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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
+5.02%
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
$207M
AUM Growth
+$13.1M
Cap. Flow
+$3.75M
Cap. Flow %
1.81%
Top 10 Hldgs %
83.97%
Holding
43
New
8
Increased
7
Reduced
19
Closed
1

Top Buys

Rank Stock Value
1
IJS icon
iShares S&P Small-Cap 600 Value ETF
IJS
+$5.36M
2
DBEF icon
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
+$4.01M
3
IGIB icon
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
+$3.51M
4
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$2.74M
5
USRT icon
iShares Core US REIT ETF
USRT
+$1.79M

Top Sells

Rank Stock Value
1
VBK icon
Vanguard Morningstar Small-Cap Growth ETF
VBK
+$5.55M
2
XLRE icon
State Street Real Estate Select Sector SPDR ETF
XLRE
+$3.85M
3
ACWI icon
iShares MSCI ACWI ETF
ACWI
+$3.7M
4
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$1.45M
5
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$1.01M

Sector Composition

Rank Sector Weight
1 Financials 1.15%
2 Communication Services 0.72%
3 Industrials 0.64%
4 Technology 0.3%
5 Healthcare 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VCSH icon
1
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$41.6M 20.06%
513,002
+33,852
+7% +$2.74M
QQQ icon
2
Invesco QQQ Trust
QQQ
$453B
$33.8M 16.3%
158,830
+8,318
+6% +$1.67M
VCIT icon
3
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$66.2B
$23.1M 11.14%
252,767
+5,393
+2% +$492K
IWR icon
4
iShares Russell Mid-Cap ETF
IWR
$56B
$17.1M 8.25%
286,688
-6,687
-2% -$384K
MDY icon
5
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.6B
$14.2M 6.87%
37,927
-2,791
-7% -$1.01M
FLRN icon
6
State Street SPDR Bloomberg Investment Grade Floating Rate ETF
FLRN
$3.08B
$10.6M 5.09%
343,548
-17,948
-5% -$552K
IWM icon
7
iShares Russell 2000 ETF
IWM
$79.8B
$10.3M 4.96%
62,091
-2,409
-4% -$381K
IVV icon
8
iShares Core S&P 500 ETF
IVV
$878B
$9.1M 4.39%
28,165
-1,929
-6% -$597K
SHY icon
9
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$8.74M 4.22%
103,309
-17,131
-14% -$1.45M
IJS icon
10
iShares S&P Small-Cap 600 Value ETF
IJS
$8.12B
$5.56M 2.68%
+69,196
New +$5.36M
VO icon
11
Vanguard Morningstar Mid-Cap ETF
VO
$106B
$4.57M 2.2%
102,564
+600
+0.6% +$25.8K
DBEF icon
12
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
$9.17B
$4.08M 1.97%
+120,885
New +$4.01M
IGIB icon
13
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$3.91M 1.89%
67,466
+60,646
+889% +$3.51M
FLOT icon
14
iShares Floating Rate Bond ETF
FLOT
$10.2B
$2.8M 1.35%
54,903
-1,646
-3% -$83.8K
USRT icon
15
iShares Core US REIT ETF
USRT
$4.62B
$1.77M 0.86%
+32,512
New +$1.79M
T icon
16
AT&T
T
$159B
$1.48M 0.72%
50,203
+2,486
+5% +$71.8K
SPTM icon
17
State Street SPDR Portfolio S&P 1500 Composite Stock Market ETF
SPTM
$13.6B
$1.42M 0.69%
35,721
-751
-2% -$28.6K
SCHB icon
18
Schwab US Broad Market ETF
SCHB
$43.2B
$1.25M 0.61%
97,938
-30
-0% -$368
QLD icon
19
ProShares Ultra QQQ
QLD
$12.7B
$1.21M 0.59%
79,688
– –
CAT icon
20
Caterpillar
CAT
$375B
$1.19M 0.57%
8,044
– –
SSO icon
21
ProShares Ultra S&P500
SSO
$7.87B
$1.18M 0.57%
62,608
– –
RBCAA icon
22
Republic Bancorp
RBCAA
$1.95B
$983K 0.47%
+21,000
New +$950K
SPY icon
23
State Street SPDR S&P 500 ETF Trust
SPY
$790B
$890K 0.43%
2,764
-88
-3% -$27.1K
BRK.B icon
24
Berkshire Hathaway Class B
BRK.B
$1.1T
$607K 0.29%
+2,680
New +$582K
VYM icon
25
Vanguard High Dividend Yield ETF
VYM
$80.9B
$521K 0.25%
5,564
-2,935
-35% -$266K
1
2

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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 2019 Portfolio in Review

As of Q4 2019, D. Scott Neal held 43 positions worth $207M, up 6.7% from $194M the previous quarter. Its ten largest holdings account for 84% of the portfolio.

D. Scott Neal's Q4 2019 filing shows 8 new, 7 increased, 19 reduced and 1 closed positions. Its largest new stake was iShares S&P Small-Cap 600 Value ETF: 69,196 shares worth $5.56M. The largest sale was Vanguard Morningstar Small-Cap Growth ETF, an estimated $5.55M.

By sector, the portfolio is most concentrated in Financials at 1.1% of assets, up from 0.22% a quarter earlier, followed by Communication Services and Industrials.

  • D. Scott Neal's largest Q4 2019 buy was iShares S&P Small-Cap 600 Value ETF: 69,196 shares worth $5.56M.
  • D. Scott Neal added most to iShares 5-10 Year Investment Grade Corporate Bond ETF in Q4 2019, an estimated $3.51M increase.
  • D. Scott Neal's biggest Q4 2019 reduction was Vanguard Morningstar Small-Cap Growth ETF, cutting an estimated $5.55M.
  • D. Scott Neal fully exited W.P. Carey in Q4 2019, selling an estimated $221K.
  • D. Scott Neal's ten largest holdings make up 84% of its $207M portfolio in Q4 2019.
  • D. Scott Neal opened 8 new positions and closed 1 in Q4 2019.
  • D. Scott Neal's portfolio value rose 6.7% quarter-over-quarter to $207M.

Based on D. Scott Neal's 13F filing for Q4 2019, filed 16 Jan 2020.