D. SCOTT NEAL, INC.
CRD #110975 SEC #801-60070 LEXINGTON, KY 859-254-3036
SEC Registered
Total AUM
$352M
Discretionary
$337.8M
Employees
10
Clients
26
Accounts
1,335
Firm Details
- Organization Type
- Corporation
- State of Formation
- Kentucky
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 9, 2025
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| ALSUP, RODNEY | I | DIRECTOR | NA | |
| COLES, RICHARD, LAURENCE | I | SHAREHOLDER | NA | |
| COLES, RICHARD, LAURENCE | I | SHAREHOLDER | NA | |
| COLES, RICHARD, LAURENCE | I | SHAREHOLDER | NA | |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | NA | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | NA | Control |
| MERCER GLOBAL ADVISORS INC. | DE | PARENT COMPANY | E | Control |
| NEAL, DAVID | I | PRESIDENT | E | Control |
| NEAL, DAVID | I | PRESIDENT | E | Control |
| NEAL, DAVID | I | PRESIDENT | E | Control |
| NEAL, DAVID | I | PRESIDENT | D | Control |
| NEAL, DAVID | I | PRESIDENT | D | Control |
| NEAL, DAVID | I | PRESIDENT | D | Control |
| NEAL, DAVID | I | PRESIDENT | D | Control |
| NEAL, DAVID | I | PRESIDENT | D | Control |
| NEAL, DAVID | I | PRESIDENT | D | Control |
| NEAL, DAVID | I | PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| NEAL, DAVID, SCOTT | I | DIRECTOR / PRESIDENT | D | Control |
| ZIMMERER, JEROME, G | I | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, G | I | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, G | I | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, G | I | VICE PRESIDENT & COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, G | I | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, G | I | VICE PRESIDENT & COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, G | I | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, GEORGE | I | DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | C | Control |
| ZIMMERER, JEROME, G | I | VICE PRESIDENT & COMPLIANCE OFFICER | B | Control |
| ZIMMERER, JEROME, G | I | VICE PRESIDENT & COMPLIANCE OFFICER | B | Control |
| ZIMMERER, JEROME, G | I | VICE PRESIDENT & COMPLIANCE OFFICER | B | Control |
| COLES, RICHARD, LAURENCE | I | SHAREHOLDER | A | |
| COLES, RICHARD, LAURENCE | I | SHAREHOLDER | A | |
| COLES, RICHARD, LAURENCE | I | SHAREHOLDER | A | |
| COLES, RICHARD, LAURENCE | I | SHAREHOLDER | A | |
| COLES, RICHARD, LAURENCE | I | SHAREHOLDER | A | |
| COLES, RICHARD, LAURENCE | I | SHAREHOLDER | A | |
| COLES, RICHARD, LAURENCE | I | SHAREHOLDER | A | |
| HAIL, LUCAS, PARKER | I | VICE-PRESIDENT | A | Control |
| HAIL, LUCAS, PARKER | I | VICE-PRESIDENT | A | Control |
Registrations
Federal
IA
Apr 9, 2025 REGISTERED
Notice Filings (9)
GA IN KY LA NC NE OH TN TX
Address
3292 EAGLE VIEW LANESUITE 290
LEXINGTON, KY 40509
United States
Phone: 859-254-3036