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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
+2.03%
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
$119M
AUM Growth
+$7.35M
Cap. Flow
+$5.3M
Cap. Flow %
4.46%
Top 10 Hldgs %
74.3%
Holding
42
New
5
Increased
14
Reduced
15
Closed
1

Top Buys

Rank Stock Value
1
VNQ icon
Vanguard Real Estate ETF
VNQ
+$8.34M
2
VXX
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
+$5.53M
3
ILF icon
iShares Latin America 40 ETF
ILF
+$5.5M
4
SCHR
Schwab Intermediately-Term US Treasury ETF
SCHR
+$266K
5
VGIT icon
Vanguard Intermediate-Term Treasury ETF
VGIT
+$263K

Top Sells

Rank Stock Value
1
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$8.53M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$3M
3
KRE icon
State Street SPDR S&P Regional Banking ETF
KRE
+$1.9M
4
IWM icon
iShares Russell 2000 ETF
IWM
+$854K
5
TFC icon
Truist Financial
TFC
+$260K

Sector Composition

Rank Sector Weight
1 Healthcare 1.19%
2 Industrials 0.73%
3 Energy 0.71%
4 Technology 0.31%
5 Financials 0.24%
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
$783B
$20.8M 17.47%
111,085
-16,365
-13% -$3M
IGSB icon
2
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$22.9B
$11.2M 9.43%
212,686
-554
-0.3% -$29.2K
IYR icon
3
iShares US Real Estate ETF
IYR
$4.52B
$9.53M 8.01%
140,795
-3,100
-2% -$206K
VNQ icon
4
Vanguard Real Estate ETF
VNQ
$39.4B
$8.6M 7.23%
+121,774
New +$8.34M
STPZ icon
5
PIMCO 1-5 Year US TIPS Index Exchange-Traded Fund
STPZ
$512M
$8.21M 6.9%
155,065
-1,424
-0.9% -$75.5K
KRE icon
6
State Street SPDR S&P Regional Banking ETF
KRE
$4.86B
$8.11M 6.82%
195,997
-47,630
-20% -$1.9M
IWM icon
7
iShares Russell 2000 ETF
IWM
$81.5B
$6.11M 5.14%
52,538
-7,407
-12% -$854K
ILF icon
8
iShares Latin America 40 ETF
ILF
$3.73B
$5.89M 4.95%
+161,000
New +$5.5M
VXX
9
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
$5.3M 4.46%
+7,863
New +$5.53M
MDY icon
10
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.9B
$4.62M 3.89%
18,444
-34,802
-65% -$8.53M
QQQ icon
11
Invesco QQQ Trust
QQQ
$465B
$4.48M 3.76%
51,060
+530
+1% +$46.8K
EFA icon
12
iShares MSCI EAFE ETF
EFA
$76B
$3.47M 2.92%
51,637
+2,065
+4% +$136K
DVY icon
13
iShares Select Dividend ETF
DVY
$23.6B
$2.87M 2.41%
39,116
-2,364
-6% -$168K
VWO icon
14
Vanguard FTSE Emerging Markets ETF
VWO
$119B
$2.46M 2.07%
60,535
-6,300
-9% -$244K
TLT icon
15
iShares 20+ Year Treasury Bond ETF
TLT
$42.4B
$1.72M 1.44%
15,750
-275
-2% -$29.3K
IEF icon
16
iShares 7-10 Year Treasury Bond ETF
IEF
$47.3B
$1.61M 1.35%
15,825
-215
-1% -$21.8K
IGIB icon
17
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$1.23M 1.03%
22,554
+3,024
+15% +$165K
QLD icon
18
ProShares Ultra QQQ
QLD
$13.1B
$1.16M 0.98%
373,120
– –
SCHR
19
Schwab Intermediately-Term US Treasury ETF
SCHR
$13.3B
$1.09M 0.91%
41,412
+10,120
+32% +$266K
XOM icon
20
ExxonMobil
XOM
$617B
$843K 0.71%
8,632
+225
+3% +$21.4K
BSV icon
21
Vanguard Short-Term Bond ETF
BSV
$44.7B
$730K 0.61%
9,110
-525
-5% -$42.1K
SCHB icon
22
Schwab US Broad Market ETF
SCHB
$43.1B
$727K 0.61%
95,370
+18,516
+24% +$139K
MRK icon
23
Merck
MRK
$309B
$709K 0.6%
13,090
+283
+2% +$14.7K
FLOT icon
24
iShares Floating Rate Bond ETF
FLOT
$10.1B
$699K 0.59%
13,780
– –
CAT icon
25
Caterpillar
CAT
$399B
$636K 0.53%
6,397
– –
1
2

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MS
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ICM
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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 Q1 2014 Portfolio in Review

As of Q1 2014, D. Scott Neal held 42 positions worth $119M, up 6.6% from $112M the previous quarter. Its ten largest holdings account for 74% of the portfolio.

D. Scott Neal deployed $5.3M of net new capital in Q1 2014, opening 5 new positions and adding to 14 existing holdings. Its largest new stake was Vanguard Real Estate ETF: 121,774 shares worth $8.6M.

By sector, the portfolio is most concentrated in Healthcare at 1.2% of assets, up from 1.1% a quarter earlier, followed by Industrials and Energy.

On the sell side, the largest reduction was State Street SPDR S&P MIDCAP 400 ETF Trust, an estimated $8.53M trimmed.

  • D. Scott Neal's largest Q1 2014 buy was Vanguard Real Estate ETF: 121,774 shares worth $8.6M.
  • D. Scott Neal added most to Schwab Intermediately-Term US Treasury ETF in Q1 2014, an estimated $266K increase.
  • D. Scott Neal's biggest Q1 2014 reduction was State Street SPDR S&P MIDCAP 400 ETF Trust, cutting an estimated $8.53M.
  • D. Scott Neal fully exited Truist Financial in Q1 2014, selling an estimated $260K.
  • D. Scott Neal's ten largest holdings make up 74% of its $119M portfolio in Q1 2014.
  • D. Scott Neal opened 5 new positions and closed 1 in Q1 2014.
  • D. Scott Neal's portfolio value rose 6.6% quarter-over-quarter to $119M.

Based on D. Scott Neal's 13F filing for Q1 2014, filed 4 Apr 2014.