13F-HR filed by D. SCOTT NEAL, INC.
D. SCOTT NEAL, INC. filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-10-18, with 179 holding rows worth $127,402,000.
- Accession
- 0001144204-16-128456
- Filer
- CIK 1596920
- Filed
- 2016-10-18
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 179 entries on the cover page, a total value of $127,402,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $127,402,000 with VALUE read as thousands by filing date, 13F file number 028-15681. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 155,335 | $17,379,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 147,316 | $16,404,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 65,115 | $14,084,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 160,769 | $13,945,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 81,475 | $10,120,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 69,447 | $8,245,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 93,449 | $8,008,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 27,118 | $7,655,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 68,999 | $5,564,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 53,235 | $3,148,000 | thousands by filing date | |
| VTI | 922908769 | COM | 25,242 | $2,810,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 28,373 | $2,798,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 28,334 | $2,044,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 7,627 | $1,659,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 16,388 | $1,320,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 13,390 | $1,159,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 24,030 | $739,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 8,040 | $714,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 8,890 | $631,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 5,645 | $535,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 4,412 | $385,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,295 | $365,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 7,510 | $322,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,265 | $317,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 2,997 | $269,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 6,909 | $261,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 2,000 | $245,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 7,952 | $236,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 3,265 | $206,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 6,171 | $196,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 5,035 | $190,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 2,853 | $180,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 2,070 | $176,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 210 | $163,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 2,200 | $163,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 2,740 | $161,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 3,234 | $152,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 1,277 | $151,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 3,410 | $144,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 2,200 | $142,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,202 | $136,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 155 | $130,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 1,500 | $128,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 5,325 | $127,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 570 | $116,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 876 | $113,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 2,000 | $113,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,927 | $111,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 400 | $108,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 2,425 | $106,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 944 | $103,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 575 | $100,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 3,000 | $96,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 800 | $91,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 2,608 | $88,000 | thousands by filing date | |
| UGI CORP NEW COM | 902681105 | Stock | 1,938 | $88,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 200 | $85,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 1,500 | $81,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,072 | $77,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 1,000 | $75,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 836 | $75,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 700 | $72,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 686 | $71,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 738 | $69,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 763 | $67,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 1,000 | $66,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 816 | $65,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 1,453 | $61,000 | thousands by filing date | |
| LEXMARK INTL NEW | 529771107 | CL A | 1,476 | $59,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 1,450 | $57,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 454 | $57,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 418 | $55,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 1,450 | $50,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 2,395 | $47,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 400 | $46,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 666 | $42,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 1,200 | $42,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 1,000 | $39,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 332 | $35,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 1,000 | $35,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 250 | $34,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 100 | $31,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 623 | $31,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 1,200 | $29,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 600 | $29,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 400 | $28,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 235 | $27,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 150 | $26,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 441 | $24,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 542 | $22,000 | thousands by filing date | |
| VECTREN CORP | 92240G101 | COM | 445 | $22,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 170 | $21,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 140 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 150 | $21,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 254 | $20,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 47 | $19,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 288 | $18,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 400 | $16,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 300 | $16,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 142 | $13,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 400 | $13,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 595 | $13,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 300 | $12,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 164 | $12,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 95 | $12,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 95 | $12,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 140 | $12,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 90 | $11,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 200 | $11,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 80 | $10,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 283 | $10,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 110 | $10,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 100 | $10,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 112 | $9,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 10 | $8,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 140 | $8,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 205 | $8,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 177 | $8,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 206 | $8,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 100 | $8,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 180 | $7,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 200 | $7,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 413 | $7,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 50 | $6,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 119 | $6,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 375 | $6,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 107 | $6,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 145 | $5,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 150 | $5,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 500 | $5,000 | thousands by filing date | principal |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 32 | $4,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 43 | $4,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 33 | $4,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 32 | $4,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 55 | $4,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 195 | $4,000 | thousands by filing date | principal |
| OLD NATL BANCORP IND | 680033107 | COM | 280 | $4,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 150 | $4,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 22 | $3,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 27 | $3,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 27 | $3,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 22 | $3,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 16 | $3,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 60 | $3,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 23 | $3,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 61 | $3,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 206 | $3,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 112 | $3,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 34 | $2,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 34 | $2,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 41 | $2,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 31 | $2,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 72 | $2,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 44 | $2,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 54 | $2,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 39 | $2,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 44 | $2,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 24 | $2,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 350 | $2,000 | thousands by filing date | |
| HALYARD HEALTH INC | 40650V100 | COM | 55 | $2,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 33 | $2,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 33 | $2,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 50 | $1,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 14 | $1,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 13 | $1,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 29 | $1,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 15 | $1,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 30 | $1,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 100 | $1,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 24 | $1,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 8 | $1,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 125 | $1,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 24 | $1,000 | thousands by filing date | principal |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 384 | $1,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED STATES STL CORP NEW | 912909108 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERITIV CORP | 923454102 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001144204-16-128456 | this filing | 2016-10-18 | acceptance time not in the bulk data set |