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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
+2.23%
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
$107M
AUM Growth
-$19.4M
Cap. Flow
-$20.9M
Cap. Flow %
-19.61%
Top 10 Hldgs %
86.43%
Holding
181
New
26
Increased
21
Reduced
35
Closed
9

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$285K
2
WPC icon
W.P. Carey
WPC
+$128K
3
AMTD
TD Ameritrade Holding Corp
AMTD
+$23.6K
4
XLE icon
State Street Energy Select Sector SPDR ETF
XLE
+$23.2K
5
ABBV icon
AbbVie
ABBV
+$22.3K

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$4.17M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$3.83M
3
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$3.76M
4
OIL
Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In
OIL
+$3.34M
5
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$1.32M

Sector Composition

Rank Sector Weight
1 Industrials 1.12%
2 Technology 0.94%
3 Healthcare 0.91%
4 Financials 0.7%
5 Energy 0.69%
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
$17.6M 16.48%
159,283
-34,487
-18% -$3.76M
IGIB icon
2
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$15.8M 14.86%
288,854
-5,610
-2% -$303K
SPY icon
3
State Street SPDR S&P 500 ETF Trust
SPY
$795B
$13.8M 12.98%
67,368
-19,617
-23% -$3.83M
VNQ icon
4
Vanguard Real Estate ETF
VNQ
$39.2B
$10.3M 9.65%
122,822
-12,477
-9% -$971K
QQQ icon
5
Invesco QQQ Trust
QQQ
$461B
$7.86M 7.37%
71,977
-40,195
-36% -$4.17M
MDY icon
6
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.6B
$7.19M 6.74%
27,357
-5,437
-17% -$1.32M
IWM icon
7
iShares Russell 2000 ETF
IWM
$80.2B
$6.42M 6.02%
58,050
-6,085
-9% -$630K
IYR icon
8
iShares US Real Estate ETF
IYR
$4.66B
$5.33M 5%
68,518
-8,412
-11% -$610K
DVY icon
9
iShares Select Dividend ETF
DVY
$23.5B
$4.88M 4.58%
59,809
-5,762
-9% -$440K
EFA icon
10
iShares MSCI EAFE ETF
EFA
$78B
$2.92M 2.74%
51,032
-3,980
-7% -$219K
VCSH icon
11
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$1.28M 1.2%
15,993
-5,655
-26% -$448K
SPSB icon
12
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
$10.4B
$1.09M 1.03%
35,730
-21,855
-38% -$665K
QLD icon
13
ProShares Ultra QQQ
QLD
$12.8B
$725K 0.68%
157,280
-69,440
-31% -$290K
SCHR
14
Schwab Intermediately-Term US Treasury ETF
SCHR
$13.3B
$619K 0.58%
22,416
-1,032
-4% -$28.2K
CAT icon
15
Caterpillar
CAT
$375B
$615K 0.58%
8,040
– –
XOM icon
16
ExxonMobil
XOM
$644B
$557K 0.52%
6,669
+26
+0.4% +$2.08K
SSO icon
17
ProShares Ultra S&P500
SSO
$7.81B
$548K 0.51%
68,720
– –
VGIT icon
18
Vanguard Intermediate-Term Treasury ETF
VGIT
$41.6B
$539K 0.51%
8,133
-579
-7% -$38K
SCHB icon
19
Schwab US Broad Market ETF
SCHB
$43.2B
$538K 0.5%
65,448
-9,294
-12% -$72.2K
IVV icon
20
iShares Core S&P 500 ETF
IVV
$872B
$534K 0.5%
2,582
+1,455
+129% +$285K
IWB icon
21
iShares Russell 1000 ETF
IWB
$48.2B
$519K 0.49%
4,546
-1,052
-19% -$114K
SHY icon
22
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$442K 0.41%
5,200
– –
SCHF icon
23
Schwab International Equity ETF
SCHF
$66.6B
$352K 0.33%
25,990
-2,006
-7% -$26K
VEU icon
24
Vanguard FTSE All-World ex-US ETF
VEU
$66.6B
$307K 0.29%
7,124
– –
USB icon
25
US Bancorp
USB
$98.2B
$306K 0.29%
7,549
+42
+0.6% +$1.68K
1
2 3 4 5

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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 2016 Portfolio in Review

As of Q1 2016, D. Scott Neal held 181 positions worth $107M, down 15% from $126M the previous quarter. Its ten largest holdings account for 86% of the portfolio.

D. Scott Neal withdrew a net $20.9M in Q1 2016, closing 9 positions and reducing 35 holdings. Its most notable exit was Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In, an estimated $3.34M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 1.1% of assets, up from 0.88% a quarter earlier, followed by Technology and Healthcare.

Against the trend, D. Scott Neal opened a new position in W.P. Carey worth $137K.

  • D. Scott Neal's largest Q1 2016 buy was W.P. Carey: 2,246 shares worth $137K.
  • D. Scott Neal added most to iShares Core S&P 500 ETF in Q1 2016, an estimated $285K increase.
  • D. Scott Neal's biggest Q1 2016 reduction was Invesco QQQ Trust, cutting an estimated $4.17M.
  • D. Scott Neal fully exited Barclays Bank PLC iPath Exchange Traded Notes Linked to Goldman Sachs Crude Oil Total Return In in Q1 2016, selling an estimated $3.34M.
  • D. Scott Neal's ten largest holdings make up 86% of its $107M portfolio in Q1 2016.
  • D. Scott Neal opened 26 new positions and closed 9 in Q1 2016.
  • D. Scott Neal's portfolio value fell 15% quarter-over-quarter to $107M.

Based on D. Scott Neal's 13F filing for Q1 2016, filed 13 Apr 2016.