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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
+0%
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
$140M
AUM Growth
+$12.9M
Cap. Flow
+$13.1M
Cap. Flow %
9.34%
Top 10 Hldgs %
81.02%
Holding
201
New
23
Increased
20
Reduced
31
Closed
31

Top Buys

Rank Stock Value
1
EFA icon
iShares MSCI EAFE ETF
EFA
+$12M
2
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$1.45M
3
BSCH
Guggenheim BulletShares 2017 Corporate Bond ETF
BSCH
+$1.37M
4
SDS icon
ProShares UltraShort S&P500
SDS
+$760K
5
VYM icon
Vanguard High Dividend Yield ETF
VYM
+$496K

Top Sells

Rank Stock Value
1
BLV icon
Vanguard Long-Term Bond ETF
BLV
+$1.12M
2
IGIB icon
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
+$470K
3
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$457K
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$449K
5
IYR icon
iShares US Real Estate ETF
IYR
+$442K

Sector Composition

Rank Sector Weight
1 Consumer Staples 1.17%
2 Technology 1.13%
3 Industrials 1%
4 Financials 0.76%
5 Healthcare 0.7%
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
$15.8M 11.28%
151,083
-4,252
-3% -$457K
IGIB icon
2
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$15.5M 11.03%
286,042
-8,590
-3% -$470K
EFA icon
3
iShares MSCI EAFE ETF
EFA
$78B
$15.1M 10.78%
262,136
+208,901
+392% +$12M
SPY icon
4
State Street SPDR S&P 500 ETF Trust
SPY
$795B
$14.1M 10.04%
63,060
-2,055
-3% -$449K
VNQ icon
5
Vanguard Real Estate ETF
VNQ
$39.2B
$13.7M 9.74%
165,664
+4,895
+3% +$399K
IWM icon
6
iShares Russell 2000 ETF
IWM
$80.2B
$10.7M 7.62%
79,302
-2,173
-3% -$278K
DVY icon
7
iShares Select Dividend ETF
DVY
$23.5B
$8.15M 5.81%
92,001
-1,448
-2% -$125K
MDY icon
8
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.6B
$7.96M 5.67%
26,373
-745
-3% -$215K
QQQ icon
9
Invesco QQQ Trust
QQQ
$461B
$7.83M 5.58%
66,083
-3,364
-5% -$397K
IYR icon
10
iShares US Real Estate ETF
IYR
$4.66B
$4.86M 3.46%
63,186
-5,813
-8% -$442K
VTI icon
11
Vanguard Morningstar Total Stock Market ETF
VTI
$660B
$3.22M 2.29%
27,892
+2,650
+10% +$298K
VYM icon
12
Vanguard High Dividend Yield ETF
VYM
$80.9B
$2.66M 1.89%
35,092
+6,758
+24% +$496K
IVV icon
13
iShares Core S&P 500 ETF
IVV
$872B
$1.68M 1.2%
7,485
-142
-2% -$31.2K
BLV icon
14
Vanguard Long-Term Bond ETF
BLV
$5.71B
$1.44M 1.03%
16,151
-12,222
-43% -$1.12M
IEI icon
15
iShares 3-7 Year Treasury Bond ETF
IEI
$18.1B
$1.43M 1.02%
+11,685
New +$1.45M
BSCH
16
DELISTED
Guggenheim BulletShares 2017 Corporate Bond ETF
BSCH
$1.36M 0.97%
+60,368
New +$1.37M
VCSH icon
17
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$1.24M 0.88%
15,554
-834
-5% -$66.5K
QLD icon
18
ProShares Ultra QQQ
QLD
$12.8B
$1.15M 0.82%
214,240
– –
CAT icon
19
Caterpillar
CAT
$375B
$746K 0.53%
8,040
– –
SDS icon
20
ProShares UltraShort S&P500
SDS
$418M
$716K 0.51%
+474
New +$760K
SSO icon
21
ProShares Ultra S&P500
SSO
$7.81B
$663K 0.47%
69,656
-1,464
-2% -$13.2K
UWM icon
22
ProShares Ultra Russell2000
UWM
$245M
$626K 0.45%
22,460
-120
-0.5% -$3K
IBM icon
23
IBM
IBM
$211B
$495K 0.35%
3,121
+720
+30% +$110K
XOM icon
24
ExxonMobil
XOM
$644B
$441K 0.31%
4,886
+474
+11% +$41.4K
USB icon
25
US Bancorp
USB
$98.2B
$383K 0.27%
7,452
-58
-0.8% -$2.76K
1
2 3 4 5

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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 2016 Portfolio in Review

As of Q4 2016, D. Scott Neal held 201 positions worth $140M, up 10% from $127M the previous quarter. Its ten largest holdings account for 81% of the portfolio.

D. Scott Neal deployed $13.1M of net new capital in Q4 2016, opening 23 new positions and adding to 20 existing holdings. Its largest new stake was iShares 3-7 Year Treasury Bond ETF: 11,685 shares worth $1.43M.

By sector, the portfolio is most concentrated in Consumer Staples at 1.2% of assets, down from 1.3% a quarter earlier, followed by Technology and Industrials.

On the sell side, the largest reduction was Vanguard Long-Term Bond ETF, an estimated $1.12M trimmed.

  • D. Scott Neal's largest Q4 2016 buy was iShares 3-7 Year Treasury Bond ETF: 11,685 shares worth $1.43M.
  • D. Scott Neal added most to iShares MSCI EAFE ETF in Q4 2016, an estimated $12M increase.
  • D. Scott Neal's biggest Q4 2016 reduction was Vanguard Long-Term Bond ETF, cutting an estimated $1.12M.
  • D. Scott Neal fully exited UGI in Q4 2016, selling an estimated $88K.
  • D. Scott Neal's ten largest holdings make up 81% of its $140M portfolio in Q4 2016.
  • D. Scott Neal opened 23 new positions and closed 31 in Q4 2016.
  • D. Scott Neal's portfolio value rose 10% quarter-over-quarter to $140M.

Based on D. Scott Neal's 13F filing for Q4 2016, filed 17 Jan 2017.