About D. Scott Neal, Inc.
<p>Known in central Kentucky for its mutual fund upgrading strategy, D. Scott Neal, Inc. works with individuals and families on long-term planning and portfolio management.</p> <p>Founded in 1995 by Scott Neal, the firm has a team of 12 professionals and operates as a tradename of Mercer Global Advisors Inc. Headquartered in Lexington with an office in Louisville, it serves clients across the Louisville–Lexington corridor and into the Kentucky–Ohio region.</p> <p>D. Scott Neal, Inc. provides broad-based financial planning and investment management, including support around major life transitions such as higher education planning, retirement, new career launches, and legacy planning. The firm reports $0.4B in AUM as of 2026.</p> <p>As fiduciaries, the team follows a client-first approach built on prudence, full disclosure, and transparent handling of conflicts of interest. The firm also offers 3(21) fiduciary support and works alongside other <a href="/retirement-plans">retirement plan providers</a> as needed.</p> <ul> <li>3(21) fiduciary services</li> <li>Financial planning for education, retirement, and career changes</li> <li>Investment management</li> <li>Estate and legacy planning coordination</li> </ul>
Website: https://dsneal.com/
Founded: 1995
Office Locations
- Louisville, KY
- Lexington, KY (Headquarters)
Services Offered
- 3(21) Investment Advisor
Client Statistics (2026)
- Total Clients: 0
- Total AUM: $380.0M
Team Members
- Scott Neal, President / Sr. Advisor
- Casey Dever, Firm Administrator
- Jerry Zimmer, Vice President, Chief Compliance Officer Sr. Advisor
- Richard Coles, Sr. Advisor
- Chris Saccomanno, Support Advisor
- Mike Reich, Coordinator of Financial Planning
- John Vinci, Trader/Analyst
- Rachel Gandham, Chief Liaison between clients and custodians