RIA Intel›Advisers›Kentucky›D. SCOTT NEAL, INC.

D. SCOTT NEAL, INC.

Advisory

N·LEXINGTON, KY

Data as of Mar 12, 2024 · Source: SEC Form ADV

Total AUM

$352M

1-Year AUM Growth

+13.1%

3-Year CAGR

+1.4%

Employees

6

Assets Under Management

Total AUM$352M

Discretionary AUM$338M

Non-Discretionary AUM$14M

Discretionary %95.9%

Total Clients404

Team

Total Employees6

Investment Advisers10

Employee Growth (1Y)—

Filing History

Total Filings on Record42

First FilingFeb 27, 2001

Latest FilingMar 12, 2024

🔒 Full AUM trend chart and 42 historical filings spanning 23+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on D. SCOTT NEAL, INC.

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.