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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
+2.58%
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
+$6.99M
Cap. Flow
+$4.59M
Cap. Flow %
3.64%
Top 10 Hldgs %
84.86%
Holding
152
New
118
Increased
7
Reduced
23
Closed
–

Top Buys

Rank Stock Value
1
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$1.91M
2
IGIB icon
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
+$796K
3
VNQ icon
Vanguard Real Estate ETF
VNQ
+$453K
4
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$321K
5
QQQ icon
Invesco QQQ Trust
QQQ
+$310K

Top Sells

Rank Stock Value
1
OIL
Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In
OIL
+$666K
2
MRK icon
Merck
MRK
+$639K
3
IWM icon
iShares Russell 2000 ETF
IWM
+$379K
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$356K
5
JNJ icon
Johnson & Johnson
JNJ
+$247K

Sector Composition

Rank Sector Weight
1 Healthcare 0.95%
2 Industrials 0.88%
3 Technology 0.81%
4 Financials 0.63%
5 Energy 0.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IEF icon
1
iShares 7-10 Year Treasury Bond ETF
IEF
$47.1B
$20.5M 16.24%
193,770
+17,915
+10% +$1.91M
SPY icon
2
State Street SPDR S&P 500 ETF Trust
SPY
$795B
$17.7M 14.08%
86,985
-1,735
-2% -$356K
IGIB icon
3
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$15.8M 12.54%
294,464
+14,710
+5% +$796K
QQQ icon
4
Invesco QQQ Trust
QQQ
$461B
$12.5M 9.96%
112,172
+2,780
+3% +$310K
VNQ icon
5
Vanguard Real Estate ETF
VNQ
$39.2B
$10.8M 8.56%
135,299
+5,720
+4% +$453K
MDY icon
6
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.6B
$8.33M 6.61%
32,794
+1,235
+4% +$321K
IWM icon
7
iShares Russell 2000 ETF
IWM
$80.2B
$7.22M 5.73%
64,135
-3,289
-5% -$379K
IYR icon
8
iShares US Real Estate ETF
IYR
$4.66B
$5.78M 4.58%
76,930
-2,380
-3% -$178K
DVY icon
9
iShares Select Dividend ETF
DVY
$23.5B
$4.93M 3.91%
65,571
+2,550
+4% +$194K
OIL
10
DELISTED
Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In
OIL
$3.34M 2.65%
535,474
-86,101
-14% -$666K
EFA icon
11
iShares MSCI EAFE ETF
EFA
$78B
$3.23M 2.56%
55,012
-3,285
-6% -$198K
SPSB icon
12
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
$10.4B
$1.75M 1.39%
57,585
-5,600
-9% -$171K
VCSH icon
13
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$1.71M 1.36%
21,648
-22
-0.1% -$1.75K
QLD icon
14
ProShares Ultra QQQ
QLD
$12.8B
$1.11M 0.88%
226,720
-10,880
-5% -$53K
IWB icon
15
iShares Russell 1000 ETF
IWB
$48.2B
$634K 0.5%
5,598
-280
-5% -$32K
SCHR
16
Schwab Intermediately-Term US Treasury ETF
SCHR
$13.3B
$628K 0.5%
23,448
-2,558
-10% -$69K
SCHB icon
17
Schwab US Broad Market ETF
SCHB
$43.2B
$611K 0.49%
74,742
-5,148
-6% -$42.5K
VGIT icon
18
Vanguard Intermediate-Term Treasury ETF
VGIT
$41.6B
$561K 0.45%
8,712
-686
-7% -$44.5K
CAT icon
19
Caterpillar
CAT
$375B
$546K 0.43%
8,040
– –
SSO icon
20
ProShares Ultra S&P500
SSO
$7.81B
$541K 0.43%
68,720
-3,600
-5% -$28.7K
XOM icon
21
ExxonMobil
XOM
$644B
$518K 0.41%
6,643
-1,850
-22% -$148K
SHY icon
22
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$439K 0.35%
5,200
-270
-5% -$22.9K
SCHF icon
23
Schwab International Equity ETF
SCHF
$66.6B
$386K 0.31%
27,996
-2,330
-8% -$33.4K
ALXN
24
DELISTED
Alexion Pharmaceuticals
ALXN
$382K 0.3%
2,000
– –
USB icon
25
US Bancorp
USB
$98.2B
$320K 0.25%
7,507
+40
+0.5% +$1.71K
1
2 3 4 5

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MS
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ICM
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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 2015 Portfolio in Review

As of Q4 2015, D. Scott Neal held 152 positions worth $126M, up 5.9% from $119M the previous quarter. Its ten largest holdings account for 85% of the portfolio.

D. Scott Neal deployed $4.59M of net new capital in Q4 2015, opening 118 new positions and adding to 7 existing holdings. Its largest new stake was iShares Core S&P 500 ETF: 1,127 shares worth $231K.

By sector, the portfolio is most concentrated in Healthcare at 0.95% of assets, down from 1.1% a quarter earlier, followed by Industrials and Technology.

On the sell side, the largest reduction was Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In, an estimated $666K trimmed.

  • D. Scott Neal's largest Q4 2015 buy was iShares Core S&P 500 ETF: 1,127 shares worth $231K.
  • D. Scott Neal added most to iShares 7-10 Year Treasury Bond ETF in Q4 2015, an estimated $1.91M increase.
  • D. Scott Neal's biggest Q4 2015 reduction was Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In, cutting an estimated $666K.
  • D. Scott Neal's ten largest holdings make up 85% of its $126M portfolio in Q4 2015.
  • D. Scott Neal opened 118 new positions and closed 0 in Q4 2015.
  • D. Scott Neal's portfolio value rose 5.9% quarter-over-quarter to $126M.

Based on D. Scott Neal's 13F filing for Q4 2015, filed 12 Jan 2016.