DUPREE & COMPANY, INC.
Adviser information for DUPREE & COMPANY, INC. last updated from Form ADV on February 14th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Kentucky, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $1.1B |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $1.1B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-13157 |
|---|---|
| SEC ERA File Number | 801-13157 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 1697 |
| Legal Entity Identifier | 549300UHYVKBWLSXI251 |
Principal Office
125 SOUTH MILL ST STE 100LEXINGTON
KY
United States
Monday - Friday, 9:00 - 5:00
Tel: 859-254-7741, Fax: 859-254-1399
Chief Compliance Officer
ALLEN E. GRIMES III
PRESIDENT
125 SOUTH MILL STREET
LEXINGTON
KY
United States
Tel:
859-254-7741
Fax:
859-254-1399
A******@***************M
(Full email address available in API data)
Regulatory Contact
DRAGOO, MICHELLE M
VP, SECRETARY, TREASURER
125 SOUTH MILL STREET #100
LEXINGTON
KY
United States
Tel:
859 254 7741
Fax:
859 254 1399
M******@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DRAGOO, MICHELLE MARIE | Individual | – | VICE PRESIDENT, SECRETARY, TREASURER | 06/1996 | < 5% |
| GRIMES, III, ALLEN EVANS MR. | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER, FINANCIAL PRINCIPAL, SHAREHOLDER, DIRECTOR | 12/2005 | < 5% |
| BRADLEY, HARRIET DUPREE | Individual | – | SHAREHOLDER/DIRECTOR | 04/2014 | 25-50% |
| GRIMES, LAMAR DUPREE | Individual | – | SHAREHOLDER/DIRECTOR | 04/2014 | 25-50% |
| HARRISON, VINCENT HENRY | Individual | – | VICE PRESIDENT | 10/2015 | < 5% |
| BANK OF THE BLUEGRASS SUCC TR FOR CLARA G DUPREE TR UA FBO HARRIET DUPREE BRADLEY | Domestic Entity | – | SHAREHOLDER | 05/2018 | 5-10% |
| BANK OF THE BLUEGRASS SUCC TR FOR CLARA G DUPREE TR UA FBO LAMAR DUPREE GRIMES | Domestic Entity | – | SHAREHOLDER | 05/2018 | 5-10% |
| BANK OF THE BLUEGRASS SUCC TR FOR CLARA G DUPREE TR UA FBO DAVID G. DUPREE | Domestic Entity | – | SHAREHOLDER | 05/2018 | 25-50% |
| BANK OF THE BLUEGRASS & TRUST COMPANY | Domestic Entity | – | TRUSTEE | 05/2018 | < 5% |
| BANK OF THE BLUEGRASS & TRUST COMPANY | Domestic Entity | CLARA G DUPREE TRUSTS | TRUSTEE | 05/2018 | 25-50% |
| COMBS, HUSTON BARROW | Individual | – | VICE PRESIDENT | 12/2018 | < 5% |