0001144204-16-113464.txt : 20160719
0001144204-16-113464.hdr.sgml : 20160719
20160719095830
ACCESSION NUMBER: 0001144204-16-113464
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160630
FILED AS OF DATE: 20160719
DATE AS OF CHANGE: 20160719
EFFECTIVENESS DATE: 20160719
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: 161772589
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
06-30-2016
06-30-2016
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
07-18-2016
0
186
112851
INFORMATION TABLE
2
infotable.xml
3M CO
COM
88579Y101
26
150
SH
SOLE
0
0
150
ABBOTT LABS
COM
002824100
24
599
SH
SOLE
0
0
599
ABBVIE INC
COM
00287Y109
124
1999
SH
SOLE
0
0
1999
AFLAC INC
COM
001055102
3
44
SH
SOLE
0
0
44
AIR PRODS & CHEMS INC
COM
009158106
20
140
SH
SOLE
0
0
140
ALEXION PHARMACEUTICALS INC
COM
015351109
234
2000
SH
SOLE
0
0
2000
ALPHABET INC
CAP STK CL A
02079K305
7
10
SH
SOLE
0
0
10
ALPHABET INC
CAP STK CL C
02079K107
145
210
SH
SOLE
0
0
210
ALTRIA GROUP INC
COM
02209S103
3
40
SH
SOLE
0
0
40
AMAZON COM INC
COM
023135106
4
5
SH
SOLE
0
0
5
AMERICAN ELEC PWR INC
COM
025537101
1
10
SH
SOLE
0
0
10
AMERICAN TOWER CORP NEW
COM
03027X100
91
800
SH
SOLE
0
0
800
APPLE INC
COM
037833100
14
150
SH
SOLE
0
0
150
APPLIED DNA SCIENCES INC
COM NEW
03815U201
1
384
SH
SOLE
0
0
384
AT&T INC
COM
00206R102
11
251
SH
SOLE
0
0
251
ATLAS RESOURCE PARTNERS LP
COM UNT LTD PR
04941A101
0
200
PRN
SOLE
0
0
200
AUTOMATIC DATA PROCESSING IN
COM
053015103
13
142
SH
SOLE
0
0
142
BANK AMER CORP
COM
060505104
4
311
SH
SOLE
0
0
311
BANK NEW YORK MELLON CORP
COM
064058100
42
1081
SH
SOLE
0
0
1081
BB&T CORP
COM
054937107
248
6977
SH
SOLE
0
0
6977
BCE INC
COM NEW
05534B760
2
39
SH
SOLE
0
0
39
BIOGEN INC
COM
09062X103
24
100
SH
SOLE
0
0
100
BOEING CO
COM
097023105
7
57
SH
SOLE
0
0
57
BOSTON SCIENTIFIC CORP
COM
101137107
28
1200
SH
SOLE
0
0
1200
BP PLC
SPONSORED ADR
055622104
2
48
SH
SOLE
0
0
48
BRISTOL MYERS SQUIBB CO
COM
110122108
10
140
SH
SOLE
0
0
140
BRITISH AMERN TOB PLC
SPONSORED ADR
110448107
3
23
SH
SOLE
0
0
23
CALIFORNIA RES CORP
COM NEW
13057Q206
0
5
SH
SOLE
0
0
5
CARLISLE COS INC
COM
142339100
74
700
SH
SOLE
0
0
700
CATERPILLAR INC DEL
COM
149123101
614
8093
SH
SOLE
0
0
8093
CERNER CORP
COM
156782104
17
288
SH
SOLE
0
0
288
CHEVRON CORP NEW
COM
166764100
43
409
SH
SOLE
0
0
409
CHIPOTLE MEXICAN GRILL INC
COM
169656105
81
200
SH
SOLE
0
0
200
CISCO SYS INC
COM
17275R102
177
6171
SH
SOLE
0
0
6171
COCA COLA CO
COM
191216100
155
3430
SH
SOLE
0
0
3430
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
34
600
SH
SOLE
0
0
600
COLGATE PALMOLIVE CO
COM
194162103
161
2200
SH
SOLE
0
0
2200
COLUMBIA PPTY TR INC
COM NEW
198287203
13
595
SH
SOLE
0
0
595
CONOCOPHILLIPS
COM
20825C104
3
58
SH
SOLE
0
0
58
CONSOLIDATED EDISON INC
COM
209115104
80
1000
SH
SOLE
0
0
1000
CRACKER BARREL OLD CTRY STOR
COM
22410J106
72
418
SH
SOLE
0
0
418
CSX CORP
COM
126408103
0
2
SH
SOLE
0
0
2
CUMMINS INC
COM
231021106
9
80
SH
SOLE
0
0
80
DELTA NAT GAS INC
COM
247748106
143
5325
SH
SOLE
0
0
5325
DIAGEO P L C
SPON ADR NEW
25243Q205
2
22
SH
SOLE
0
0
22
DISH NETWORK CORP
CL A
25470M109
16
300
SH
SOLE
0
0
300
DISNEY WALT CO
COM DISNEY
254687106
72
737
SH
SOLE
0
0
737
DOMINION RES INC VA NEW
COM
25746U109
4
55
SH
SOLE
0
0
55
DOW CHEM CO
COM
260543103
5
107
SH
SOLE
0
0
107
DUKE ENERGY CORP NEW
COM NEW
26441C204
22
252
SH
SOLE
0
0
252
E M C CORP MASS
COM
268648102
8
300
SH
SOLE
0
0
300
EBAY INC
COM
278642103
9
400
SH
SOLE
0
0
400
ELECTRONIC ARTS INC
COM
285512109
11
140
SH
SOLE
0
0
140
EMERSON ELEC CO
COM
291011104
23
441
SH
SOLE
0
0
441
EVERSOURCE ENERGY
COM
30040W108
4
60
SH
SOLE
0
0
60
EXPRESS SCRIPTS HLDG CO
COM
30219G108
152
2000
SH
SOLE
0
0
2000
EXXON MOBIL CORP
COM
30231G102
632
6740
SH
SOLE
0
0
6740
FACEBOOK INC
CL A
30303M102
6
50
SH
SOLE
0
0
50
FIREEYE INC
COM
31816Q101
6
375
SH
SOLE
0
0
375
FIRST TR ABERDEEN GLBL OPP F
COM SHS
337319107
2
207
SH
SOLE
0
0
207
GENERAL ELECTRIC CO
COM
369604103
234
7441
SH
SOLE
0
0
7441
GENERAL MLS INC
COM
370334104
1
17
SH
SOLE
0
0
17
GENERAL MTRS CO
COM
37045V100
1
20
SH
SOLE
0
0
20
GILEAD SCIENCES INC
COM
375558103
68
816
SH
SOLE
0
0
816
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
2
54
SH
SOLE
0
0
54
HCP INC
COM
40414L109
1
24
PRN
SOLE
0
0
24
HOME DEPOT INC
COM
437076102
128
1006
SH
SOLE
0
0
1006
HONEYWELL INTL INC
COM
438516106
27
235
SH
SOLE
0
0
235
ILLINOIS TOOL WKS INC
COM
452308109
3
32
SH
SOLE
0
0
32
INGREDION INC
COM
457187102
14
110
SH
SOLE
0
0
110
INTEL CORP
COM
458140100
163
4969
SH
SOLE
0
0
4969
INTERACTIVE BROKERS GROUP IN
COM
45841N107
35
1000
SH
SOLE
0
0
1000
INTERCONTINENTAL EXCHANGE IN
COM
45866F104
102
400
SH
SOLE
0
0
400
INTERNATIONAL BUSINESS MACHS
COM
459200101
269
1774
SH
SOLE
0
0
1774
INVESCO LTD
SHS
G491BT108
2
72
SH
SOLE
0
0
72
ISHARES TR
20 YR TR BD ETF
464287432
21
150
SH
SOLE
0
0
150
ISHARES TR
1-3 YR TR BD ETF
464287457
444
5200
SH
SOLE
0
0
5200
ISHARES TR
U.S. REAL ES ETF
464287739
6274
76153
SH
SOLE
0
0
76153
ISHARES TR
RUS MID-CAP ETF
464287499
97
575
SH
SOLE
0
0
575
ISHARES TR
RUSSELL 2000 ETF
464287655
6978
60690
SH
SOLE
0
0
60690
ISHARES TR
RUS 1000 GRW ETF
464287614
33
332
SH
SOLE
0
0
332
ISHARES TR
RUS 1000 ETF
464287622
486
4161
SH
SOLE
0
0
4161
ISHARES TR
CORE S&P500 ETF
464287200
1262
5997
SH
SOLE
0
0
5997
ISHARES TR
7-10 Y TR BD ETF
464287440
17732
156987
SH
SOLE
0
0
156987
ISHARES TR
MSCI EAFE ETF
464287465
3079
55152
SH
SOLE
0
0
55152
ISHARES TR
SELECT DIVID ETF
464287168
5414
63489
SH
SOLE
0
0
63489
ISHARES TR
INTERM CR BD ETF
464288638
16079
144517
SH
SOLE
0
0
144517
JOHNSON & JOHNSON
COM
478160104
223
1840
SH
SOLE
0
0
1840
KAYNE ANDERSON ENRGY TTL RT
COM
48660P104
0
20
SH
SOLE
0
0
20
KIMBERLY CLARK CORP
COM
494368103
1
10
SH
SOLE
0
0
10
KRAFT HEINZ CO
COM
500754106
3
31
SH
SOLE
0
0
31
LEXMARK INTL INC
CL A
529771107
56
1476
SH
SOLE
0
0
1476
LINKEDIN CORP
COM CL A
53578A108
38
200
SH
SOLE
0
0
200
MANULIFE FINL CORP
COM
56501R106
21
1538
SH
SOLE
0
0
1538
MAXIMUS INC
COM
577933104
111
2000
SH
SOLE
0
0
2000
MCDONALDS CORP
COM
580135101
56
465
SH
SOLE
0
0
465
MEAD JOHNSON NUTRITION CO
COM
582839106
9
100
SH
SOLE
0
0
100
MEDTRONIC PLC
SHS
G5960L103
4
43
SH
SOLE
0
0
43
MERCK & CO INC
COM
58933Y105
38
666
SH
SOLE
0
0
666
MICROSOFT CORP
COM
594918104
98
1925
SH
SOLE
0
0
1925
NATIONAL GRID PLC
SPON ADR NEW
636274300
2
33
SH
SOLE
0
0
33
NEXTERA ENERGY INC
COM
65339F101
22
170
SH
SOLE
0
0
170
NOODLES & CO
CL A
65540B105
3
350
SH
SOLE
0
0
350
NORDSTROM INC
COM
655664100
1
39
SH
SOLE
0
0
39
NOVARTIS A G
SPONSORED ADR
66987V109
3
31
SH
SOLE
0
0
31
OCCIDENTAL PETE CORP DEL
COM
674599105
11
146
SH
SOLE
0
0
146
OLD NATL BANCORP IND
COM
680033107
6
510
SH
SOLE
0
0
510
OMEGA HEALTHCARE INVS INC
COM
681936100
1
19
PRN
SOLE
0
0
19
ORACLE CORP
COM
68389X105
59
1450
SH
SOLE
0
0
1450
PACIRA PHARMACEUTICALS INC
COM
695127100
7
200
SH
SOLE
0
0
200
PAYPAL HLDGS INC
COM
70450Y103
15
400
SH
SOLE
0
0
400
PEARSON PLC
SPONSORED ADR
705015105
2
144
SH
SOLE
0
0
144
PEPSICO INC
COM
713448108
100
944
SH
SOLE
0
0
944
PFIZER INC
COM
717081103
92
2608
SH
SOLE
0
0
2608
PHILIP MORRIS INTL INC
COM
718172109
3
27
SH
SOLE
0
0
27
PHILLIPS 66
COM
718546104
3
38
SH
SOLE
0
0
38
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
7745
72022
SH
SOLE
0
0
72022
PPL CORP
COM
69351T106
5
145
SH
SOLE
0
0
145
PROCTER & GAMBLE CO
COM
742718109
208
2451
SH
SOLE
0
0
2451
PROSHARES TR
PSHS ULTRUSS2000
74347R842
139
1725
SH
SOLE
0
0
1725
PROSHARES TR
PSHS ULT S&P 500
74347R107
569
8590
SH
SOLE
0
0
8590
PROSHARES TR
PSHS ULTRA QQQ
74347R206
1014
14250
SH
SOLE
0
0
14250
QUALCOMM INC
COM
747525103
2
34
SH
SOLE
0
0
34
RANGE RES CORP
COM
75281A109
8
180
SH
SOLE
0
0
180
REALTY INCOME CORP
COM
756109104
1
13
SH
SOLE
0
0
13
REGENERON PHARMACEUTICALS
COM
75886F107
16
47
SH
SOLE
0
0
47
REYNOLDS AMERICAN INC
COM
761713106
3
54
SH
SOLE
0
0
54
ROYAL DUTCH SHELL PLC
SPON ADR B
780259107
1
24
SH
SOLE
0
0
24
SANOFI
SPONSORED ADR
80105N105
0
11
SH
SOLE
0
0
11
SCHWAB STRATEGIC TR
INTRM TRM TRES
808524854
597
10660
SH
SOLE
0
0
10660
SCHWAB STRATEGIC TR
INTL EQTY ETF
808524805
336
12407
SH
SOLE
0
0
12407
SCHWAB STRATEGIC TR
US BRD MKT ETF
808524102
525
10437
SH
SOLE
0
0
10437
SELECT SECTOR SPDR TR
SBI INT-ENERGY
81369Y506
27
400
SH
SOLE
0
0
400
SIMMONS 1ST NATL CORP
CL A $1 PAR
828730200
29
623
SH
SOLE
0
0
623
SOLARCITY CORP
COM
83416T100
57
2395
SH
SOLE
0
0
2395
SOUTHERN CO
COM
842587107
2
34
SH
SOLE
0
0
34
SPDR GOLD TRUST
GOLD SHS
78463V107
11
90
SH
SOLE
0
0
90
SPDR S&P 500 ETF TR
TR UNIT
78462F103
13909
66398
SH
SOLE
0
0
66398
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
7556
27757
SH
SOLE
0
0
27757
SPDR SERIES TRUST
S&P BIOTECH
78464A870
54
1000
SH
SOLE
0
0
1000
SPDR SERIES TRUST
BARC SHT TR CP
78464A474
792
25730
SH
SOLE
0
0
25730
SPLUNK INC
COM
848637104
148
2740
SH
SOLE
0
0
2740
STANLEY BLACK & DECKER INC
COM
854502101
4
32
SH
SOLE
0
0
32
STARBUCKS CORP
COM
855244109
86
1500
SH
SOLE
0
0
1500
STARWOOD PPTY TR INC
COM
85571B105
4
195
PRN
SOLE
0
0
195
STRATASYS LTD
SHS
M85548101
3
150
SH
SOLE
0
0
150
SYMANTEC CORP
COM
871503108
2
112
SH
SOLE
0
0
112
TALEN ENERGY CORP
COM
87422J105
0
13
SH
SOLE
0
0
13
TD AMERITRADE HLDG CORP
COM
87236Y108
34
1200
SH
SOLE
0
0
1200
TEMPUR SEALY INTL INC
COM
88023U101
11
200
SH
SOLE
0
0
200
TESLA MTRS INC
COM
88160R101
121
570
SH
SOLE
0
0
570
TEXAS INSTRS INC
COM
882508104
21
328
SH
SOLE
0
0
328
TRAVELERS COMPANIES INC
COM
89417E109
3
29
SH
SOLE
0
0
29
UGI CORP NEW
COM
902681105
175
3876
SH
SOLE
0
0
3876
UNDER ARMOUR INC
CL A
904311107
40
1000
SH
SOLE
0
0
1000
UNILEVER PLC
SPON ADR NEW
904767704
4
91
SH
SOLE
0
0
91
UNION PAC CORP
COM
907818108
2
27
SH
SOLE
0
0
27
UNITED PARCEL SERVICE INC
CL B
911312106
7
62
SH
SOLE
0
0
62
UNITED TECHNOLOGIES CORP
COM
913017109
2
24
SH
SOLE
0
0
24
US BANCORP DEL
COM NEW
902973304
306
7590
SH
SOLE
0
0
7590
V F CORP
COM
918204108
3
44
SH
SOLE
0
0
44
VALMONT INDS INC
COM
920253101
34
250
SH
SOLE
0
0
250
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
14
169
SH
SOLE
0
0
169
VANGUARD BD INDEX FD INC
INTERMED TERM
921937819
122
1389
SH
SOLE
0
0
1389
VANGUARD INDEX FDS
REIT ETF
922908553
11800
133074
SH
SOLE
0
0
133074
VANGUARD INDEX FDS
SML CP GRW ETF
922908595
109
882
SH
SOLE
0
0
882
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
274
6399
SH
SOLE
0
0
6399
VANGUARD SCOTTSDALE FDS
VNG RUS1000GRW
92206C680
33
320
SH
SOLE
0
0
320
VANGUARD SCOTTSDALE FDS
INT-TERM GOV
92206C706
529
7876
SH
SOLE
0
0
7876
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
1312
16233
SH
SOLE
0
0
16233
VECTREN CORP
COM
92240G101
23
445
SH
SOLE
0
0
445
VENTAS INC
COM
92276F100
1
15
SH
SOLE
0
0
15
VERIZON COMMUNICATIONS INC
COM
92343V104
2
41
SH
SOLE
0
0
41
VODAFONE GROUP PLC NEW
SPNSR ADR
92857W308
1
46
SH
SOLE
0
0
46
VOYA GLBL EQTY DIV & PREM OP
COM
92912T100
1
159
SH
SOLE
0
0
159
W P CAREY INC
COM
92936U109
153
2200
SH
SOLE
0
0
2200
WALGREENS BOOTS ALLIANCE INC
COM
931427108
11
138
SH
SOLE
0
0
138
WAL-MART STORES INC
COM
931142103
78
1072
SH
SOLE
0
0
1072
WEB COM GROUP INC
COM
94733A104
8
413
SH
SOLE
0
0
413
WELLS FARGO & CO NEW
COM
949746101
8
177
SH
SOLE
0
0
177
WELLTOWER INC
COM
95040Q104
1
14
SH
SOLE
0
0
14
YUM BRANDS INC
COM
988498101
9
110
SH
SOLE
0
0
110
ZILLOW GROUP INC
CL A
98954M101
5
150
SH
SOLE
0
0
150
ZILLOW GROUP INC
CL C CAP STK
98954M200
53
1450
SH
SOLE
0
0
1450
ZIMMER BIOMET HLDGS INC
COM
98956P102
4
33
SH
SOLE
0
0
33
ZOETIS INC
CL A
98978V103
6
119
SH
SOLE
0
0
119