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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
+6.24%
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
–
Cap. Flow
+$109M
Cap. Flow %
97.47%
Top 10 Hldgs %
83.06%
Holding
37
New
37
Increased
–
Reduced
–
Closed
–

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$22.6M
2
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$12.5M
3
IGSB icon
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
+$11.2M
4
KRE icon
State Street SPDR S&P Regional Banking ETF
KRE
+$9.34M
5
IYR icon
iShares US Real Estate ETF
IYR
+$9.27M

Top Sells

No sells this quarter

Sector Composition

Rank Sector Weight
1 Healthcare 1.12%
2 Energy 0.76%
3 Industrials 0.74%
4 Financials 0.47%
5 Technology 0.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPY icon
1
State Street SPDR S&P 500 ETF Trust
SPY
$781B
$23.5M 21.1%
+127,450
New +$22.6M
MDY icon
2
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.7B
$13M 11.65%
+53,246
New +$12.5M
IGSB icon
3
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$22.9B
$11.2M 10.08%
+213,240
New +$11.2M
KRE icon
4
State Street SPDR S&P Regional Banking ETF
KRE
$4.87B
$9.89M 8.87%
+243,627
New +$9.34M
IYR icon
5
iShares US Real Estate ETF
IYR
$4.53B
$9.08M 8.13%
+143,895
New +$9.27M
STPZ icon
6
PIMCO 1-5 Year US TIPS Index Exchange-Traded Fund
STPZ
$512M
$8.28M 7.42%
+156,489
New +$8.31M
IWM icon
7
iShares Russell 2000 ETF
IWM
$81.2B
$6.92M 6.2%
+59,945
New +$6.62M
QQQ icon
8
Invesco QQQ Trust
QQQ
$463B
$4.45M 3.98%
+50,530
New +$4.21M
EFA icon
9
iShares MSCI EAFE ETF
EFA
$75.8B
$3.33M 2.98%
+49,572
New +$3.24M
DVY icon
10
iShares Select Dividend ETF
DVY
$23.6B
$2.96M 2.65%
+41,480
New +$2.88M
VWO icon
11
Vanguard FTSE Emerging Markets ETF
VWO
$119B
$2.75M 2.46%
+66,835
New +$2.76M
TLT icon
12
iShares 20+ Year Treasury Bond ETF
TLT
$42.5B
$1.63M 1.46%
+16,025
New +$1.68M
IEF icon
13
iShares 7-10 Year Treasury Bond ETF
IEF
$47.4B
$1.59M 1.43%
+16,040
New +$1.63M
QLD icon
14
ProShares Ultra QQQ
QLD
$13B
$1.16M 1.04%
+373,120
New +$1.04M
IGIB icon
15
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$1.05M 0.94%
+19,530
New +$1.06M
XOM icon
16
ExxonMobil
XOM
$615B
$851K 0.76%
+8,407
New +$777K
SCHR
17
Schwab Intermediately-Term US Treasury ETF
SCHR
$13.3B
$815K 0.73%
+31,292
New +$825K
SHY icon
18
iShares 1-3 Year Treasury Bond ETF
SHY
$25.4B
$795K 0.71%
+9,425
New +$796K
MBB icon
19
iShares MBS ETF
MBB
$39.2B
$782K 0.7%
+7,480
New +$790K
BSV icon
20
Vanguard Short-Term Bond ETF
BSV
$44.7B
$770K 0.69%
+9,635
New +$775K
FLOT icon
21
iShares Floating Rate Bond ETF
FLOT
$10.1B
$699K 0.63%
+13,780
New +$698K
MRK icon
22
Merck
MRK
$307B
$612K 0.55%
+12,807
New +$585K
CAT icon
23
Caterpillar
CAT
$398B
$581K 0.52%
+6,397
New +$546K
SCHB icon
24
Schwab US Broad Market ETF
SCHB
$42.9B
$576K 0.52%
+76,854
New +$553K
SCHF icon
25
Schwab International Equity ETF
SCHF
$65.1B
$498K 0.45%
+31,580
New +$491K
1
2

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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 Q4 2013 Portfolio in Review

Q4 2013 is the first quarter with a 13F filing on record for D. Scott Neal, which disclosed 37 positions worth $112M. Its ten largest holdings account for 83% of the portfolio.

Its largest position is State Street SPDR S&P 500 ETF Trust: 127,450 shares worth $23.5M.

By sector, the portfolio is most concentrated in Healthcare at 1.1% of assets, followed by Energy and Industrials.

  • D. Scott Neal's largest Q4 2013 buy was State Street SPDR S&P 500 ETF Trust: 127,450 shares worth $23.5M.
  • D. Scott Neal's ten largest holdings make up 83% of its $112M portfolio in Q4 2013.
  • D. Scott Neal disclosed 37 positions in Q4 2013, its first 13F filing on record.

Based on D. Scott Neal's 13F filing for Q4 2013, filed 13 Jan 2014.