Form 13F-HR D. SCOTT NEAL, INC. For: Dec 31
FREE Breaking News Alerts from StreetInsider.com!
StreetInsider.com Top Tickers, 4/25/2024
January 21, 2022 12:51 PM EST
The Securities and Exchange Commission has not necessarily reviewed
the information in this filing and has not determined if it is
accurate and complete.
The reader should not assume that the information is accurate
and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: |
12-31-2021 |
| Check here if Amendment |
|
Amendment Number: |
|
| This Amendment (Check only one.): |
|
is a restatement. |
|
|
adds new holdings entries. |
| Institutional Investment Manager Filing
this Report: |
| Name: |
D. SCOTT NEAL, INC. |
| Address: |
P.O. BOX 2010 |
|
|
|
LEXINGTON
,
KY40588
|
| Form 13F File Number: |
028-15681 |
The institutional investment manager filing this report and
the person by whom it is signed hereby represent that the person
signing the report is authorized to submit it, that all information
contained herein is true, correct and complete, and that it is
understood that all required items, statements, schedules, lists, and
tables, are considered integral parts of this form.
| Person Signing this Report on Behalf of
Reporting Manager: |
| Name: |
Jerry Zimmerer |
| Title: |
CPA CFP |
| Phone: |
502-459-7199 |
| Signature, Place, and Date of Signing: |
| /s/ Jerry Zimmerer |
Louisville
,
KY
|
01-21-2022 |
| [Signature] |
[City, State] |
[Date] |
|
| Report Type (Check only one.): |
| X |
13F HOLDINGS REPORT. (Check here if all holdings of
this reporting manager are reported in this report.) |
|
|
13F NOTICE. (Check here if no holdings reported are in
this report, and all holdings are reported by other reporting
manager(s).) |
|
|
13F COMBINATION REPORT. (Check here if a portion of
the holdings for this reporting manager are reported in this
report and a portion are reported by other reporting manager(s).) |
| Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included
Managers: |
0 |
|
|
|
Form 13F Information Table Entry Total: |
58 |
|
Form 13F Information Table Value Total: |
265,291 |
|
(thousands) |
|
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
|
|
|
Form 13F File Number |
Name |
| List of Other Included
Managers: |
|
Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this
report is filed, other than the
manager filing this report.
|
|
[If there are no entries in this list, state “NONE” and omit the
column headings and list entries.]
|
|
No. |
Form 13F File Number |
Name |
The Securities and Exchange Commission has not necessarily
reviewed the information in this filing and has not determined
if it is accurate and complete.
The reader should not assume that the information is
accurate and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F INFORMATION TABLE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average
burden |
| hours per response:
|
23.8 |
|
|
| COLUMN 1 |
COLUMN 2 |
COLUMN 3 |
COLUMN 4 |
COLUMN 5 |
COLUMN 6 |
COLUMN 7 |
COLUMN 8 |
|
|
|
VALUE |
SHRS OR |
SH/ |
PUT/ |
INVESTMENT |
OTHER |
VOTING AUTHORITY |
| NAME OF ISSUER |
TITLE OF CLASS |
CUSIP |
(x$1000) |
PRN AMT |
PRN |
CALL |
DISCRETION |
MANAGER |
SOLE |
SHARED |
NONE |
| VANGUARD MALVERN FDS |
STRM INFPROIDX |
922020805 |
81,769 |
1,590,838 |
SH |
|
SOLE |
|
0 |
0 |
1,590,838 |
| INVESCO QQQ TR |
UNIT SER 1 |
46090E103 |
44,726 |
112,418 |
SH |
|
SOLE |
|
0 |
0 |
112,418 |
| VANGUARD INDEX FDS |
MCAP GR IDXVIP |
922908538 |
13,690 |
53,766 |
SH |
|
SOLE |
|
0 |
0 |
53,766 |
| INVESCO EXCH TRADED FD TR II |
S&P 500 HB ETF |
46138E370 |
12,938 |
163,737 |
SH |
|
SOLE |
|
0 |
0 |
163,737 |
| SPDR SER TR |
PRTFLO S&P500 GW |
78464A409 |
12,015 |
165,790 |
SH |
|
SOLE |
|
0 |
0 |
165,790 |
| ISHARES TR |
CORE S&P500 ETF |
464287200 |
10,778 |
22,597 |
SH |
|
SOLE |
|
0 |
0 |
22,597 |
| REKOR SYSTEMS INC |
COM |
759419104 |
10,552 |
1,610,920 |
SH |
|
SOLE |
|
0 |
0 |
1,610,920 |
| SELECT SECTOR SPDR TR |
SBI HEALTHCARE |
81369Y209 |
9,849 |
69,905 |
SH |
|
SOLE |
|
0 |
0 |
69,905 |
| SELECT SECTOR SPDR TR |
SBI CONS STPLS |
81369Y308 |
9,527 |
123,547 |
SH |
|
SOLE |
|
0 |
0 |
123,547 |
| SPDR S&P MIDCAP 400 ETF TR |
UTSER1 S&PDCRP |
78467Y107 |
9,247 |
17,863 |
SH |
|
SOLE |
|
0 |
0 |
17,863 |
| SELECT SECTOR SPDR TR |
RL EST SEL SEC |
81369Y860 |
7,076 |
136,585 |
SH |
|
SOLE |
|
0 |
0 |
136,585 |
| INVESCO ACTIVLY MANGD ETC FD |
OPTIMUM YIELD |
46090F100 |
5,834 |
414,918 |
SH |
|
SOLE |
|
0 |
0 |
414,918 |
| SPDR SER TR |
S&P 400 MDCP VAL |
78464A839 |
3,950 |
55,557 |
SH |
|
SOLE |
|
0 |
0 |
55,557 |
| MICROSOFT CORP |
COM |
594918104 |
3,370 |
10,020 |
SH |
|
SOLE |
|
0 |
0 |
10,020 |
| PROSHARES TR |
PSHS ULTRA QQQ |
74347R206 |
2,393 |
26,881 |
SH |
|
SOLE |
|
0 |
0 |
26,881 |
| ISHARES TR |
SP SMCP600VL ETF |
464287879 |
2,325 |
22,251 |
SH |
|
SOLE |
|
0 |
0 |
22,251 |
| SPDR SER TR |
PORTFOLI S&P1500 |
78464A805 |
1,929 |
33,009 |
SH |
|
SOLE |
|
0 |
0 |
33,009 |
| PROSHARES TR |
PSHS ULT S&P 500 |
74347R107 |
1,769 |
12,088 |
SH |
|
SOLE |
|
0 |
0 |
12,088 |
| CATERPILLAR INC |
COM |
149123101 |
1,584 |
7,661 |
SH |
|
SOLE |
|
0 |
0 |
7,661 |
| SCHWAB STRATEGIC TR |
US BRD MKT ETF |
808524102 |
1,417 |
12,536 |
SH |
|
SOLE |
|
0 |
0 |
12,536 |
| BERKSHIRE HATHAWAY INC DEL |
CL B NEW |
084670702 |
1,324 |
4,430 |
SH |
|
SOLE |
|
0 |
0 |
4,430 |
| REPUBLIC BANCORP INC KY |
CL A |
760281204 |
1,068 |
21,000 |
SH |
|
SOLE |
|
0 |
0 |
21,000 |
| AT&T INC |
COM |
00206R102 |
935 |
38,002 |
SH |
|
SOLE |
|
0 |
0 |
38,002 |
| ISHARES TR |
ISHS 5-10YR INVT |
464288638 |
797 |
13,451 |
SH |
|
SOLE |
|
0 |
0 |
13,451 |
| AMAZON COM INC |
COM |
023135106 |
787 |
236 |
SH |
|
SOLE |
|
0 |
0 |
236 |
| APPLE INC |
COM |
037833100 |
761 |
4,287 |
SH |
|
SOLE |
|
0 |
0 |
4,287 |
| PFIZER INC |
COM |
717081103 |
726 |
12,297 |
SH |
|
SOLE |
|
0 |
0 |
12,297 |
| HOME DEPOT INC |
COM |
437076102 |
715 |
1,724 |
SH |
|
SOLE |
|
0 |
0 |
1,724 |
| ISHARES TR |
RUS MID CAP ETF |
464287499 |
646 |
7,778 |
SH |
|
SOLE |
|
0 |
0 |
7,778 |
| LOWES COS INC |
COM |
548661107 |
644 |
2,491 |
SH |
|
SOLE |
|
0 |
0 |
2,491 |
| JOHNSON & JOHNSON |
COM |
478160104 |
602 |
3,518 |
SH |
|
SOLE |
|
0 |
0 |
3,518 |
| NIKE INC |
CL B |
654106103 |
531 |
3,185 |
SH |
|
SOLE |
|
0 |
0 |
3,185 |
| NVIDIA CORPORATION |
COM |
67066G104 |
516 |
1,755 |
SH |
|
SOLE |
|
0 |
0 |
1,755 |
| ABBOTT LABS |
COM |
002824100 |
488 |
3,466 |
SH |
|
SOLE |
|
0 |
0 |
3,466 |
| ALPHABET INC |
CAP STK CL C |
02079K107 |
472 |
163 |
SH |
|
SOLE |
|
0 |
0 |
163 |
| TRUIST FINL CORP |
COM |
89832Q109 |
472 |
8,064 |
SH |
|
SOLE |
|
0 |
0 |
8,064 |
| REGIONS FINANCIAL CORP NEW |
COM |
7591EP100 |
467 |
21,434 |
SH |
|
SOLE |
|
0 |
0 |
21,434 |
| PROCTER AND GAMBLE CO |
COM |
742718109 |
462 |
2,825 |
SH |
|
SOLE |
|
0 |
0 |
2,825 |
| GLAXOSMITHKLINE PLC |
SPONSORED ADR |
37733W105 |
430 |
9,741 |
SH |
|
SOLE |
|
0 |
0 |
9,741 |
| KRANESHARES TR |
QUADRTC INT RT |
500767736 |
424 |
15,775 |
SH |
|
SOLE |
|
0 |
0 |
15,775 |
| ISHARES TR |
RUSSELL 2000 ETF |
464287655 |
414 |
1,860 |
SH |
|
SOLE |
|
0 |
0 |
1,860 |
| VISA INC |
COM CL A |
92826C839 |
398 |
1,838 |
SH |
|
SOLE |
|
0 |
0 |
1,838 |
| INVESCO EXCHANGE TRADED FD T |
S&P500 EQL WGT |
46137V357 |
390 |
2,397 |
SH |
|
SOLE |
|
0 |
0 |
2,397 |
| ABBVIE INC |
COM |
00287Y109 |
386 |
2,848 |
SH |
|
SOLE |
|
0 |
0 |
2,848 |
| VANGUARD INDEX FDS |
S&P 500 ETF SHS |
922908363 |
377 |
863 |
SH |
|
SOLE |
|
0 |
0 |
863 |
| INTERNATIONAL BUSINESS MACHS |
COM |
459200101 |
371 |
2,773 |
SH |
|
SOLE |
|
0 |
0 |
2,773 |
| ISHARES TR |
SELECT DIVID ETF |
464287168 |
327 |
2,667 |
SH |
|
SOLE |
|
0 |
0 |
2,667 |
| WALMART INC |
COM |
931142103 |
312 |
2,157 |
SH |
|
SOLE |
|
0 |
0 |
2,157 |
| EMPIRE ST RLTY OP L P |
UNIT LTD PRTNSP |
292102100 |
302 |
34,000 |
SH |
|
SOLE |
|
0 |
0 |
34,000 |
| QUALCOMM INC |
COM |
747525103 |
302 |
1,651 |
SH |
|
SOLE |
|
0 |
0 |
1,651 |
| ISHARES TR |
1 3 YR TREAS BD |
464287457 |
292 |
3,414 |
SH |
|
SOLE |
|
0 |
0 |
3,414 |
| SPDR S&P 500 ETF TR |
TR UNIT |
78462F103 |
265 |
557 |
SH |
|
SOLE |
|
0 |
0 |
557 |
| ISHARES TR |
20 YR TR BD ETF |
464287432 |
257 |
1,736 |
SH |
|
SOLE |
|
0 |
0 |
1,736 |
| MCDONALDS CORP |
COM |
580135101 |
244 |
910 |
SH |
|
SOLE |
|
0 |
0 |
910 |
| ISHARES TR |
IBOXX INV CP ETF |
464287242 |
234 |
1,763 |
SH |
|
SOLE |
|
0 |
0 |
1,763 |
| EXXON MOBIL CORP |
COM |
30231G102 |
211 |
3,442 |
SH |
|
SOLE |
|
0 |
0 |
3,442 |
| WP CAREY INC |
COM |
92936U109 |
204 |
2,490 |
SH |
|
SOLE |
|
0 |
0 |
2,490 |
Tweet
Share
E-mail
