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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
-0.53%
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
$237M
AUM Growth
+$16.1M
Cap. Flow
+$17.8M
Cap. Flow %
7.54%
Top 10 Hldgs %
80.91%
Holding
54
New
5
Increased
21
Reduced
12
Closed
3

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$18.2M
2
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$17.9M
3
MDYV icon
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
+$14.4M
4
SCZ icon
iShares MSCI EAFE Small-Cap ETF
SCZ
+$5.22M
5
PDBC icon
Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF
PDBC
+$1.9M

Top Sells

Rank Stock Value
1
IGIB icon
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
+$13.2M
2
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$9.84M
3
SPSB icon
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
+$9.26M
4
FNDF icon
Schwab Fundamental International Large Company Index ETF
FNDF
+$5.46M
5
VXF icon
Vanguard Extended Market ETF
VXF
+$2.63M

Sector Composition

Rank Sector Weight
1 Technology 1.39%
2 Financials 1.33%
3 Industrials 0.62%
4 Consumer Discretionary 0.58%
5 Healthcare 0.54%
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
$45M 19.01%
748,663
-217,938
-23% -$13.2M
QQQ icon
2
Invesco QQQ Trust
QQQ
$453B
$41.2M 17.42%
115,088
-278
-0.2% -$102K
SPHB icon
3
Invesco S&P 500 High Beta ETF
SPHB
$971M
$20.5M 8.67%
280,444
+877
+0.3% +$64.4K
VTIP icon
4
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$19.1B
$17.9M 7.59%
+341,232
New +$17.9M
LQD icon
5
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$34.3B
$17.9M 7.56%
+134,499
New +$18.2M
MDYV icon
6
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
$2.76B
$14.2M 6%
+214,385
New +$14.4M
XLV icon
7
State Street Health Care Select Sector SPDR ETF
XLV
$41.9B
$8.99M 3.8%
70,646
+2,675
+4% +$354K
MDY icon
8
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.6B
$8.74M 3.7%
18,180
-313
-2% -$154K
IVV icon
9
iShares Core S&P 500 ETF
IVV
$878B
$8.61M 3.64%
19,987
+292
+1% +$129K
XLP icon
10
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.2B
$8.33M 3.52%
121,008
+17,589
+17% +$1.25M
IJS icon
11
iShares S&P Small-Cap 600 Value ETF
IJS
$8.12B
$8.3M 3.51%
82,449
-13,316
-14% -$1.34M
PDBC icon
12
Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF
PDBC
$6.38B
$7.63M 3.23%
362,476
+94,760
+35% +$1.9M
SCZ icon
13
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.4B
$5.1M 2.16%
+68,555
New +$5.22M
MSFT icon
14
Microsoft
MSFT
$3.45T
$1.96M 0.83%
6,967
+560
+9% +$163K
QLD icon
15
ProShares Ultra QQQ
QLD
$12.7B
$1.91M 0.81%
52,434
+212
+0.4% +$8.2K
SPTM icon
16
State Street SPDR Portfolio S&P 1500 Composite Stock Market ETF
SPTM
$13.6B
$1.75M 0.74%
33,009
-121
-0.4% -$6.58K
FNDF icon
17
Schwab Fundamental International Large Company Index ETF
FNDF
$24.9B
$1.51M 0.64%
46,053
-164,589
-78% -$5.46M
CAT icon
18
Caterpillar
CAT
$375B
$1.47M 0.62%
7,661
+112
+1% +$23.3K
SSO icon
19
ProShares Ultra S&P500
SSO
$7.87B
$1.45M 0.61%
48,352
– –
SCHB icon
20
Schwab US Broad Market ETF
SCHB
$43.2B
$1.3M 0.55%
75,216
-30
-0% -$534
RBCAA icon
21
Republic Bancorp
RBCAA
$1.95B
$1.06M 0.45%
21,000
– –
T icon
22
AT&T
T
$159B
$1.05M 0.44%
51,509
+89
+0.2% +$1.87K
BRK.B icon
23
Berkshire Hathaway Class B
BRK.B
$1.1T
$806K 0.34%
2,950
+270
+10% +$75.8K
PFE icon
24
Pfizer
PFE
$143B
$614K 0.26%
14,283
+74
+0.5% +$3.28K
IWR icon
25
iShares Russell Mid-Cap ETF
IWR
$56B
$609K 0.26%
7,789
-874
-10% -$70K
1
2 3

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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 Q3 2021 Portfolio in Review

As of Q3 2021, D. Scott Neal held 54 positions worth $237M, up 7.3% from $220M the previous quarter. Its ten largest holdings account for 81% of the portfolio.

D. Scott Neal deployed $17.8M of net new capital in Q3 2021, opening 5 new positions and adding to 21 existing holdings. Its largest new stake was iShares iBoxx $ Investment Grade Corporate Bond ETF: 134,499 shares worth $17.9M.

By sector, the portfolio is most concentrated in Technology at 1.4% of assets, up from 1.4% a quarter earlier, followed by Financials and Industrials.

On the sell side, the largest reduction was iShares 5-10 Year Investment Grade Corporate Bond ETF, an estimated $13.2M trimmed.

  • D. Scott Neal's largest Q3 2021 buy was iShares iBoxx $ Investment Grade Corporate Bond ETF: 134,499 shares worth $17.9M.
  • D. Scott Neal added most to Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF in Q3 2021, an estimated $1.9M increase.
  • D. Scott Neal's biggest Q3 2021 reduction was iShares 5-10 Year Investment Grade Corporate Bond ETF, cutting an estimated $13.2M.
  • D. Scott Neal fully exited iShares Core S&P Mid-Cap ETF in Q3 2021, selling an estimated $9.84M.
  • D. Scott Neal's ten largest holdings make up 81% of its $237M portfolio in Q3 2021.
  • D. Scott Neal opened 5 new positions and closed 3 in Q3 2021.
  • D. Scott Neal's portfolio value rose 7.3% quarter-over-quarter to $237M.

Based on D. Scott Neal's 13F filing for Q3 2021, filed 4 Nov 2021.