D. SCOTT NEAL INC. Overview

D. Scott Neal Inc. is an investment advisor that manages 206.9 MM dollars in regulatory AUM and has 6 employees, of which 4 perform investment advisory functions.

The manager's has disclosed holdings from 12/31/13 to 09/30/16. The fund's latest filing disclosed 127MM in positions, representing 62% of the manager's regulatory AUM.

D. SCOTT NEAL INC. StockAlpha

-2.7%
Top 25%
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Fundamental & Technical Factor Exposure

Market Cap Beta Volatility
Momentum (12M) Momentum (6M) Momentum (3M)
Price/Book Price/Earnings Price/Cash Flow
Dividend Yield Sales Growth Earnings Growth
ROE ROA ROC
EBIDTA Margin Debt/Assets Hedge Fund Crowding

D. SCOTT NEAL INC. Since Last Filing Return Details

Ticker Size Sector Stock Move StockAlpha Attribution Days to Liquidate Trade Crowdedness
IEF 13.64% ETF -6.13% -1.03% 0 3%
CIU 12.88% ETF -2.38% -0.5% 0 3%
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D. SCOTT NEAL INC. Founders and Key Employees

Name Title In Position Since
David S. Neal Director / President August-1995
Jerome G. Zimmerer Director / Vice President/ Chief Compliance Officer May-2000
Rodney Alsup Director November-2013

D. SCOTT NEAL INC. Brokers, Custodians, Auditors and Administrators

Type Company

D. SCOTT NEAL INC. Investment Strategy

Methods of Analysis, Investment Strategies and Risk of Loss


Methods of Analysis

In accordance with the Investment Plan, we generally selects ETF’s, mutual funds, certificates of
6
deposit, US Treasury bonds & notes or investment grade corporate bonds for client accounts.
Mutual funds and ETFs are generally evaluated and selected based on a variety of factors, including, without limitation, past performance, fee structure, portfolio manager, fund sponsor, overall ratings for safety and returns, and other factors.

Fixed income investments may be used as a strategic investment, as an instrument to fulfill liquidity or income needs in a portfolio, or to add a component of capital preservation. We may evaluate and select individual bonds or bond funds based on a number of factors including, without limitation, rating, yield and duration.

In considering specific investment vehicles, we generally employ one or more of the following method...
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D. SCOTT NEAL INC. Portfolio Concentration

D. SCOTT NEAL INC. Location

3292 EAGLE VIEW LANE
SUITE 290
LEXINGTON, Kentucky
UNITED STATES, 40509

D. SCOTT NEAL INC. Contact Information

Phone Number: 859-254-3036
Fax Number: 859-233-1294
Website:

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