0001144204-17-021862.txt : 20170425
0001144204-17-021862.hdr.sgml : 20170425
20170425091129
ACCESSION NUMBER: 0001144204-17-021862
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170425
DATE AS OF CHANGE: 20170425
EFFECTIVENESS DATE: 20170425
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: 17779865
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
03-31-2017
03-31-2017
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
04-20-2017
0
167
155242
INFORMATION TABLE
2
infotable.xml
WEB COM GROUP INC
COM
94733A104
8
413
SH
SOLE
0
0
413
AMN HEALTHCARE SERVICES
COM
001744101
41
1000
SH
SOLE
0
0
1000
ZOETIS INC
CL A
98978V103
6
119
SH
SOLE
0
0
119
ZILLOW GROUP INC
CL A
98954M101
5
150
SH
SOLE
0
0
150
ZIMMER BIOMET HLDGS INC
COM
98956P102
4
33
SH
SOLE
0
0
33
ZILLOW GROUP INC
CL C CAP STK
98954M200
49
1450
SH
SOLE
0
0
1450
YUM CHINA HLDGS INC
COM
98850P109
2
77
SH
SOLE
0
0
77
YUM BRANDS INC
COM
988498101
5
77
SH
SOLE
0
0
77
EXXON MOBIL CORP
COM
30231G102
360
4386
SH
SOLE
0
0
4386
SELECT SECTOR SPDR TR
SBI INT-ENERGY
81369Y506
28
400
SH
SOLE
0
0
400
SPDR SERIES TRUST
S&P BIOTECH
78464A870
69
1000
SH
SOLE
0
0
1000
UNITED STATES STL CORP N
COM
912909108
0
11
SH
SOLE
0
0
11
WPX ENERGY INC
COM
98212B103
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55
SH
SOLE
0
0
55
W P CAREY INC
COM
92936U109
137
2200
SH
SOLE
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2200
WAL-MART STORES INC
COM
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1072
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1072
WILLIAMS COS INC DEL
COM
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165
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165
WELLS FARGO & CO NEW
COM
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VANGUARD WHITEHALL FDS I
HIGH DIV YLD
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VECTREN CORP
COM
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445
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VANGUARD INDEX FDS
TOTAL STK MKT
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VERSUM MATLS INC
COM
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VERITIV CORP
COM
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MID CAP ETF
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47
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VANGUARD INDEX FDS
REIT ETF
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COM
920253101
39
250
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250
VANGUARD INTL EQUITY IND
ALLWRLD EX US
922042775
193
4027
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30
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
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SMALL CP ETF
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PROSHARES TR
PSHS ULTRUSS2000
74347R842
590
5105
SH
SOLE
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US BANCORP DEL
COM NEW
902973304
386
7488
SH
SOLE
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7488
UNDER ARMOUR INC
CL A
904311107
20
1000
SH
SOLE
0
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1000
TEXAS INSTRS INC
COM
882508104
13
164
SH
SOLE
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0
164
PROSHARES TR
ULTSHT RUSS2000
74348A319
259
11565
SH
SOLE
0
0
11565
TESLA INC
COM
88160R101
173
623
SH
SOLE
0
0
623
TEMPUR SEALY INTL INC
COM
88023U101
9
200
SH
SOLE
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0
200
ISHARES TR
20 YR TR BD ETF
464287432
14583
120813
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AT&T INC
COM
00206R102
46
1117
SH
SOLE
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1117
SYMANTEC CORP
COM
871503108
3
112
SH
SOLE
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112
SCHWEITZER-MAUDUIT INTL
COM
808541106
2
44
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SOLE
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44
STRATASYS LTD
SHS
M85548101
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150
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SOLE
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0
150
PROSHARES TR
PSHS ULT S&P 500
74347R107
798
9410
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SOLE
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9410
SPDR S&P 500 ETF TR
TR UNIT
78462F103
15009
63667
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SOLE
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0
63667
SPLUNK INC
COM
848637104
171
2740
SH
SOLE
0
0
2740
ISHARES TR
1-3 YR TR BD ETF
464287457
175
2070
SH
SOLE
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2070
SIMMONS 1ST NATL CORP
CL A $1 PAR
828730200
34
623
SH
SOLE
0
0
623
PROSHARES TR
PSHS ULSHT SP500
74347B300
638
47400
SH
SOLE
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47400
SPDR SERIES TRUST
BLOMBERG BRC SRT
78464A474
311
10155
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SOLE
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SCHWAB STRATEGIC TR
US LRG CAP ETF
808524201
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171
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171
SCHWAB STRATEGIC TR
INTRM TRM TRES
808524854
0
2
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SOLE
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SCHWAB STRATEGIC TR
US MID-CAP ETF
808524508
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SOLE
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10780
SCHWAB STRATEGIC TR
US REIT ETF
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398
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SOLE
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398
SCHWAB STRATEGIC TR
INTL EQTY ETF
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SCHWAB STRATEGIC TR
US BRD MKT ETF
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SCHWAB STRATEGIC TR
US SML CAP ETF
808524607
676
10738
SH
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10738
STARBUCKS CORP
COM
855244109
88
1500
SH
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1500
RAYTHEON CO
COM NEW
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REGENERON PHARMACEUTICAL
COM
75886F107
18
47
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47
REYNOLDS AMERICAN INC
COM
761713106
204
3234
SH
SOLE
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3234
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
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70144
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PROSHARES TR
PSHS ULTRA QQQ
74347R206
1429
13325
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13325
PAYPAL HLDGS INC
COM
70450Y103
17
400
SH
SOLE
0
0
400
PPL CORP
COM
69351T106
4
110
SH
SOLE
0
0
110
PNC FINL SVCS GROUP INC
COM
693475105
50
418
SH
SOLE
0
0
418
PHILIP MORRIS INTL INC
COM
718172109
369
3265
SH
SOLE
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3265
PROCTER AND GAMBLE CO
COM
742718109
338
3763
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SOLE
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PFIZER INC
COM
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89
2608
SH
SOLE
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2608
PEPSICO INC
COM
713448108
105
938
SH
SOLE
0
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PACIRA PHARMACEUTICALS I
COM
695127100
9
200
SH
SOLE
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0
200
ORACLE CORP
COM
68389X105
119
2674
SH
SOLE
0
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2674
ORCHID IS CAP INC
COM
68571X103
5
500
SH
SOLE
0
0
500
OLD NATL BANCORP IND
COM
680033107
5
280
SH
SOLE
0
0
280
NEXTERA ENERGY INC
COM
65339F101
49
384
SH
SOLE
0
0
384
NOODLES & CO
CL A
65540B105
2
350
SH
SOLE
0
0
350
NOBLE ENERGY INC
COM
655044105
0
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SH
SOLE
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8
MICROSOFT CORP
COM
594918104
123
1865
SH
SOLE
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1865
MARATHON OIL CORP
COM
565849106
3
206
SH
SOLE
0
0
206
MERCK & CO INC
COM
58933Y105
40
633
SH
SOLE
0
0
633
MARATHON PETE CORP
COM
56585A102
10
206
SH
SOLE
0
0
206
ALTRIA GROUP INC
COM
02209S103
233
3265
SH
SOLE
0
0
3265
MAXIMUS INC
COM
577933104
124
2000
SH
SOLE
0
0
2000
3M CO
COM
88579Y101
29
150
SH
SOLE
0
0
150
MEAD JOHNSON NUTRITION C
COM
582839106
9
100
SH
SOLE
0
0
100
SPDR S&P MIDCAP 400 ETF
UTSER1 S&PDCRP
78467Y107
10827
34654
SH
SOLE
0
0
34654
MONDELEZ INTL INC
CL A
609207105
104
2425
SH
SOLE
0
0
2425
MCDONALDS CORP
COM
580135101
52
400
SH
SOLE
0
0
400
COCA COLA CO
COM
191216100
145
3410
SH
SOLE
0
0
3410
KIMBERLY CLARK CORP
COM
494368103
58
444
SH
SOLE
0
0
444
KRAFT HEINZ CO
COM
500754106
73
805
SH
SOLE
0
0
805
JPMORGAN CHASE & CO
COM
46625H100
15
167
SH
SOLE
0
0
167
JOHNSON & JOHNSON
COM
478160104
159
1277
SH
SOLE
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0
1277
ISHARES TR
U.S. REAL ES ETF
464287739
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SH
SOLE
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ISHARES TR
RUS MID CAP ETF
464287499
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575
SH
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ISHARES TR
RUSSELL 2000 ETF
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SH
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78703
ISHARES TR
RUS 1000 GRW ETF
464287614
38
332
SH
SOLE
0
0
332
ISHARES TR
CORE S&P500 ETF
464287200
2758
11625
SH
SOLE
0
0
11625
ILLINOIS TOOL WKS INC
COM
452308109
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109
SH
SOLE
0
0
109
INTL PAPER CO
COM
460146103
3
61
SH
SOLE
0
0
61
INTEL CORP
COM
458140100
178
4946
SH
SOLE
0
0
4946
ISHARES TR
CORE S&P MCP ETF
464287507
602
3518
SH
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3518
ISHARES TR
3-7 YR TR BD ETF
464288661
1264
10275
SH
SOLE
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10275
ISHARES TR
7-10YR TR BD ETF
464287440
15478
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SH
SOLE
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146584
INTERCONTINENTAL EXCHANG
COM
45866F104
120
2000
SH
SOLE
0
0
2000
INTERNATIONAL BUSINESS M
COM
459200101
517
2968
SH
SOLE
0
0
2968
INTERACTIVE BROKERS GROU
COM
45841N107
35
1000
SH
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0
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1000
HALYARD HEALTH INC
COM
40650V100
2
55
SH
SOLE
0
0
55
HONEYWELL INTL INC
COM
438516106
29
235
SH
SOLE
0
0
235
HOME DEPOT INC
COM
437076102
103
701
SH
SOLE
0
0
701
ALPHABET INC
CAP STK CL C
02079K107
166
200
SH
SOLE
0
0
200
SPDR GOLD TRUST
GOLD SHS
78463V107
30
255
SH
SOLE
0
0
255
GILEAD SCIENCES INC
COM
375558103
45
666
SH
SOLE
0
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666
GENERAL ELECTRIC CO
COM
369604103
313
10492
SH
SOLE
0
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10492
FIREEYE INC
COM
31816Q101
5
375
SH
SOLE
0
0
375
FEDEX CORP
COM
31428X106
3
16
SH
SOLE
0
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16
FACEBOOK INC
CL A
30303M102
7
50
SH
SOLE
0
0
50
FORD MTR CO DEL
COM PAR $0.01
345370860
4
368
SH
SOLE
0
0
368
EMERSON ELEC CO
COM
291011104
24
400
SH
SOLE
0
0
400
ISHARES TR
MSCI EAFE ETF
464287465
4837
77647
SH
SOLE
0
0
77647
CONSOLIDATED EDISON INC
COM
209115104
78
1000
SH
SOLE
0
0
1000
EBAY INC
COM
278642103
13
400
SH
SOLE
0
0
400
ISHARES TR
SELECT DIVID ETF
464287168
8091
88815
SH
SOLE
0
0
88815
DELL TECHNOLOGIES INC
COM CL V
24703L103
2
33
SH
SOLE
0
0
33
DOW CHEM CO
COM
260543103
7
107
SH
SOLE
0
0
107
DISNEY WALT CO
COM DISNEY
254687106
84
739
SH
SOLE
0
0
739
DELTA NAT GAS INC
COM
247748106
162
5325
SH
SOLE
0
0
5325
DELTA AIR LINES INC DEL
COM NEW
247361702
9
196
SH
SOLE
0
0
196
COLUMBIA PPTY TR INC
COM NEW
198287203
13
595
SH
SOLE
0
0
595
SPDR INDEX SHS FDS
MSCI ACWI EXUS
78463X848
226
6636
SH
SOLE
0
0
6636
CHEVRON CORP NEW
COM
166764100
167
1551
SH
SOLE
0
0
1551
COGNIZANT TECHNOLOGY SOL
CL A
192446102
36
600
SH
SOLE
0
0
600
CARLISLE COS INC
COM
142339100
74
700
SH
SOLE
0
0
700
CISCO SYS INC
COM
17275R102
209
6171
SH
SOLE
0
0
6171
CABOT OIL & GAS CORP
COM
127097103
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SH
SOLE
0
0
9
CHIPOTLE MEXICAN GRILL I
COM
169656105
89
200
SH
SOLE
0
0
200
COMCAST CORP NEW
CL A
20030N101
8
204
SH
SOLE
0
0
204
CORNERSTONE STRATEGIC VA
COM
21924B302
5
300
SH
SOLE
0
0
300
COLGATE PALMOLIVE CO
COM
194162103
158
2160
SH
SOLE
0
0
2160
ISHARES TR
INTERM CR BD ETF
464288638
16707
153329
SH
SOLE
0
0
153329
CHESAPEAKE ENERGY CORP
COM
165167107
0
42
SH
SOLE
0
0
42
CERNER CORP
COM
156782104
17
288
SH
SOLE
0
0
288
UBS AG LONDON BRH
ETRACS MTH 2XLV
90270L842
5
300
SH
SOLE
0
0
300
CRACKER BARREL OLD CTRY
COM
22410J106
50
313
SH
SOLE
0
0
313
CATERPILLAR INC DEL
COM
149123101
746
8040
SH
SOLE
0
0
8040
BOSTON SCIENTIFIC CORP
COM
101137107
30
1200
SH
SOLE
0
0
1200
CLAYMORE EXCHANGE TRD FD
GUGG CRP BD 2017
18383M548
1444
63822
SH
SOLE
0
0
63822
BP PLC
SPONSORED ADR
055622104
8
235
SH
SOLE
0
0
235
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
9
112
SH
SOLE
0
0
112
BRISTOL MYERS SQUIBB CO
COM
110122108
8
140
SH
SOLE
0
0
140
VANGUARD BD INDEX FD INC
LONG TERM BOND
921937793
1362
15124
SH
SOLE
0
0
15124
BANK NEW YORK MELLON COR
COM
064058100
26
542
SH
SOLE
0
0
542
BIOVERATIV INC
COM
09075E100
3
50
SH
SOLE
0
0
50
VANGUARD BD INDEX FD INC
INTERMED TERM
921937819
41
496
SH
SOLE
0
0
496
BIOGEN INC
COM
09062X103
27
100
SH
SOLE
0
0
100
BB&T CORP
COM
054937107
309
6909
SH
SOLE
0
0
6909
APPLIED DNA SCIENCES INC
COM NEW
03815U201
1
384
SH
SOLE
0
0
384
AIR PRODS & CHEMS INC
COM
009158106
19
140
SH
SOLE
0
0
140
ARISTA NETWORKS INC
COM
040413106
198
1500
SH
SOLE
0
0
1500
AMAZON COM INC
COM
023135106
133
150
SH
SOLE
0
0
150
TD AMERITRADE HLDG CORP
COM
87236Y108
47
1200
SH
SOLE
0
0
1200
AMERICAN TOWER CORP NEW
COM
03027X100
97
800
SH
SOLE
0
0
800
AMGEN INC
COM
031162100
16
100
SH
SOLE
0
0
100
ALEXION PHARMACEUTICALS
COM
015351109
242
2000
SH
SOLE
0
0
2000
AMEREN CORP
COM
023608102
2
29
SH
SOLE
0
0
29
AUTOMATIC DATA PROCESSIN
COM
053015103
15
142
SH
SOLE
0
0
142
ABBOTT LABS
COM
002824100
65
1453
SH
SOLE
0
0
1453
ABBVIE INC
COM
00287Y109
186
2853
SH
SOLE
0
0
2853
APPLE INC
COM
037833100
145
1012
SH
SOLE
0
0
1012