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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
+4.29%
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
$223M
AUM Growth
+$18.5M
Cap. Flow
+$15.1M
Cap. Flow %
6.75%
Top 10 Hldgs %
86.2%
Holding
53
New
10
Increased
10
Reduced
12
Closed
6

Top Buys

Rank Stock Value
1
IGIB icon
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
+$37.6M
2
SPHB icon
Invesco S&P 500 High Beta ETF
SPHB
+$15.7M
3
VXF icon
Vanguard Extended Market ETF
VXF
+$14.5M
4
SPSB icon
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
+$12.4M
5
IJS icon
iShares S&P Small-Cap 600 Value ETF
IJS
+$10.4M

Top Sells

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$45M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$19.1M
3
VOT icon
Vanguard Morningstar Mid-Cap Growth ETF
VOT
+$14.1M
4
VBK icon
Vanguard Morningstar Small-Cap Growth ETF
VBK
+$11.2M
5
EFG icon
iShares MSCI EAFE Growth ETF
EFG
+$5.61M

Sector Composition

Rank Sector Weight
1 Financials 1.27%
2 Technology 1.16%
3 Industrials 0.78%
4 Communication Services 0.65%
5 Consumer Discretionary 0.49%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IGIB icon
1
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$65.4M 29.34%
1,104,926
+620,783
+128% +$37.6M
QQQ icon
2
Invesco QQQ Trust
QQQ
$453B
$35.6M 15.95%
111,518
-59,833
-35% -$19.1M
SPHB icon
3
Invesco S&P 500 High Beta ETF
SPHB
$971M
$16.9M 7.57%
+243,020
New +$15.7M
VXF icon
4
Vanguard Extended Market ETF
VXF
$30.3B
$14.5M 6.48%
+81,768
New +$14.5M
SPSB icon
5
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
$10.4B
$12.4M 5.56%
+396,127
New +$12.4M
IEI icon
6
iShares 3-7 Year Treasury Bond ETF
IEI
$18.1B
$12.2M 5.46%
93,695
+1,468
+2% +$193K
IJS icon
7
iShares S&P Small-Cap 600 Value ETF
IJS
$8.12B
$11.1M 4.98%
+110,373
New +$10.4M
MDY icon
8
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.6B
$8.82M 3.96%
18,538
+17,489
+1,667% +$7.97M
FNDF icon
9
Schwab Fundamental International Large Company Index ETF
FNDF
$24.9B
$7.7M 3.45%
+239,910
New +$7.5M
IVV icon
10
iShares Core S&P 500 ETF
IVV
$878B
$7.67M 3.44%
19,284
+7
+0% +$2.71K
XLP icon
11
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.2B
$7.11M 3.19%
+104,071
New +$6.84M
SHY icon
12
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$3.16M 1.42%
36,678
-521,769
-93% -$45M
CAT icon
13
Caterpillar
CAT
$375B
$1.74M 0.78%
7,514
-500
-6% -$104K
SPTM icon
14
State Street SPDR Portfolio S&P 1500 Composite Stock Market ETF
SPTM
$13.6B
$1.63M 0.73%
33,130
-508
-2% -$24.3K
QLD icon
15
ProShares Ultra QQQ
QLD
$12.7B
$1.62M 0.73%
55,304
-2,304
-4% -$68.4K
MSFT icon
16
Microsoft
MSFT
$3.45T
$1.51M 0.68%
6,407
– –
T icon
17
AT&T
T
$159B
$1.46M 0.65%
63,753
– –
SSO icon
18
ProShares Ultra S&P500
SSO
$7.87B
$1.25M 0.56%
48,992
+6,240
+15% +$151K
SCHB icon
19
Schwab US Broad Market ETF
SCHB
$43.2B
$1.23M 0.55%
76,122
-360
-0.5% -$5.67K
RBCAA icon
20
Republic Bancorp
RBCAA
$1.95B
$930K 0.42%
21,000
– –
IWR icon
21
iShares Russell Mid-Cap ETF
IWR
$56B
$698K 0.31%
9,448
– –
BRK.B icon
22
Berkshire Hathaway Class B
BRK.B
$1.1T
$684K 0.31%
2,680
– –
PFE icon
23
Pfizer
PFE
$143B
$514K 0.23%
14,199
-8,348
-37% -$296K
IWM icon
24
iShares Russell 2000 ETF
IWM
$79.8B
$480K 0.22%
2,171
-1,453
-40% -$317K
TFC icon
25
Truist Financial
TFC
$63.3B
$460K 0.21%
7,885
– –
1
2 3

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FFAM
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NWM
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APC
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WTFG
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SNWA
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D. Scott Neal's Q1 2021 Portfolio in Review

As of Q1 2021, D. Scott Neal held 53 positions worth $223M, up 9% from $205M the previous quarter. Its ten largest holdings account for 86% of the portfolio.

D. Scott Neal deployed $15.1M of net new capital in Q1 2021, opening 10 new positions and adding to 10 existing holdings. Its largest new stake was Invesco S&P 500 High Beta ETF: 243,020 shares worth $16.9M.

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

On the sell side, the largest reduction was iShares 1-3 Year Treasury Bond ETF, an estimated $45M trimmed.

  • D. Scott Neal's largest Q1 2021 buy was Invesco S&P 500 High Beta ETF: 243,020 shares worth $16.9M.
  • D. Scott Neal added most to iShares 5-10 Year Investment Grade Corporate Bond ETF in Q1 2021, an estimated $37.6M increase.
  • D. Scott Neal's biggest Q1 2021 reduction was iShares 1-3 Year Treasury Bond ETF, cutting an estimated $45M.
  • D. Scott Neal fully exited Vanguard Morningstar Mid-Cap Growth ETF in Q1 2021, selling an estimated $14.1M.
  • D. Scott Neal's ten largest holdings make up 86% of its $223M portfolio in Q1 2021.
  • D. Scott Neal opened 10 new positions and closed 6 in Q1 2021.
  • D. Scott Neal's portfolio value rose 9% quarter-over-quarter to $223M.

Based on D. Scott Neal's 13F filing for Q1 2021, filed 30 Apr 2021.