Hedge Fund Database

DUPREE FINANCIAL GROUP, LLC

Adviser information for DUPREE FINANCIAL GROUP, LLC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Kentucky, United States

Employees

Total Number of Employees 5
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
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 1,563 $283.3M
Non-Discretionary 0 $0
Total 1,563 $283.3M

Clients

Type Number RAUM
Individuals 688 $153.4M
HNW Individuals 64 $129.9M
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 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 752
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businesses
Compensation % of AUM

Identifiers

SEC RIA File Number 801-71497
SEC ERA File Number 801-71497
SEC CIK Numbers 1989251
SEC CRD Numbers 131091
Legal Entity Identifier None

Principal Office

237 EAST MAIN STREET
LEXINGTON
KY
United States
Monday - Friday, 10 AM - 4 PM
Tel: 859-233-0400, Fax: 859-233-0472

Websites

www.linkedin.com/dupree financail group www.dupreefinancial.com www.facebook.com/dupreefinancial/ www.youtube.com/channel/uctronllh4vots8rqp-u_etg twitter.com/dupreefinancial instragram.com/dupreefinancialgroup/

Chief Compliance Officer

WILLIAM MARTIN AMBROSE
CHIEF COMPLIANCE OFFICER
237 E. MAIN
LEXINGTON
KY
United States
Tel: 859-233-0400
Fax: 859-233-0472
(Full email address available in API data)

Regulatory Contact

THOMAS PARMELEE DUPREE, JR.
MANAGER
237 E MAIN ST
LEXINGTON
KY
United States
Tel: 859-233-0400
Fax: 859-233-0472
(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
DUPREE, THOMAS, PARMELEE Individual – MANAGER / MEMBER 08/2003 > 75%
AMBROSE, WILLIAM, MARTIN Individual – CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER 04/2015 < 5%

No. Employees, Historic

105020192020202120222023202420255 on 5/3/20196 on 4/29/20206 on 6/29/20206 on 3/9/20216 on 11/9/20216 on 3/25/20226 on 9/22/20226 on 10/19/20225 on 4/13/20235 on 2/1/20245 on 3/26/2024

RAUM, Historic

300M150M02019202020212022202320242025206684288 on 5/3/2019268363493 on 4/29/2020268363493 on 6/29/2020269279725 on 3/9/2021269279725 on 11/9/2021290742282 on 3/25/2022290742282 on 9/22/2022290742282 on 10/19/2022268897748 on 4/13/2023268897748 on 2/1/2024283324441 on 3/26/2024

No. Clients, Historic

1,00050002019202020212022202320242025716 on 5/3/2019746 on 4/29/2020746 on 6/29/2020965 on 3/9/2021965 on 11/9/2021684 on 3/25/2022684 on 9/22/2022684 on 10/19/2022697 on 4/13/2023697 on 2/1/2024752 on 3/26/2024

Holdings

From latest 13F, filed July 22nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 3M 28K –
ACADEMY SPORTS & OUTDOORS IN COM 3M 61K –
AERCAP HOLDINGS NV SHS 3M 28K –
AGNC INVT CORP COM 18M 2M –
AMAZON COM INC COM 4M 21K –
ANNALY CAPITAL MANAGEMENT IN COM NEW 8M 407K –
APPLE INC COM 4M 20K –
ASHLAND INC COM 309K 3K –
AT&T INC COM 6M 321K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 17M 42K –
BEYOND INC COM 2M 126K –
BLACKSTONE INC COM 250K 2K –
BLACKSTONE MTG TR INC COM CL A 2M 138K –
BP PLC SPONSORED ADR 2M 64K –
BRITISH AMERN TOB PLC SPONSORED ADR 12M 386K –
CANADIAN NAT RES LTD COM 3M 92K –
CAPITAL GROUP DIVIDEND VALUE SHS CREATION UNI 234K 7K –
CAPITAL GRP FIXED INCM ETF T CORE BOND ETF 237K 9K –
CHEVRON CORP NEW COM 8M 51K –
CINCINNATI FINL CORP COM 8M 72K –
CITY HLDG CO COM 1M 11K –
COCA COLA CO COM 213K 3K –
COSTCO WHSL CORP NEW COM 5M 6K –
CSX CORP COM 618K 18K –
D R HORTON INC COM 2M 16K –
DIMENSIONAL ETF TRUST US REAL ESTATE E 329K 15K –
EL PASO ENERGY CAP TR I PFD CV TR SEC 28 14M 686K –
ELI LILLY & CO COM 499K 551 –
ENBRIDGE INC COM 18M 504K –
EQT CORP COM 5M 144K –
EVEREST GROUP LTD COM 4M 11K –
EXXON MOBIL CORP COM 1M 11K –
FIDELITY MERRIMACK STR TR TOTAL BD ETF 686K 15K –
GE AEROSPACE COM NEW 295K 2K –
HOME DEPOT INC COM 359K 1K –
INTERNATIONAL BUSINESS MACHS COM 211K 1K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 11M 65K –
INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 619K 10K –
ISHARES TR CORE S&P SCP ETF 3M 30K –
ISHARES TR EXPANDED TECH 322K 4K –
ISHARES TR SELECT DIVID ETF 845K 7K –
JPMORGAN CHASE & CO. COM 440K 2K –
KIRKLANDS INC COM 40K 25K –
MARATHON PETE CORP COM 272K 2K –
MERCADOLIBRE INC COM 6M 4K –
MERCK & CO INC COM 556K 4K –
MICROSOFT CORP COM 876K 2K –
NET LEASE OFFICE PROPERTIES COM 209K 8K –
NETFLIX INC COM 234K 347 –
NVIDIA CORPORATION COM 238K 2K –
OLD REP INTL CORP COM 6M 207K –
ORION OFFICE REIT INC COM 54K 15K –
PEPSICO INC COM 484K 3K –
PNC FINL SVCS GROUP INC COM 259K 2K –
PROCTER AND GAMBLE CO COM 429K 3K –
REALTY INCOME CORP COM 5M 93K –
SCHWAB STRATEGIC TR FUNDAMENTAL INTL 6M 184K –
SPDR INDEX SHS FDS GLB NAT RESRCE 543K 10K –
SPDR SER TR PORTFOLIO S&P500 525K 8K –
SPIRE INC COM 206K 3K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 7M 40K –
VALVOLINE INC COM 388K 9K –
VANGUARD INDEX FDS S&P 500 ETF SHS 786K 2K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 3M 18K –
WP CAREY INC COM 5M 98K –