Filed: 10/11/2023ACC: 0001596920-23-000007
📋 What this filing means
D. SCOTT NEAL, INC. filed this quarterly 13F‑HR report disclosing 62 equity positions with a total reported market value of $116.99M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
62
Positions
$116.99M
Total AUM (reported)
3.01M
Total Shares
Allocation by class
COM$52.04M44.5%
GOLD SHS$13.02M11.1%
US CONSM STAPLES$8.14M7.0%
COM NEW$7.52M6.4%
OPTIMUM YIELD$7.38M6.3%
UNIT SER 1$3.74M3.2%
STRM INFPROIDX$2.66M2.3%
Portfolio Concentration
Top 3$30.87M26.4%
4–10$48.87M41.8%
11–25$23.55M20.1%
Rest$13.70M11.7%
Top 3 weight
26.4%
Top 10 weight
68.2%
Voting Authority Distribution
Total shares with voting rights: 3.01M
Sole
Full voting authority
0.00
shares
% of voting shares0.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
3.01M
shares
% of voting shares100.0%
Investment Discretion (by position count)
Sole62
Shared0
Other0
Dominant voting typeNone · 100.0% of voting shares
Institutional Holdings62
Rows:
SPDR GOLD TR
SOLEShares75.94K
TypeSH
Market value$13.02M
11.13%
Sole
0.00
Shared
0.00
None
75.94K
EXXON MOBIL CORP
SOLEShares76.31K
TypeSH
Market value$8.97M
7.67%
Sole
0.00
Shared
0.00
None
76.31K
GALLAGHER ARTHUR J & CO
SOLEShares38.94K
TypeSH
Market value$8.88M
7.59%
Sole
0.00
Shared
0.00
None
38.94K
ALPHA METALLURGICAL RESOUR I
SOLEShares33.80K
TypeSH
Market value$8.80M
7.53%
Sole
0.00
Shared
0.00
None
33.80K
ABBVIE INC
SOLEShares58.57K
TypeSH
Market value$8.73M
7.46%
Sole
0.00
Shared
0.00
None
58.57K
ISHARES TR
SOLEShares43.22K
TypeSH
Market value$8.14M
6.95%
Sole
0.00
Shared
0.00
None
43.22K
KLA CORP
SOLEShares16.40K
TypeSH
Market value$7.52M
6.43%
Sole
0.00
Shared
0.00
None
16.40K
INVESCO ACTVELY MNGD ETC FD
SOLEShares493.75K
TypeSH
Market value$7.38M
6.31%
Sole
0.00
Shared
0.00
None
493.75K
REKOR SYSTEMS INC
SOLEShares1.62M
TypeSH
Market value$4.56M
3.89%
Sole
0.00
Shared
0.00
None
1.62M
INVESCO QQQ TR
SOLEShares10.42K
TypeSH
Market value$3.74M
3.19%
Sole
0.00
Shared
0.00
None
10.42K
VANGUARD MALVERN FDS
SOLEShares56.23K
TypeSH
Market value$2.66M
2.27%
Sole
0.00
Shared
0.00
None
56.23K
MICROSOFT CORP
SOLEShares8.39K
TypeSH
Market value$2.65M
2.26%
Sole
0.00
Shared
0.00
None
8.39K
SELECT SECTOR SPDR TR
SOLEShares25.25K
TypeSH
Market value$2.28M
1.95%
Sole
0.00
Shared
0.00
None
25.25K
CATERPILLAR INC
SOLEShares7.55K
TypeSH
Market value$2.06M
1.76%
Sole
0.00
Shared
0.00
None
7.55K
INVESCO EXCH TRADED FD TR II
SOLEShares27.07K
TypeSH
Market value$1.90M
1.62%
Sole
0.00
Shared
0.00
None
27.07K
BERKSHIRE HATHAWAY INC DEL
SOLEShares5.40K
TypeSH
Market value$1.89M
1.62%
Sole
0.00
Shared
0.00
None
5.40K
PROSHARES TR
SOLEShares25.09K
TypeSH
Market value$1.49M
1.27%
Sole
0.00
Shared
0.00
None
25.09K
ISHARES GOLD TR
SOLEShares41.48K
TypeSH
Market value$1.45M
1.24%
Sole
0.00
Shared
0.00
None
41.48K
PROSHARES TR
SOLEShares22.90K
TypeSH
Market value$1.22M
1.05%
Sole
0.00
Shared
0.00
None
22.90K
SPDR SER TR
SOLEShares18.58K
TypeSH
Market value$1.21M
1.03%
Sole
0.00
Shared
0.00
None
18.58K
APPLE INC
SOLEShares6.88K
TypeSH
Market value$1.18M
1.01%
Sole
0.00
Shared
0.00
None
6.88K
ISHARES TR
SOLEShares2.54K
TypeSH
Market value$1.10M
0.94%
Sole
0.00
Shared
0.00
None
2.54K
REPUBLIC BANCORP INC KY
SOLEShares21K
TypeSH
Market value$932.9K
0.80%
Sole
0.00
Shared
0.00
None
21K
SELECT SECTOR SPDR TR
SOLEShares23.95K
TypeSH
Market value$816.1K
0.70%
Sole
0.00
Shared
0.00
None
23.95K
NVIDIA CORPORATION
SOLEShares1.65K
TypeSH
Market value$718.2K
0.61%
Sole
0.00
Shared
0.00
None
1.65K
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
SPDR GOLD TRSOLE | GOLD SHS | 75.94K | SH | $13.02M 11.13% | 0.00 | 0.00 | 75.94K |
EXXON MOBIL CORPSOLE | COM | 76.31K | SH | $8.97M 7.67% | 0.00 | 0.00 | 76.31K |
GALLAGHER ARTHUR J & COSOLE | COM | 38.94K | SH | $8.88M 7.59% | 0.00 | 0.00 | 38.94K |
ALPHA METALLURGICAL RESOUR ISOLE | COM | 33.80K | SH | $8.80M 7.53% | 0.00 | 0.00 | 33.80K |
ABBVIE INCSOLE | COM | 58.57K | SH | $8.73M 7.46% | 0.00 | 0.00 | 58.57K |
ISHARES TRSOLE | US CONSM STAPLES | 43.22K | SH | $8.14M 6.95% | 0.00 | 0.00 | 43.22K |
KLA CORPSOLE | COM NEW | 16.40K | SH | $7.52M 6.43% | 0.00 | 0.00 | 16.40K |
INVESCO ACTVELY MNGD ETC FDSOLE | OPTIMUM YIELD | 493.75K | SH | $7.38M 6.31% | 0.00 | 0.00 | 493.75K |
REKOR SYSTEMS INCSOLE | COM | 1.62M | SH | $4.56M 3.89% | 0.00 | 0.00 | 1.62M |
INVESCO QQQ TRSOLE | UNIT SER 1 | 10.42K | SH | $3.74M 3.19% | 0.00 | 0.00 | 10.42K |
VANGUARD MALVERN FDSSOLE | STRM INFPROIDX | 56.23K | SH | $2.66M 2.27% | 0.00 | 0.00 | 56.23K |
MICROSOFT CORPSOLE | COM | 8.39K | SH | $2.65M 2.26% | 0.00 | 0.00 | 8.39K |
SELECT SECTOR SPDR TRSOLE | ENERGY | 25.25K | SH | $2.28M 1.95% | 0.00 | 0.00 | 25.25K |
CATERPILLAR INCSOLE | COM | 7.55K | SH | $2.06M 1.76% | 0.00 | 0.00 | 7.55K |
INVESCO EXCH TRADED FD TR IISOLE | S&P 500 HB ETF | 27.07K | SH | $1.90M 1.62% | 0.00 | 0.00 | 27.07K |
BERKSHIRE HATHAWAY INC DELSOLE | CL B NEW | 5.40K | SH | $1.89M 1.62% | 0.00 | 0.00 | 5.40K |
PROSHARES TRSOLE | PSHS ULTRA QQQ | 25.09K | SH | $1.49M 1.27% | 0.00 | 0.00 | 25.09K |
ISHARES GOLD TRSOLE | ISHARES NEW | 41.48K | SH | $1.45M 1.24% | 0.00 | 0.00 | 41.48K |
PROSHARES TRSOLE | PSHS ULT S&P 500 | 22.90K | SH | $1.22M 1.05% | 0.00 | 0.00 | 22.90K |
SPDR SER TRSOLE | S&P 400 MDCP VAL | 18.58K | SH | $1.21M 1.03% | 0.00 | 0.00 | 18.58K |
APPLE INCSOLE | COM | 6.88K | SH | $1.18M 1.01% | 0.00 | 0.00 | 6.88K |
ISHARES TRSOLE | CORE S&P500 ETF | 2.54K | SH | $1.10M 0.94% | 0.00 | 0.00 | 2.54K |
REPUBLIC BANCORP INC KYSOLE | CL A | 21K | SH | $932.9K 0.80% | 0.00 | 0.00 | 21K |
SELECT SECTOR SPDR TRSOLE | RL EST SEL SEC | 23.95K | SH | $816.1K 0.70% | 0.00 | 0.00 | 23.95K |
NVIDIA CORPORATIONSOLE | COM | 1.65K | SH | $718.2K 0.61% | 0.00 | 0.00 | 1.65K |
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