13F-HR filed by D. SCOTT NEAL, INC.
D. SCOTT NEAL, INC. filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-10-18, with 192 holding rows worth $165,820,000.
- Accession
- 0001144204-17-052955
- Filer
- CIK 1596920
- Filed
- 2017-10-18
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 192 entries on the cover page, a total value of $165,820,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $165,820,000 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 |
|---|---|---|---|---|---|---|
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 73,899 | $24,116,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 122,337 | $18,128,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 208,914 | $17,359,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 153,122 | $16,868,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 135,399 | $14,423,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 54,605 | $13,718,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 67,669 | $9,842,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 90,345 | $6,187,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 66,043 | $6,185,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 52,671 | $4,207,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 16,562 | $4,189,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 44,559 | $3,612,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 33,504 | $2,949,000 | thousands by filing date | |
| IJH | 464287507 | COM | 10,166 | $1,819,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 22,570 | $1,508,000 | thousands by filing date | |
| Guggenheim BulletShares 2023 C | 18383M241 | ETF | 67,755 | $1,430,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 60,105 | $1,359,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 8,414 | $1,189,000 | thousands by filing date | |
| VTI | 922908769 | COM | 8,794 | $1,139,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 8,040 | $1,003,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 19,500 | $977,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 14,806 | $951,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 9,747 | $943,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 11,106 | $748,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 25,510 | $549,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 10,395 | $485,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 3,045 | $442,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 7,559 | $405,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 4,858 | $389,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,265 | $362,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 6,632 | $350,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 15,665 | $332,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 6,854 | $322,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 8,109 | $307,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 3,363 | $306,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 1,128 | $214,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 3,265 | $207,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 1,651 | $194,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 2,153 | $191,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,212 | $187,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 2,245 | $184,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 7,502 | $181,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 1,200 | $168,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 2,471 | $167,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 1,277 | $166,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 479 | $163,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 4,233 | $161,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 2,675 | $161,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 3,410 | $153,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 4,371 | $147,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 3,603 | $129,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,724 | $128,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 125 | $120,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 575 | $113,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 1,017 | $113,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 666 | $109,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 1,701 | $106,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 1,500 | $100,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 2,425 | $99,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 1,360 | $99,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 100 | $96,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,072 | $84,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 1,000 | $81,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 1,453 | $78,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 1,425 | $77,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 1,200 | $77,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 759 | $75,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 400 | $73,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 525 | $71,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 1,450 | $70,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 700 | $70,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 1,000 | $69,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 382 | $68,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 400 | $63,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 805 | $62,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 400 | $55,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 1,000 | $54,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 1,358 | $53,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 444 | $52,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 313 | $47,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 566 | $46,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 1,000 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 2,744 | $45,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 1,057 | $43,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 500 | $43,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 332 | $42,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 486 | $41,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 758 | $39,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 623 | $36,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 1,200 | $35,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 242 | $35,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 850 | $34,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 235 | $33,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 333 | $32,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 490 | $31,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 255 | $31,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 100 | $31,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 100 | $31,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 150 | $31,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 737 | $29,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 400 | $29,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 243 | $29,000 | thousands by filing date | |
| VECTREN CORP | 92240G101 | COM | 445 | $29,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 27 | $28,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 117 | $28,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 156 | $27,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 476 | $26,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 400 | $26,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 411 | $25,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 400 | $25,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 150 | $24,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 153 | $23,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 500 | $23,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 168 | $22,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 288 | $21,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 55 | $20,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 408 | $20,000 | thousands by filing date | |
| DELEK US HLDGS INC NEW COM | 24665A103 | Stock | 745 | $20,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 400 | $20,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 142 | $16,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 109 | $16,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 15 | $16,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 400 | $15,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 200 | $14,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 253 | $14,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 200 | $13,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 595 | $13,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 206 | $12,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 125 | $11,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 97 | $11,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 53 | $10,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 413 | $10,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 50 | $9,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 112 | $9,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 196 | $9,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 235 | $9,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 204 | $8,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 100 | $8,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 119 | $8,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 200 | $8,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 500 | $8,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 300 | $8,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 77 | $6,000 | thousands by filing date | |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 75 | $6,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 150 | $6,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 375 | $6,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 300 | $6,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 75 | $5,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 125 | $5,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 165 | $5,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 150 | $5,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 500 | $5,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 27 | $4,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 16 | $4,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 368 | $4,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 8 | $4,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 26 | $4,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 300 | $4,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 112 | $4,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 42 | $3,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 130 | $3,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 61 | $3,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 28 | $3,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 206 | $3,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 62 | $3,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 77 | $3,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 150 | $3,000 | thousands by filing date | |
| VERSUM MATLS INC | 92532W103 | COM | 70 | $3,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 33 | $3,000 | thousands by filing date | |
| BIOVERATIV INC | 09075E100 | COM | 50 | $3,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 29 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 16 | $2,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 44 | $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 | |
| JBG SMITH PPTYS COM | 46590V100 | REIT | 37 | $1,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 58 | $1,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 55 | $1,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 8 | $1,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 299 | $1,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 10 | $1,000 | thousands by filing date | |
| 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. |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 2 | $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. |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 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 0001144204-17-052955 | this filing | 2017-10-18 | acceptance time not in the bulk data set |