D. SCOTT NEAL, INC.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Kentucky, United States

Employees

Total Number of Employees	10
Investment Advisory/Research	6
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	6
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	1,120	$293.0M
Non-Discretionary	213	$11.2M
Total	1,333	$304.3M

Clients

Type	Number	RAUM
Individuals	269	$64.3M
HNW Individuals	122	$229.9M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	0	$0
Charitable organizations	<5	$6.2M
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	<5	$3.9M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	7
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	26-50

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsEducational seminars/workshops
Compensation	% of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number	801-60070
SEC ERA File Number	801-60070
SEC CIK Numbers	1596920
SEC CRD Numbers	110975
Legal Entity Identifier	None

Principal Office

3292 EAGLE VIEW LANE
SUITE 290
LEXINGTON
KY
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic