0001144204-16-075251.txt : 20160112
0001144204-16-075251.hdr.sgml : 20160112
20160112130855
ACCESSION NUMBER: 0001144204-16-075251
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20160112
DATE AS OF CHANGE: 20160112
EFFECTIVENESS DATE: 20160112
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: D. SCOTT NEAL, INC.
CENTRAL INDEX KEY: 0001596920
IRS NUMBER: 611287393
STATE OF INCORPORATION: KY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15681
FILM NUMBER: 161338273
BUSINESS ADDRESS:
STREET 1: P.O. BOX 2010
CITY: LEXINGTON
STATE: KY
ZIP: 40588
BUSINESS PHONE: 8592543036
MAIL ADDRESS:
STREET 1: P.O. BOX 2010
CITY: LEXINGTON
STATE: KY
ZIP: 40588
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001596920
XXXXXXXX
12-31-2015
12-31-2015
false
D. SCOTT NEAL, INC.
P.o. Box 2010
Lexington
KY
40588
13F HOLDINGS REPORT
028-15681
N
Jerry Zimmerer
CCO
502-459-7199
/s/ Jerry Zimmerer
Louisville
KY
01-12-2016
0
153
125989
INFORMATION TABLE
2
infotable.xml
EVERSOURCE ENERGY
COM
30040W108
3
60
SH
SOLE
0
0
60
ATLAS RESOURCE PARTNERS LP
COM UNT LTD PR
04941A101
0
200
PRN
SOLE
0
0
200
ZOETIS INC
CL A
98978V103
6
119
SH
SOLE
0
0
119
ZILLOW GROUP INC
CL A
98954M101
8
300
SH
SOLE
0
0
300
ZILLOW GROUP INC
CL C CAP STK
98954M200
14
600
SH
SOLE
0
0
600
YUM BRANDS INC
COM
988498101
8
110
SH
SOLE
0
0
110
EXXON MOBIL CORP
COM
30231G102
518
6643
SH
SOLE
0
0
6643
WAL-MART STORES INC
COM
931142103
66
1072
SH
SOLE
0
0
1072
WELLS FARGO & CO NEW
COM
949746101
10
177
SH
SOLE
0
0
177
WEB COM GROUP INC
COM
94733A104
17
825
SH
SOLE
0
0
825
VECTREN CORP
COM
92240G101
19
445
SH
SOLE
0
0
445
VANGUARD INDEX FDS
REIT ETF
922908553
10787
135299
SH
SOLE
0
0
135299
VALMONT INDS INC
COM
920253101
32
300
SH
SOLE
0
0
300
VANGUARD SCOTTSDALE FDS
INT-TERM GOV
92206C706
561
8712
SH
SOLE
0
0
8712
V F CORP
COM
918204108
3
44
SH
SOLE
0
0
44
VANGUARD INTL EQUITY INDEX
ALLWRLD EX US
922042775
309
7124
SH
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0
0
7124
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
1710
21648
SH
SOLE
0
0
21648
VANGUARD INDEX FDS
SML CP GRW ETF
922908595
107
882
SH
SOLE
0
0
882
VISA INC
COM CL A
92826C839
7
90
SH
SOLE
0
0
90
PROSHARES TR
PSHS ULTRUSS2000
74347R842
17
220
SH
SOLE
0
0
220
UNITED TECHNOLOGIES CORP
COM
913017109
2
24
SH
SOLE
0
0
24
US BANCORP DEL
COM NEW
902973304
320
7507
SH
SOLE
0
0
7507
UNITED PARCEL SERVICE INC
CL B
911312106
3
27
SH
SOLE
0
0
27
UNION PAC CORP
COM
907818108
2
27
SH
SOLE
0
0
27
UNILEVER PLC
SPON ADR NEW
904767704
3
61
SH
SOLE
0
0
61
UGI CORP NEW
COM
902681105
131
3876
SH
SOLE
0
0
3876
TEXAS INSTRS INC
COM
882508104
18
328
SH
SOLE
0
0
328
TIME WARNER INC
COM NEW
887317303
5
80
SH
SOLE
0
0
80
TESLA MTRS INC
COM
88160R101
113
470
SH
SOLE
0
0
470
TRAVELERS COMPANIES INC
COM
89417E109
3
29
SH
SOLE
0
0
29
TEMPUR SEALY INTL INC
COM
88023U101
14
200
SH
SOLE
0
0
200
THERMO FISHER SCIENTIFIC I
COM
883556102
16
110
SH
SOLE
0
0
110
AT&T INC
COM
00206R102
1
42
SH
SOLE
0
0
42
SYMANTEC CORP
COM
871503108
2
112
SH
SOLE
0
0
112
STANLEY BLACK & DECKER INC
COM
854502101
3
32
SH
SOLE
0
0
32
STRATASYS LTD
SHS
M85548101
7
300
SH
SOLE
0
0
300
PROSHARES TR
PSHS ULT S&P 500
74347R107
541
8590
SH
SOLE
0
0
8590
SPDR S&P 500 ETF TR
TR UNIT
78462F103
17734
86985
SH
SOLE
0
0
86985
SPLUNK INC
COM
848637104
161
2740
SH
SOLE
0
0
2740
ISHARES TR
1-3 YR TR BD ETF
464287457
439
5200
SH
SOLE
0
0
5200
SIMMONS 1ST NATL CORP
CL A $1 PAR
828730200
32
623
SH
SOLE
0
0
623
SOLARCITY CORP
COM
83416T100
41
795
SH
SOLE
0
0
795
SPDR SERIES TRUST
BARC SHT TR CP
78464A474
1751
57585
SH
SOLE
0
0
57585
SCHWAB STRATEGIC TR
INTRM TRM TRES
808524854
628
11724
SH
SOLE
0
0
11724
SCHWAB STRATEGIC TR
INTL EQTY ETF
808524805
386
13998
SH
SOLE
0
0
13998
SCHWAB STRATEGIC TR
US BRD MKT ETF
808524102
611
12457
SH
SOLE
0
0
12457
STARBUCKS CORP
COM
855244109
30
500
SH
SOLE
0
0
500
RANGE RES CORP
COM
75281A109
4
180
SH
SOLE
0
0
180
REGENERON PHARMACEUTICALS
COM
75886F107
26
47
SH
SOLE
0
0
47
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
12548
112172
SH
SOLE
0
0
112172
PROSHARES TR
PSHS ULTRA QQQ
74347R206
1110
14170
SH
SOLE
0
0
14170
QUALCOMM INC
COM
747525103
2
34
SH
SOLE
0
0
34
PAYPAL HLDGS INC
COM
70450Y103
14
400
SH
SOLE
0
0
400
PHILLIPS 66
COM
718546104
3
37
SH
SOLE
0
0
37
PEARSON PLC
SPONSORED ADR
705015105
2
144
SH
SOLE
0
0
144
PROCTER & GAMBLE CO
COM
742718109
192
2421
SH
SOLE
0
0
2421
PFIZER INC
COM
717081103
84
2608
SH
SOLE
0
0
2608
PEPSICO INC
COM
713448108
87
867
SH
SOLE
0
0
867
PACIRA PHARMACEUTICALS INC
COM
695127100
31
400
SH
SOLE
0
0
400
OCCIDENTAL PETE CORP DEL
COM
674599105
2
27
SH
SOLE
0
0
27
ORACLE CORP
COM
68389X105
62
1700
SH
SOLE
0
0
1700
OLD NATL BANCORP IND
COM
680033107
7
510
SH
SOLE
0
0
510
BARCLAYS BK PLC
IPSP CROIL ETN
06738C786
3336
535474
SH
SOLE
0
0
535474
NOVARTIS A G
SPONSORED ADR
66987V109
3
31
SH
SOLE
0
0
31
NEXTERA ENERGY INC
COM
65339F101
3
28
SH
SOLE
0
0
28
NOODLES & CO
CL A
65540B105
3
350
SH
SOLE
0
0
350
MICROSOFT CORP
COM
594918104
99
1779
SH
SOLE
0
0
1779
MERCK & CO INC NEW
COM
58933Y105
26
490
SH
SOLE
0
0
490
MONSANTO CO NEW
COM
61166W101
9
90
SH
SOLE
0
0
90
MAXIMUS INC
COM
577933104
113
2000
SH
SOLE
0
0
2000
3M CO
COM
88579Y101
23
150
SH
SOLE
0
0
150
MEAD JOHNSON NUTRITION CO
COM
582839106
8
100
SH
SOLE
0
0
100
MANULIFE FINL CORP
COM
56501R106
23
1538
SH
SOLE
0
0
1538
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
8331
32794
SH
SOLE
0
0
32794
MEDTRONIC PLC
SHS
G5960L103
3
43
SH
SOLE
0
0
43
MCDONALDS CORP
COM
580135101
53
445
SH
SOLE
0
0
445
MASTERCARD INC
CL A
57636Q104
9
90
SH
SOLE
0
0
90
LEXMARK INTL NEW
CL A
529771107
48
1476
SH
SOLE
0
0
1476
LINKEDIN CORP
COM CL A
53578A108
45
200
SH
SOLE
0
0
200
LILLY ELI & CO
COM
532457108
6
70
SH
SOLE
0
0
70
COCA COLA CO
COM
191216100
146
3410
SH
SOLE
0
0
3410
NORDSTROM INC
COM
655664100
2
39
SH
SOLE
0
0
39
JOHNSON & JOHNSON
COM
478160104
180
1756
SH
SOLE
0
0
1756
ISHARES TR
U.S. REAL ES ETF
464287739
5776
76930
SH
SOLE
0
0
76930
ISHARES TR
RUS MID-CAP ETF
464287499
92
575
SH
SOLE
0
0
575
ISHARES TR
RUSSELL 2000 ETF
464287655
7223
64135
SH
SOLE
0
0
64135
ISHARES TR
RUS 1000 GRW ETF
464287614
65
654
SH
SOLE
0
0
654
ISHARES TR
RUS 1000 VAL ETF
464287598
29
295
SH
SOLE
0
0
295
ISHARES TR
RUS 1000 ETF
464287622
634
5598
SH
SOLE
0
0
5598
INVESCO LTD
SHS
G491BT108
2
72
SH
SOLE
0
0
72
ISHARES TR
CORE S&P500 ETF
464287200
231
1127
SH
SOLE
0
0
1127
ILLINOIS TOOL WKS INC
COM
452308109
3
32
SH
SOLE
0
0
32
INTEL CORP
COM
458140100
161
4684
SH
SOLE
0
0
4684
INGREDION INC
COM
457187102
10
109
SH
SOLE
0
0
109
ISHARES TR
7-10 Y TR BD ETF
464287440
20460
193770
SH
SOLE
0
0
193770
INTERCONTINENTAL EXCHANGE
COM
45866F104
51
200
SH
SOLE
0
0
200
INTERNATIONAL BUSINESS MAC
COM
459200101
257
1870
SH
SOLE
0
0
1870
HONEYWELL INTL INC
COM
438516106
24
235
SH
SOLE
0
0
235
HOME DEPOT INC
COM
437076102
142
1076
SH
SOLE
0
0
1076
ALPHABET INC
CAP STK CL A
02079K305
8
10
SH
SOLE
0
0
10
ALPHABET INC
CAP STK CL C
02079K107
8
10
SH
SOLE
0
0
10
SPDR GOLD TRUST
GOLD SHS
78463V107
9
90
SH
SOLE
0
0
90
GILEAD SCIENCES INC
COM
375558103
113
1116
SH
SOLE
0
0
1116
GENERAL ELECTRIC CO
COM
369604103
229
7348
SH
SOLE
0
0
7348
TWENTY FIRST CENTY FOX INC
CL A
90130A101
5
190
SH
SOLE
0
0
190
FIREEYE INC
COM
31816Q101
16
750
SH
SOLE
0
0
750
EXPRESS SCRIPTS HLDG CO
COM
30219G108
182
2080
SH
SOLE
0
0
2080
EMERSON ELEC CO
COM
291011104
21
441
SH
SOLE
0
0
441
E M C CORP MASS
COM
268648102
8
300
SH
SOLE
0
0
300
ISHARES TR
MSCI EAFE ETF
464287465
3230
55012
SH
SOLE
0
0
55012
CONSOLIDATED EDISON INC
COM
209115104
64
1000
SH
SOLE
0
0
1000
EBAY INC
COM
278642103
11
400
SH
SOLE
0
0
400
ELECTRONIC ARTS INC
COM
285512109
10
140
SH
SOLE
0
0
140
ISHARES TR
SELECT DIVID ETF
464287168
4928
65571
SH
SOLE
0
0
65571
DUKE ENERGY CORP NEW
COM NEW
26441C204
16
225
SH
SOLE
0
0
225
DISH NETWORK CORP
CL A
25470M109
17
300
SH
SOLE
0
0
300
DISNEY WALT CO
COM DISNEY
254687106
77
736
SH
SOLE
0
0
736
DELTA NAT GAS INC
COM
247748106
112
5325
SH
SOLE
0
0
5325
DIAGEO P L C
SPON ADR NEW
25243Q205
2
22
SH
SOLE
0
0
22
DOMINION RES INC VA NEW
COM
25746U109
3
40
SH
SOLE
0
0
40
COLUMBIA PPTY TR INC
COM NEW
198287203
14
595
SH
SOLE
0
0
595
CHEVRON CORP NEW
COM
166764100
36
400
SH
SOLE
0
0
400
COGNIZANT TECHNOLOGY SOLUT
CL A
192446102
48
800
SH
SOLE
0
0
800
CSX CORP
COM
126408103
0
2
SH
SOLE
0
0
2
CARLISLE COS INC
COM
142339100
62
700
SH
SOLE
0
0
700
CISCO SYS INC
COM
17275R102
113
4171
SH
SOLE
0
0
4171
CALIFORNIA RES CORP
COM
13057Q107
0
10
SH
SOLE
0
0
10
CONOCOPHILLIPS
COM
20825C104
3
57
SH
SOLE
0
0
57
CUMMINS INC
COM
231021106
7
80
SH
SOLE
0
0
80
COLGATE PALMOLIVE CO
COM
194162103
147
2200
SH
SOLE
0
0
2200
ISHARES TR
INTERM CR BD ETF
464288638
15795
147232
SH
SOLE
0
0
147232
CERNER CORP
COM
156782104
35
575
SH
SOLE
0
0
575
CRACKER BARREL OLD CTRY ST
COM
22410J106
63
498
SH
SOLE
0
0
498
CATERPILLAR INC DEL
COM
149123101
546
8040
SH
SOLE
0
0
8040
BRITISH AMERN TOB PLC
SPONSORED ADR
110448107
3
23
SH
SOLE
0
0
23
BOSTON SCIENTIFIC CORP
COM
101137107
22
1200
SH
SOLE
0
0
1200
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
14
169
SH
SOLE
0
0
169
BANK NEW YORK MELLON CORP
COM
064058100
45
1081
SH
SOLE
0
0
1081
VANGUARD BD INDEX FD INC
INTERMED TERM
921937819
143
1723
SH
SOLE
0
0
1723
BIOGEN INC
COM
09062X103
61
200
SH
SOLE
0
0
200
BIGLARI HLDGS INC
COM
08986R101
2
6
SH
SOLE
0
0
6
BB&T CORP
COM
054937107
264
6977
SH
SOLE
0
0
6977
BANK AMER CORP
COM
060505104
5
308
SH
SOLE
0
0
308
BOEING CO
COM
097023105
3
22
SH
SOLE
0
0
22
APPLIED DNA SCIENCES INC
COM NEW
03815U201
1
384
SH
SOLE
0
0
384
AIR PRODS & CHEMS INC
COM
009158106
18
140
SH
SOLE
0
0
140
AMC NETWORKS INC
CL A
00164V103
8
110
SH
SOLE
0
0
110
ALEXION PHARMACEUTICALS IN
COM
015351109
382
2000
SH
SOLE
0
0
2000
AFLAC INC
COM
001055102
3
44
SH
SOLE
0
0
44
AUTOMATIC DATA PROCESSING
COM
053015103
12
142
SH
SOLE
0
0
142
ABBOTT LABS
COM
002824100
25
564
SH
SOLE
0
0
564
ABBVIE INC
COM
00287Y109
33
564
SH
SOLE
0
0
564
APPLE INC
COM
037833100
5
50
SH
SOLE
0
0
50