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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
+8.53%
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
$205M
AUM Growth
+$26.5M
Cap. Flow
+$12.4M
Cap. Flow %
6.07%
Top 10 Hldgs %
90.68%
Holding
43
New
5
Increased
15
Reduced
12
Closed
–

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$6.29M
2
IGIB icon
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
+$3.22M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$2.35M
4
VOT icon
Vanguard Mid-Cap Growth ETF
VOT
+$1.25M
5
VBK icon
Vanguard Small-Cap Growth ETF
VBK
+$986K

Top Sells

Rank Stock Value
1
VGSH icon
Vanguard Short-Term Treasury ETF
VGSH
+$2.43M
2
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$1.94M
3
IWR icon
iShares Russell Mid-Cap ETF
IWR
+$200K
4
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$98K
5
CVX icon
Chevron
CVX
+$89.1K

Sector Composition

Rank Sector Weight
1 Financials 1.16%
2 Technology 1.1%
3 Industrials 0.78%
4 Communication Services 0.68%
5 Healthcare 0.51%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
QQQ icon
1
Invesco QQQ Trust
QQQ
$463B
$53.8M 26.28%
171,351
+8,014
+5% +$2.35M
SHY icon
2
iShares 1-3 Year Treasury Bond ETF
SHY
$25.4B
$48.2M 23.58%
558,447
-22,408
-4% -$1.94M
IGIB icon
3
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$29.9M 14.62%
484,143
+52,685
+12% +$3.22M
VOT icon
4
Vanguard Mid-Cap Growth ETF
VOT
$19B
$14.1M 6.87%
66,287
+6,366
+11% +$1.25M
IEI icon
5
iShares 3-7 Year Treasury Bond ETF
IEI
$18.2B
$12.3M 5.99%
92,227
-737
-0.8% -$98K
VBK icon
6
Vanguard Small-Cap Growth ETF
VBK
$23.3B
$11.2M 5.45%
41,680
+4,079
+11% +$986K
IVV icon
7
iShares Core S&P 500 ETF
IVV
$879B
$7.24M 3.54%
19,277
+17,658
+1,091% +$6.29M
EFG icon
8
iShares MSCI EAFE Growth ETF
EFG
$16.3B
$5.61M 2.74%
55,585
+5,191
+10% +$491K
QLD icon
9
ProShares Ultra QQQ
QLD
$13B
$1.66M 0.81%
57,608
+1,040
+2% +$26.3K
FPXI icon
10
First Trust Exchange-Traded Fund II First Trust International Equity Opportunities ETF
FPXI
$275M
$1.64M 0.8%
23,859
+9,278
+64% +$572K
SPTM icon
11
State Street SPDR Portfolio S&P 1500 Composite Stock Market ETF
SPTM
$13.5B
$1.55M 0.76%
33,638
-292
-0.9% -$12.7K
CAT icon
12
Caterpillar
CAT
$398B
$1.46M 0.71%
8,014
-30
-0.4% -$5.09K
MSFT icon
13
Microsoft
MSFT
$2.99T
$1.43M 0.7%
6,407
+3,909
+156% +$841K
T icon
14
AT&T
T
$153B
$1.39M 0.68%
63,753
+1,223
+2% +$26.4K
VGSH icon
15
Vanguard Short-Term Treasury ETF
VGSH
$29.3B
$1.36M 0.66%
22,033
-39,211
-64% -$2.43M
SCHB icon
16
Schwab US Broad Market ETF
SCHB
$42.9B
$1.16M 0.57%
76,482
-1,674
-2% -$23.8K
SSO icon
17
ProShares Ultra S&P500
SSO
$7.9B
$976K 0.48%
42,752
– –
PFE icon
18
Pfizer
PFE
$141B
$830K 0.41%
22,547
-912
-4% -$33.5K
RBCAA icon
19
Republic Bancorp
RBCAA
$1.78B
$757K 0.37%
21,000
– –
IWM icon
20
iShares Russell 2000 ETF
IWM
$81.2B
$711K 0.35%
3,624
-225
-6% -$39.4K
IWR icon
21
iShares Russell Mid-Cap ETF
IWR
$56.5B
$648K 0.32%
9,448
-3,137
-25% -$200K
BRK.B icon
22
Berkshire Hathaway Class B
BRK.B
$1.06T
$622K 0.3%
2,680
– –
SPY icon
23
State Street SPDR S&P 500 ETF Trust
SPY
$781B
$603K 0.29%
1,613
+184
+13% +$65.3K
MDY icon
24
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.7B
$440K 0.22%
1,049
– –
IBM icon
25
IBM
IBM
$200B
$380K 0.19%
3,156
+982
+45% +$113K
1
2

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FFAM
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NWM
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D. Scott Neal's Q4 2020 Portfolio in Review

As of Q4 2020, D. Scott Neal held 43 positions worth $205M, up 15% from $178M the previous quarter. Its ten largest holdings account for 91% of the portfolio.

D. Scott Neal deployed $12.4M of net new capital in Q4 2020, opening 5 new positions and adding to 15 existing holdings. Its largest new stake was iShares Select Dividend ETF: 2,667 shares worth $257K.

By sector, the portfolio is most concentrated in Financials at 1.2% of assets, up from 0.96% a quarter earlier, followed by Technology and Industrials.

On the sell side, the largest reduction was Vanguard Short-Term Treasury ETF, an estimated $2.43M trimmed.

  • D. Scott Neal's largest Q4 2020 buy was iShares Select Dividend ETF: 2,667 shares worth $257K.
  • D. Scott Neal added most to iShares Core S&P 500 ETF in Q4 2020, an estimated $6.29M increase.
  • D. Scott Neal's biggest Q4 2020 reduction was Vanguard Short-Term Treasury ETF, cutting an estimated $2.43M.
  • D. Scott Neal's ten largest holdings make up 91% of its $205M portfolio in Q4 2020.
  • D. Scott Neal opened 5 new positions and closed 0 in Q4 2020.
  • D. Scott Neal's portfolio value rose 15% quarter-over-quarter to $205M.

Based on D. Scott Neal's 13F filing for Q4 2020, filed 5 Feb 2021.