# D. Scott Neal, Inc.
Source: https://planprovider.pro/provider/d-scott-neal-inc

> 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…

Retirement Plan Advisor

Lexington, KY

## 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/](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

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