Energy
ES
$26.9B
$3K ﹤0.01%
+60
New +$3.05K
ITW icon
128
Illinois Tool Works
ITW
$82.2B
$3K ﹤0.01%
+32
New +$2.9K
MDT icon
129
Medtronic
MDT
$110B
$3K ﹤0.01%
+43
New +$3.24K
NDLS icon
130
Noodles & Co
NDLS
$111M
$3K ﹤0.01%
+44
New +$4.19K
NEE icon
131
NextEra Energy
NEE
$180B
$3K ﹤0.01%
+112
New +$2.83K
NVS icon
132
Novartis
NVS
$292B
$3K ﹤0.01%
+35
New +$2.78K
PSX icon
133
Phillips 66
PSX
$83.6B
$3K ﹤0.01%
+37
New +$3.19K
SWK icon
134
Stanley Black & Decker
SWK
$14.6B
$3K ﹤0.01%
+32
New +$3.37K
TRV icon
135
Travelers Companies
TRV
$78.1B
$3K ﹤0.01%
+29
New +$3.22K
UL icon
136
Unilever
UL
$138B
$3K ﹤0.01%
+54
New +$2.63K
UPS icon
137
United Parcel Service
UPS
$90.3B
$3K ﹤0.01%
+27
New +$2.76K
VFC icon
138
VF Corp
VFC
$5.87B
$3K ﹤0.01%
+47
New +$2.93K
BH icon
139
Biglari Holdings Class B
BH
$1.24B
$2K ﹤0.01%
+9
New +$2.18K
DEO icon
140
Diageo
DEO
$49.2B
$2K ﹤0.01%
+22
New +$2.48K
GEN icon
141
Gen Digital
GEN
$16.8B
$2K ﹤0.01%
+112
New +$2.28K
IVZ icon
142
Invesco
IVZ
$13.3B
$2K ﹤0.01%
+72
New +$2.36K
JWN
143
DELISTED
Nordstrom
JWN
$2K ﹤0.01%
+39
New +$2.37K
OXY icon
144
Occidental Petroleum
OXY
$55.4B
$2K ﹤0.01%
+27
New +$1.94K
PSO icon
145
Pearson
PSO
$10.1B
$2K ﹤0.01%
+144
New +$1.94K
QCOM icon
146
Qualcomm
QCOM
$157B
$2K ﹤0.01%
+34
New +$1.81K
RTX icon
147
RTX Corp
RTX
$291B
$2K ﹤0.01%
+38
New +$2.3K
UNP icon
148
Union Pacific
UNP
$172B
$2K ﹤0.01%
+27
New +$2.32K
BNBX
149
DELISTED
BNB PLUS CORP
BNBX
– –
0
– –
T icon
150
AT&T
T
$161B
$1K ﹤0.01%
+56
New +$1.42K
3 4 5
6
7

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MS
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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 Q4 2015 Portfolio in Review

As of Q4 2015, D. Scott Neal held 152 positions worth $126M, up 5.9% from $119M the previous quarter. Its ten largest holdings account for 85% of the portfolio.

D. Scott Neal deployed $4.59M of net new capital in Q4 2015, opening 118 new positions and adding to 7 existing holdings. Its largest new stake was iShares Core S&P 500 ETF: 1,127 shares worth $231K.

By sector, the portfolio is most concentrated in Healthcare at 0.95% of assets, down from 1.1% a quarter earlier, followed by Industrials and Technology.

On the sell side, the largest reduction was Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In, an estimated $666K trimmed.

  • D. Scott Neal's largest Q4 2015 buy was iShares Core S&P 500 ETF: 1,127 shares worth $231K.
  • D. Scott Neal added most to iShares 7-10 Year Treasury Bond ETF in Q4 2015, an estimated $1.91M increase.
  • D. Scott Neal's biggest Q4 2015 reduction was Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In, cutting an estimated $666K.
  • D. Scott Neal's ten largest holdings make up 85% of its $126M portfolio in Q4 2015.
  • D. Scott Neal opened 118 new positions and closed 0 in Q4 2015.
  • D. Scott Neal's portfolio value rose 5.9% quarter-over-quarter to $126M.

Based on D. Scott Neal's 13F filing for Q4 2015, filed 12 Jan 2016.