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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
+2.95%
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
$198M
AUM Growth
+$19M
Cap. Flow
+$13.8M
Cap. Flow %
6.97%
Top 10 Hldgs %
89.47%
Holding
69
New
5
Increased
6
Reduced
15
Closed
35

Top Buys

Rank Stock Value
1
FLRN icon
State Street SPDR Bloomberg Investment Grade Floating Rate ETF
FLRN
+$15.3M
2
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$13.8M
3
EFA icon
iShares MSCI EAFE ETF
EFA
+$12.4M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$9.26M
5
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$3.44M

Top Sells

Rank Stock Value
1
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$13.6M
2
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$8.14M
3
VYM icon
Vanguard High Dividend Yield ETF
VYM
+$5.41M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$4.99M
5
IGIB icon
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
+$2.6M

Sector Composition

Rank Sector Weight
1 Industrials 0.76%
2 Communication Services 0.61%
3 Healthcare 0.25%
4 Technology 0.17%
5 Financials 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FLRN icon
1
State Street SPDR Bloomberg Investment Grade Floating Rate ETF
FLRN
$3.08B
$30.1M 15.2%
977,177
+498,321
+104% +$15.3M
QQQ icon
2
Invesco QQQ Trust
QQQ
$461B
$27.4M 13.82%
147,287
+51,214
+53% +$9.26M
MDY icon
3
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.6B
$25.1M 12.66%
68,179
-22,228
-25% -$8.14M
IGIB icon
4
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$24.5M 12.35%
460,556
-48,892
-10% -$2.6M
IWM icon
5
iShares Russell 2000 ETF
IWM
$80.2B
$22.8M 11.52%
135,315
-4,542
-3% -$767K
EFA icon
6
iShares MSCI EAFE ETF
EFA
$78B
$20M 10.09%
293,682
+183,464
+166% +$12.4M
SHY icon
7
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$13.8M 6.96%
+165,801
New +$13.8M
VYM icon
8
Vanguard High Dividend Yield ETF
VYM
$80.9B
$5.44M 2.75%
62,423
-62,561
-50% -$5.41M
IEF icon
9
iShares 7-10 Year Treasury Bond ETF
IEF
$47.1B
$4.43M 2.24%
43,779
-16,393
-27% -$1.67M
SCHG icon
10
Schwab US Large-Cap Growth ETF
SCHG
$60B
$3.73M 1.88%
363,784
+9,016
+3% +$89.8K
FLOT icon
11
iShares Floating Rate Bond ETF
FLOT
$10.2B
$3.44M 1.74%
+67,462
New +$3.44M
SPYG icon
12
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
$51.7B
$1.75M 0.89%
+45,803
New +$1.7M
SPSM icon
13
State Street SPDR Portfolio S&P 600 Small Cap ETF
SPSM
$17.1B
$1.65M 0.83%
49,676
+42,834
+626% +$1.43M
QLD icon
14
ProShares Ultra QQQ
QLD
$12.8B
$1.42M 0.72%
112,800
-80
-0.1% -$956
SPTM icon
15
State Street SPDR Portfolio S&P 1500 Composite Stock Market ETF
SPTM
$13.6B
$1.26M 0.64%
34,794
-3,809
-10% -$136K
CAT icon
16
Caterpillar
CAT
$375B
$1.23M 0.62%
8,066
– –
T icon
17
AT&T
T
$159B
$1.22M 0.61%
47,967
– –
SCHB icon
18
Schwab US Broad Market ETF
SCHB
$43.2B
$1.17M 0.59%
100,026
-2,898
-3% -$33.4K
UWM icon
19
ProShares Ultra Russell2000
UWM
$245M
$1.16M 0.58%
27,316
-7,258
-21% -$308K
SSO icon
20
ProShares Ultra S&P500
SSO
$7.81B
$1.09M 0.55%
68,528
– –
SCHA icon
21
Schwab U.S Small- Cap ETF
SCHA
$22.2B
$1.07M 0.54%
+56,252
New +$1.07M
SPY icon
22
State Street SPDR S&P 500 ETF Trust
SPY
$795B
$914K 0.46%
3,143
-467
-13% -$133K
PFE icon
23
Pfizer
PFE
$143B
$489K 0.25%
11,687
– –
IBM icon
24
IBM
IBM
$211B
$338K 0.17%
2,335
-91
-4% -$12.7K
TFC icon
25
Truist Financial
TFC
$63.3B
$328K 0.17%
6,749
– –
1
2 3

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D. Scott Neal's Q3 2018 Portfolio in Review

As of Q3 2018, D. Scott Neal held 69 positions worth $198M, up 11% from $179M the previous quarter. Its ten largest holdings account for 89% of the portfolio.

D. Scott Neal deployed $13.8M of net new capital in Q3 2018, opening 5 new positions and adding to 6 existing holdings. Its largest new stake was iShares 1-3 Year Treasury Bond ETF: 165,801 shares worth $13.8M.

By sector, the portfolio is most concentrated in Industrials at 0.76% of assets, down from 0.84% a quarter earlier, followed by Communication Services and Healthcare.

On the sell side, the largest reduction was Vanguard FTSE Emerging Markets ETF, an estimated $13.6M trimmed.

  • D. Scott Neal's largest Q3 2018 buy was iShares 1-3 Year Treasury Bond ETF: 165,801 shares worth $13.8M.
  • D. Scott Neal added most to State Street SPDR Bloomberg Investment Grade Floating Rate ETF in Q3 2018, an estimated $15.3M increase.
  • D. Scott Neal's biggest Q3 2018 reduction was Vanguard FTSE Emerging Markets ETF, cutting an estimated $13.6M.
  • D. Scott Neal fully exited iShares MSCI USA Momentum Factor ETF in Q3 2018, selling an estimated $4.99M.
  • D. Scott Neal's ten largest holdings make up 89% of its $198M portfolio in Q3 2018.
  • D. Scott Neal opened 5 new positions and closed 35 in Q3 2018.
  • D. Scott Neal's portfolio value rose 11% quarter-over-quarter to $198M.

Based on D. Scott Neal's 13F filing for Q3 2018, filed 13 Nov 2018.