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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%
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
$140M
AUM Growth
+$12.9M
Cap. Flow
+$13.1M
Cap. Flow %
9.34%
Top 10 Hldgs %
81.02%
Holding
201
New
23
Increased
20
Reduced
31
Closed
31

Top Buys

Rank Stock Value
1
EFA icon
iShares MSCI EAFE ETF
EFA
+$12M
2
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$1.45M
3
BSCH
Guggenheim BulletShares 2017 Corporate Bond ETF
BSCH
+$1.37M
4
SDS icon
ProShares UltraShort S&P500
SDS
+$760K
5
VYM icon
Vanguard High Dividend Yield ETF
VYM
+$496K

Top Sells

Rank Stock Value
1
BLV icon
Vanguard Long-Term Bond ETF
BLV
+$1.12M
2
IGIB icon
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
+$470K
3
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$457K
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$449K
5
IYR icon
iShares US Real Estate ETF
IYR
+$442K

Sector Composition

Rank Sector Weight
1 Consumer Staples 1.17%
2 Technology 1.13%
3 Industrials 1%
4 Financials 0.76%
5 Healthcare 0.7%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MJN
126
DELISTED
Mead Johnson Nutrition Company
MJN
$7K 0.01%
100
– –
DD icon
127
DuPont de Nemours
DD
$18.8B
$6K ﹤0.01%
42
– –
META icon
128
Meta Platforms (Facebook)
META
$1.51T
$6K ﹤0.01%
50
– –
PCRX icon
129
Pacira BioSciences
PCRX
$1.04B
$6K ﹤0.01%
200
– –
ZTS icon
130
Zoetis
ZTS
$32.5B
$6K ﹤0.01%
119
– –
CLM icon
131
Cornerstone Strategic Value Fund
CLM
$2.21B
$5K ﹤0.01%
+305
New +$4.49K
ELV icon
132
Elevance Health
ELV
$82.4B
$5K ﹤0.01%
+37
New +$4.95K
ONB icon
133
Old National Bancorp
ONB
$10.2B
$5K ﹤0.01%
280
– –
YUM icon
134
Yum! Brands
YUM
$41.2B
$5K ﹤0.01%
77
-76
-50% -$4.77K
ZG icon
135
Zillow
ZG
$8.07B
$5K ﹤0.01%
150
– –
CEFL
136
DELISTED
ETRACS Monthly Pay 2xLeveraged Closed-End Fund ETN
CEFL
$5K ﹤0.01%
+300
New +$4.99K
F icon
137
Ford
F
$58.9B
$4K ﹤0.01%
+368
New +$4.46K
PPL
138
PPL Corp
PPL
$26.5B
$4K ﹤0.01%
110
-35
-24% -$1.17K
MRO
139
DELISTED
Marathon Oil Corporation
MRO
$4K ﹤0.01%
206
– –
MNDT
140
DELISTED
Mandiant, Inc. Common Stock
MNDT
$4K ﹤0.01%
375
– –
BA icon
141
Boeing
BA
$179B
$3K ﹤0.01%
22
– –
BTI icon
142
British American Tobacco
BTI
$129B
$3K ﹤0.01%
46
– –
DUK icon
143
Duke Energy
DUK
$97.3B
$3K ﹤0.01%
34
-220
-87% -$16.9K
FDX icon
144
FedEx
FDX
$72.9B
$3K ﹤0.01%
16
– –
GEN icon
145
Gen Digital
GEN
$16.8B
$3K ﹤0.01%
112
– –
IP icon
146
International Paper
IP
$21.9B
$3K ﹤0.01%
64
– –
ZBH icon
147
Zimmer Biomet
ZBH
$18.5B
$3K ﹤0.01%
34
– –
AEE icon
148
Ameren
AEE
$30.3B
$2K ﹤0.01%
29
– –
AVNS
149
DELISTED
Avanos Medical
AVNS
$2K ﹤0.01%
55
– –
CWI icon
150
State Street SPDR MSCI ACWI ex-US ETF
CWI
$2.78B
$2K ﹤0.01%
+117
New +$2.47K
4 5
6
7 8

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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 2016 Portfolio in Review

As of Q4 2016, D. Scott Neal held 201 positions worth $140M, up 10% from $127M the previous quarter. Its ten largest holdings account for 81% of the portfolio.

D. Scott Neal deployed $13.1M of net new capital in Q4 2016, opening 23 new positions and adding to 20 existing holdings. Its largest new stake was iShares 3-7 Year Treasury Bond ETF: 11,685 shares worth $1.43M.

By sector, the portfolio is most concentrated in Consumer Staples at 1.2% of assets, down from 1.3% a quarter earlier, followed by Technology and Industrials.

On the sell side, the largest reduction was Vanguard Long-Term Bond ETF, an estimated $1.12M trimmed.

  • D. Scott Neal's largest Q4 2016 buy was iShares 3-7 Year Treasury Bond ETF: 11,685 shares worth $1.43M.
  • D. Scott Neal added most to iShares MSCI EAFE ETF in Q4 2016, an estimated $12M increase.
  • D. Scott Neal's biggest Q4 2016 reduction was Vanguard Long-Term Bond ETF, cutting an estimated $1.12M.
  • D. Scott Neal fully exited UGI in Q4 2016, selling an estimated $88K.
  • D. Scott Neal's ten largest holdings make up 81% of its $140M portfolio in Q4 2016.
  • D. Scott Neal opened 23 new positions and closed 31 in Q4 2016.
  • D. Scott Neal's portfolio value rose 10% quarter-over-quarter to $140M.

Based on D. Scott Neal's 13F filing for Q4 2016, filed 17 Jan 2017.