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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
+2.29%
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
$127M
AUM Growth
+$14.6M
Cap. Flow
+$12.3M
Cap. Flow %
9.66%
Top 10 Hldgs %
82.06%
Holding
209
New
24
Increased
27
Reduced
29
Closed
30

Top Buys

Rank Stock Value
1
BLV icon
Vanguard Long-Term Bond ETF
BLV
+$2.81M
2
VTI icon
Vanguard Total Stock Market ETF
VTI
+$2.8M
3
DVY icon
iShares Select Dividend ETF
DVY
+$2.59M
4
IWM icon
iShares Russell 2000 ETF
IWM
+$2.53M
5
VNQ icon
Vanguard Real Estate ETF
VNQ
+$2.47M

Top Sells

Rank Stock Value
1
SCHR
Schwab Intermediately-Term US Treasury ETF
SCHR
+$593K
2
IYR icon
iShares US Real Estate ETF
IYR
+$592K
3
SCHB icon
Schwab US Broad Market ETF
SCHB
+$543K
4
VGIT icon
Vanguard Intermediate-Term Treasury ETF
VGIT
+$529K
5
IWB icon
iShares Russell 1000 ETF
IWB
+$486K

Sector Composition

Rank Sector Weight
1 Consumer Staples 1.32%
2 Technology 1.16%
3 Industrials 1.04%
4 Healthcare 0.83%
5 Financials 0.67%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AFL icon
176
Aflac
AFL
$63.2B
– –
-88
Closed -$3K
BAC icon
177
Bank of America
BAC
$424B
– –
-311
Closed -$4K
BCE icon
178
BCE
BCE
$20.2B
– –
-39
Closed -$2K
COP icon
179
ConocoPhillips
COP
$141B
– –
-58
Closed -$3K
CSX icon
180
CSX Corp
CSX
$93.1B
– –
-6
Closed –
GIS icon
181
General Mills
GIS
$20.1B
– –
-17
Closed -$1K
GM icon
182
General Motors
GM
$68.3B
– –
-20
Closed -$1K
IGD
183
Voya Global Equity Dividend and Premium Opportunity Fund
IGD
$499M
– –
-159
Closed -$1K
INGR icon
184
Ingredion
INGR
$6.46B
– –
-110
Closed -$14K
IWB icon
185
iShares Russell 1000 ETF
IWB
$47.9B
– –
-4,161
Closed -$486K
MFC icon
186
Manulife Financial
MFC
$70.6B
– –
-1,538
Closed -$21K
OXY icon
187
Occidental Petroleum
OXY
$54.9B
– –
-146
Closed -$11K
PSO icon
188
Pearson
PSO
$9.97B
– –
-144
Closed -$2K
PSX icon
189
Phillips 66
PSX
$83.7B
– –
-38
Closed -$3K
SCHB icon
190
Schwab US Broad Market ETF
SCHB
$42.9B
$0 ﹤0.01%
18
-62,604
-100% -$543K
SCHF icon
191
Schwab International Equity ETF
SCHF
$65.1B
$0 ﹤0.01%
6
-24,808
-100% -$350K
SCHR
192
Schwab Intermediately-Term US Treasury ETF
SCHR
$13.3B
$0 ﹤0.01%
4
-21,316
-100% -$593K
SNY icon
193
Sanofi
SNY
$105B
– –
-11
Closed –
TRV icon
194
Travelers Companies
TRV
$78.4B
– –
-29
Closed -$3K
VBK icon
195
Vanguard Small-Cap Growth ETF
VBK
$23.3B
– –
-882
Closed -$109K
VEU icon
196
Vanguard FTSE All-World ex-US ETF
VEU
$65.3B
– –
-6,399
Closed -$274K
VGIT icon
197
Vanguard Intermediate-Term Treasury ETF
VGIT
$41.8B
– –
-7,876
Closed -$529K
VOD icon
198
Vodafone
VOD
$35.5B
– –
-46
Closed -$1K
VONG icon
199
Vanguard Russell 1000 Growth ETF
VONG
$43.2B
– –
-1,280
Closed -$33K
WBA
200
DELISTED
Walgreens Boots Alliance
WBA
– –
-138
Closed -$11K
5 6 7
8
9

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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 2016 Portfolio in Review

As of Q3 2016, D. Scott Neal held 209 positions worth $127M, up 13% from $113M the previous quarter. Its ten largest holdings account for 82% of the portfolio.

D. Scott Neal deployed $12.3M of net new capital in Q3 2016, opening 24 new positions and adding to 27 existing holdings. Its largest new stake was Vanguard Long-Term Bond ETF: 28,373 shares worth $2.8M.

By sector, the portfolio is most concentrated in Consumer Staples at 1.3% of assets, up from 0.66% a quarter earlier, followed by Technology and Industrials.

On the sell side, the largest reduction was Schwab Intermediately-Term US Treasury ETF, an estimated $593K trimmed.

  • D. Scott Neal's largest Q3 2016 buy was Vanguard Long-Term Bond ETF: 28,373 shares worth $2.8M.
  • D. Scott Neal added most to iShares Select Dividend ETF in Q3 2016, an estimated $2.59M increase.
  • D. Scott Neal's biggest Q3 2016 reduction was Schwab Intermediately-Term US Treasury ETF, cutting an estimated $593K.
  • D. Scott Neal fully exited Vanguard Intermediate-Term Treasury ETF in Q3 2016, selling an estimated $529K.
  • D. Scott Neal's ten largest holdings make up 82% of its $127M portfolio in Q3 2016.
  • D. Scott Neal opened 24 new positions and closed 30 in Q3 2016.
  • D. Scott Neal's portfolio value rose 13% quarter-over-quarter to $127M.

Based on D. Scott Neal's 13F filing for Q3 2016, filed 18 Oct 2016.