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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
+3.74%
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
$265M
AUM Growth
+$28.8M
Cap. Flow
+$23.1M
Cap. Flow %
8.69%
Top 10 Hldgs %
81.08%
Holding
63
New
12
Increased
13
Reduced
18
Closed
6

Top Buys

Rank Stock Value
1
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$65M
2
REKR icon
Rekor Systems
REKR
+$15.1M
3
VOT icon
Vanguard Morningstar Mid-Cap Growth ETF
VOT
+$13.6M
4
SPYG icon
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
+$11.6M
5
XLRE icon
State Street Real Estate Select Sector SPDR ETF
XLRE
+$6.57M

Top Sells

Rank Stock Value
1
IGIB icon
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
+$43.8M
2
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$17.6M
3
MDYV icon
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
+$11.1M
4
SPHB icon
Invesco S&P 500 High Beta ETF
SPHB
+$9.11M
5
IJS icon
iShares S&P Small-Cap 600 Value ETF
IJS
+$6.31M

Sector Composition

Rank Sector Weight
1 Technology 5.98%
2 Financials 1.41%
3 Consumer Discretionary 1.1%
4 Healthcare 0.99%
5 Industrials 0.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VTIP icon
1
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$19.1B
$81.8M 30.82%
1,590,838
+1,249,606
+366% +$65M
QQQ icon
2
Invesco QQQ Trust
QQQ
$453B
$44.7M 16.86%
112,418
-2,670
-2% -$1.03M
VOT icon
3
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.2B
$13.7M 5.16%
+53,766
New +$13.6M
SPHB icon
4
Invesco S&P 500 High Beta ETF
SPHB
$971M
$12.9M 4.88%
163,737
-116,707
-42% -$9.11M
SPYG icon
5
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
$51.7B
$12M 4.53%
+165,790
New +$11.6M
IVV icon
6
iShares Core S&P 500 ETF
IVV
$878B
$10.8M 4.06%
22,597
+2,610
+13% +$1.2M
REKR icon
7
Rekor Systems
REKR
$85.8M
$10.6M 3.98%
+1,610,920
New +$15.1M
XLV icon
8
State Street Health Care Select Sector SPDR ETF
XLV
$41.9B
$9.85M 3.71%
69,905
-741
-1% -$98.4K
XLP icon
9
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.2B
$9.53M 3.59%
123,547
+2,539
+2% +$184K
MDY icon
10
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.6B
$9.25M 3.49%
17,863
-317
-2% -$161K
XLRE icon
11
State Street Real Estate Select Sector SPDR ETF
XLRE
$8.55B
$7.08M 2.67%
+136,585
New +$6.57M
PDBC icon
12
Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF
PDBC
$6.38B
$5.83M 2.2%
414,918
+52,442
+14% +$1.03M
MDYV icon
13
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
$2.76B
$3.95M 1.49%
55,557
-158,828
-74% -$11.1M
MSFT icon
14
Microsoft
MSFT
$3.45T
$3.37M 1.27%
10,020
+3,053
+44% +$990K
QLD icon
15
ProShares Ultra QQQ
QLD
$12.7B
$2.39M 0.9%
53,762
+1,328
+3% +$56.1K
IJS icon
16
iShares S&P Small-Cap 600 Value ETF
IJS
$8.12B
$2.33M 0.88%
22,251
-60,198
-73% -$6.31M
SPTM icon
17
State Street SPDR Portfolio S&P 1500 Composite Stock Market ETF
SPTM
$13.6B
$1.93M 0.73%
33,009
– –
SSO icon
18
ProShares Ultra S&P500
SSO
$7.87B
$1.77M 0.67%
48,352
– –
CAT icon
19
Caterpillar
CAT
$375B
$1.58M 0.6%
7,661
– –
SCHB icon
20
Schwab US Broad Market ETF
SCHB
$43.2B
$1.42M 0.53%
75,216
– –
BRK.B icon
21
Berkshire Hathaway Class B
BRK.B
$1.1T
$1.32M 0.5%
4,430
+1,480
+50% +$424K
RBCAA icon
22
Republic Bancorp
RBCAA
$1.95B
$1.07M 0.4%
21,000
– –
T icon
23
AT&T
T
$159B
$935K 0.35%
50,315
-1,194
-2% -$22.3K
IGIB icon
24
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$797K 0.3%
13,451
-735,212
-98% -$43.8M
AMZN icon
25
Amazon
AMZN
$2.92T
$787K 0.3%
4,720
+2,860
+154% +$489K
1
2 3

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NWM
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WTFG
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D. Scott Neal's Q4 2021 Portfolio in Review

As of Q4 2021, D. Scott Neal held 63 positions worth $265M, up 12% from $237M the previous quarter. Its ten largest holdings account for 81% of the portfolio.

D. Scott Neal deployed $23.1M of net new capital in Q4 2021, opening 12 new positions and adding to 13 existing holdings. Its largest new stake was Rekor Systems: 1,610,920 shares worth $10.6M.

By sector, the portfolio is most concentrated in Technology at 6% of assets, up from 1.4% a quarter earlier, followed by Financials and Consumer Discretionary.

On the sell side, the largest reduction was iShares 5-10 Year Investment Grade Corporate Bond ETF, an estimated $43.8M trimmed.

  • D. Scott Neal's largest Q4 2021 buy was Rekor Systems: 1,610,920 shares worth $10.6M.
  • D. Scott Neal added most to Vanguard Short-Term Inflation-Protected Securities Index Fund in Q4 2021, an estimated $65M increase.
  • D. Scott Neal's biggest Q4 2021 reduction was iShares 5-10 Year Investment Grade Corporate Bond ETF, cutting an estimated $43.8M.
  • D. Scott Neal fully exited iShares MSCI EAFE Small-Cap ETF in Q4 2021, selling an estimated $5.1M.
  • D. Scott Neal's ten largest holdings make up 81% of its $265M portfolio in Q4 2021.
  • D. Scott Neal opened 12 new positions and closed 6 in Q4 2021.
  • D. Scott Neal's portfolio value rose 12% quarter-over-quarter to $265M.

Based on D. Scott Neal's 13F filing for Q4 2021, filed 21 Jan 2022.