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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
-1.18%
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
-$840K
Cap. Flow
+$1.07M
Cap. Flow %
0.85%
Top 10 Hldgs %
86.29%
Holding
35
New
1
Increased
13
Reduced
11
Closed
3

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$5.53M
2
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$3.54M
3
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$1.06M
4
EFA icon
iShares MSCI EAFE ETF
EFA
+$893K
5
DVY icon
iShares Select Dividend ETF
DVY
+$843K

Top Sells

Rank Stock Value
1
KRE icon
State Street SPDR S&P Regional Banking ETF
KRE
+$6.16M
2
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$3.9M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$1.89M
4
GE icon
GE Aerospace
GE
+$241K
5
UWM icon
ProShares Ultra Russell2000
UWM
+$211K

Sector Composition

Rank Sector Weight
1 Healthcare 1.2%
2 Energy 0.68%
3 Industrials 0.51%
4 Financials 0.49%
5 Technology 0.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IGIB icon
1
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.6B
$20.3M 16.11%
371,134
+5,400
+1% +$297K
SPY icon
2
State Street SPDR S&P 500 ETF Trust
SPY
$774B
$19M 15.11%
96,512
-9,540
-9% -$1.89M
IEF icon
3
iShares 7-10 Year Treasury Bond ETF
IEF
$47.1B
$15.6M 12.42%
150,920
+34,145
+29% +$3.54M
QQQ icon
4
Invesco QQQ Trust
QQQ
$466B
$11.7M 9.28%
118,220
+56,720
+92% +$5.53M
VNQ icon
5
Vanguard Real Estate ETF
VNQ
$39.6B
$10.8M 8.57%
150,205
+7,665
+5% +$578K
IYR icon
6
iShares US Real Estate ETF
IYR
$4.83B
$8.64M 6.87%
124,925
-1,060
-0.8% -$76.8K
MDY icon
7
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27.3B
$7.92M 6.29%
31,779
-15,200
-32% -$3.9M
IWM icon
8
iShares Russell 2000 ETF
IWM
$82.2B
$6.58M 5.23%
60,215
+945
+2% +$108K
EFA icon
9
iShares MSCI EAFE ETF
EFA
$76.5B
$4.38M 3.48%
68,292
+13,391
+24% +$893K
DVY icon
10
iShares Select Dividend ETF
DVY
$23.8B
$3.69M 2.93%
49,951
+11,180
+29% +$843K
VWO icon
11
Vanguard FTSE Emerging Markets ETF
VWO
$119B
$3.49M 2.77%
83,645
+23,805
+40% +$1.06M
QLD icon
12
ProShares Ultra QQQ
QLD
$13B
$2.27M 1.8%
577,280
+64,000
+12% +$244K
SCHR
13
Schwab Intermediately-Term US Treasury ETF
SCHR
$13.3B
$1.22M 0.97%
46,066
-846
-2% -$22.4K
SCHB icon
14
Schwab US Broad Market ETF
SCHB
$43B
$956K 0.76%
120,606
-1,746
-1% -$14K
XOM icon
15
ExxonMobil
XOM
$611B
$851K 0.68%
9,044
-48
-0.5% -$4.78K
SHY icon
16
iShares 1-3 Year Treasury Bond ETF
SHY
$25.7B
$833K 0.66%
9,855
+3,170
+47% +$268K
SCHF icon
17
Schwab International Equity ETF
SCHF
$65.4B
$758K 0.6%
48,876
-482
-1% -$7.79K
MRK icon
18
Merck
MRK
$315B
$740K 0.59%
13,090
– –
CAT icon
19
Caterpillar
CAT
$405B
$648K 0.51%
6,547
+115
+2% +$12.2K
IWB icon
20
iShares Russell 1000 ETF
IWB
$48B
$619K 0.49%
5,637
+266
+5% +$29.4K
VGIT icon
21
Vanguard Intermediate-Term Treasury ETF
VGIT
$41.9B
$590K 0.47%
9,258
-692
-7% -$44.2K
SSO icon
22
ProShares Ultra S&P500
SSO
$7.87B
$582K 0.46%
79,120
– –
MBB icon
23
iShares MBS ETF
MBB
$39.3B
$538K 0.43%
4,980
-480
-9% -$51.8K
VEU icon
24
Vanguard FTSE All-World ex-US ETF
VEU
$65.6B
$477K 0.38%
9,678
-35
-0.4% -$1.81K
JNJ icon
25
Johnson & Johnson
JNJ
$609B
$441K 0.35%
4,138
– –
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 Q3 2014 Portfolio in Review

As of Q3 2014, D. Scott Neal held 35 positions worth $126M, down 0.66% from $127M the previous quarter. Its ten largest holdings account for 86% of the portfolio.

D. Scott Neal's Q3 2014 filing shows 1 new, 13 increased, 11 reduced and 3 closed positions. Its largest new stake was Truist Financial: 7,977 shares worth $298K. The largest sale was State Street SPDR S&P Regional Banking ETF, an estimated $6.16M.

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

  • D. Scott Neal's largest Q3 2014 buy was Truist Financial: 7,977 shares worth $298K.
  • D. Scott Neal added most to Invesco QQQ Trust in Q3 2014, an estimated $5.53M increase.
  • D. Scott Neal's biggest Q3 2014 reduction was State Street SPDR S&P MIDCAP 400 ETF Trust, cutting an estimated $3.9M.
  • D. Scott Neal fully exited State Street SPDR S&P Regional Banking ETF in Q3 2014, selling an estimated $6.16M.
  • D. Scott Neal's ten largest holdings make up 86% of its $126M portfolio in Q3 2014.
  • D. Scott Neal opened 1 new position and closed 3 in Q3 2014.
  • D. Scott Neal's portfolio value fell 0.66% quarter-over-quarter to $126M.

Based on D. Scott Neal's 13F filing for Q3 2014, filed 21 Nov 2014.