D. Scott Neal, Inc.

D. Scott Neal, Inc. (DSN) is a registered investment adviser established in August 1995, offering financial planning, investment management, and consulting services. DSN emphasizes flexibility and adaptability in investment strategies tailored to clients' goals. Financial planning services cover areas such as estate planning, retirement planning, and portfolio design. Investment management services include discretionary and non-discretionary options, with a focus on client-specific Investment Plans. DSN employs various investment strategies, including Traditional, Select, Market Stability, and Fixed Income Strategies, based on client needs and risk tolerance. Fees for financial planning are negotiable, while investment management fees are based on a percentage of assets under management. DSN does not have performance-based fees. The firm primarily serves individuals, high net worth individuals, pension plans, corporations, trusts, estates, and charitable organizations. DSN's investment analysis methods include technical and fundamental analysis, and the firm uses ETFs, mutual funds, and individual securities in client portfolios. DSN does not have any disciplinary events, and the firm's principal owners are David Scott Neal and Jerome G. Zimmerer. The firm does not receive referral fees and maintains client funds and securities with qualified custodians. DSN may manage client accounts on a discretionary or non-discretionary basis, with clients having the option to limit the terms of the Limited Power of Attorney. The firm generally does not vote proxies for client securities. DSN's financial information indicates no impairments in meeting contractual obligations.