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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

D. SCOTT NEAL, INC.

CRD 110975

LEXINGTON, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:afc36b23-8643-dc25-5d4e-575754c849dc

Data as of Apr 8, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 8
On other graphs: 0
Observed: Mar 20, 2012 to Apr 8, 2025
18 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $352MItem 5.F on the latest filing (2025-04-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $338M
Private client RAUM: $339MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,335
Individual clients: 273
High net worth clients: 124
SEC number: 801-60070
CRD: 110975
Filings on the tape: 18
First filed: Mar 20, 2012
Latest filed: Apr 8, 2025
Organised: Corporation, KY
Website: dsneal.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
NEAL, DAVID, SCOTT	DIRECTOR / PRESIDENT	D	yes	08/1995	Mar 20, 2012	Mar 12, 2024
ZIMMERER, JEROME, GEORGE	DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER	C	yes	05/2000	Mar 20, 2012	Mar 12, 2024
ALSUP, RODNEY	Director	Na	no	11/2013	Feb 28, 2014	Mar 12, 2024
COLES, RICHARD, LAURENCE	Shareholder	A	no	07/2017	Feb 23, 2018	Mar 12, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Louisville	Ky	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 14 of 15

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Apr 8, 2025	$352M	$338M	10	6	1	n/a	n/a
2023	Mar 12, 2024	$304M	$293M	10	6	1	n/a	n/a
2022	Mar 10, 2023	$269M	$259M	12	6	1	n/a	n/a
2021	Mar 31, 2022	$334M	$310M	10	6	1	n/a	n/a
2020	Mar 8, 2021	$292M	$266M	7	5	1	n/a	n/a
2019	Mar 6, 2020	$252M	$235M	6	4	1	n/a	n/a
2018	Feb 11, 2019	$226M	$213M	7	5	1	n/a	n/a
2017	Feb 23, 2018	$254M	$226M	6	6	1	n/a	n/a
2016	Mar 14, 2017	$199M	$194M	6	5	n/a	n/a	n/a
2015	Mar 8, 2016	$196M	$187M	7	5	n/a	n/a	n/a
2014	Mar 30, 2015	$207M	$204M	6	4	n/a	n/a	n/a
2013	Feb 28, 2014	$179M	$177M	5	4	n/a	n/a	n/a
2012	Mar 13, 2013	$160M	$157M	4	4	n/a	n/a	n/a
2011	Mar 20, 2012	$143M	$140M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	6	-6	n/a	0	0	0	0	6

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$352M	$304M	15.7%	$334M	1.8%	10	10	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERCER GLOBAL ADVISORS INC.	6	Nov 3, 2025	Apr 28, 2025	LEXINGTON, KY	Firm absorbed	RIA to RIA	100.0%

Relationships

Registered with (7)

← DAVID SCOTT NEALAdvisorregistration: previous registration
Oct 26, 1995 to Nov 3, 2025factForm ADV
← JEROME GEORGE ZIMMERERAdvisorregistration: previous registration
Sep 5, 2003 to Nov 3, 2025factForm ADV
← RICHARD LAURENCE COLESAdvisorregistration: previous registration
May 10, 2006 to Nov 3, 2025factForm ADV
← CHRISTOPHER MELVIN FRANK SACCOMANNOAdvisorregistration: previous registration
Jun 27, 2019 to Nov 3, 2025factForm ADV
← Michael Paul ReichAdvisorregistration: previous registration
Nov 9, 2021 to Nov 3, 2025factForm ADV
← John Alexander VinciAdvisorregistration: previous registration
Jan 18, 2024 to Nov 3, 2025factForm ADV
← BRADLEY CLAY FISHERAdvisorregistration: previous registration
Mar 30, 2015 to Nov 5, 2021factForm ADV

Moved with (1)

→ MERCER GLOBAL ADVISORS INC.Registered adviser6 advisors, firm absorbed, same day
Nov 3, 2025 to Apr 28, 2025factForm ADV

Owns (2)

← ALSUP, RODNEYOwnerDIRECTOR, ownership code NA, individual
Feb 28, 2014 to Mar 12, 2024factForm ADV
← COLES, RICHARD, LAURENCEOwnerSHAREHOLDER, ownership code A, individual
Feb 23, 2018 to Mar 12, 2024factForm ADV

Controls (2)

← NEAL, DAVID, SCOTTOwnerDIRECTOR / PRESIDENT, ownership code D, individual
Mar 20, 2012 to Mar 12, 2024factForm ADV
← ZIMMERER, JEROME, GEORGEOwnerDIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 20, 2012 to Mar 12, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Nov 3, 2025
Firm absorbed
D. Scott Neal, Inc.'s advisors moved to Mercer Global Advisors Inc. (Lexington, KY): 6 of 6 registered, on the same day
Form ADVobserved 4 days ago
6 advisors
Occurred
Nov 3, 2025
Advisor changed firm
Michael Paul Reich left D. Scott Neal, Inc. for Mercer Global Advisors Inc. (registered 2025-04-09)
Form ADVobserved 4 days ago
Occurred
Nov 3, 2025
Advisor changed firm
Christopher Melvin Frank Saccomanno left D. Scott Neal, Inc. for Mercer Global Advisors Inc. (registered 2025-04-09)
Form ADVobserved 4 days ago
Occurred
Nov 3, 2025
Advisor changed firm
David Scott Neal left D. Scott Neal, Inc. for Mercer Global Advisors Inc. (registered 2025-04-28)
Form ADVobserved 4 days ago
Occurred
Nov 3, 2025
Advisor changed firm
John Alexander Vinci left D. Scott Neal, Inc. for Mercer Global Advisors Inc. (registered 2025-04-16)
Form ADVobserved 4 days ago
Occurred
Nov 3, 2025
Advisor changed firm
Richard Laurence Coles left D. Scott Neal, Inc. for Mercer Global Advisors Inc. (registered 2025-04-14)
Form ADVobserved 4 days ago
Occurred
Nov 3, 2025
Advisor changed firm
Jerome George Zimmerer left D. Scott Neal, Inc. for Mercer Global Advisors Inc. (registered 2025-04-22)
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Dec 20, 2025
D. Scott Neal, Inc. no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $352.0M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:afc36b23-8643-dc25-5d4e-575754c849dc
First observed: Mar 20, 2012
Last observed: Apr 8, 2025 17 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

D. SCOTT NEAL, INC.

CRD 110975

LEXINGTON, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:afc36b23-8643-dc25-5d4e-575754c849dc

Data as of Apr 8, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:53 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

NEAL, DAVID, SCOTT

DIRECTOR / PRESIDENT

yes

08/1995

Mar 20, 2012

Mar 12, 2024

ZIMMERER, JEROME, GEORGE

DIRECTOR / VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER

yes

05/2000

Mar 20, 2012

Mar 12, 2024

ALSUP, RODNEY

Director

11/2013

Feb 28, 2014

Mar 12, 2024

COLES, RICHARD, LAURENCE

Shareholder

07/2017

Feb 23, 2018

Mar 12, 2024

City

State

Country

Employees

Also broker-dealer

Louisville

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Apr 8, 2025

$352M

$338M

n/a

2023

Mar 12, 2024

$304M

$293M

n/a

2022

Mar 10, 2023

$269M

$259M

n/a

2021

Mar 31, 2022

$334M

$310M

n/a

2020

Mar 8, 2021

$292M

$266M

n/a

2019

Mar 6, 2020

$252M

$235M

n/a

2018

Feb 11, 2019

$226M

$213M

n/a

2017

Feb 23, 2018

$254M

$226M

n/a

2016

Mar 14, 2017

$199M

$194M

n/a

2015

Mar 8, 2016

$196M

$187M

n/a

2014

Mar 30, 2015

$207M

$204M

n/a

2013

Feb 28, 2014

$179M

$177M

n/a

2012

Mar 13, 2013

$160M

$157M

n/a

2011

Mar 20, 2012

$143M

$140M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-6

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$352M

$304M

15.7%

$334M

1.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERCER GLOBAL ADVISORS INC.

Nov 3, 2025

Apr 28, 2025

LEXINGTON, KY

Firm absorbed

RIA to RIA

100.0%