# EDGAR Filing Document

**Accession Number:** 0001596920
**File Stem:** 0001596920-23-000002
**Filing Date:** 2023-1
**Character Count:** 10013
**Document Hash:** cb4ccd59daab32edee4318b47bf12633
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001596920-23-000002.hdr.sgml**: 20230111

**ACCESSION NUMBER**: 0001596920-23-000002

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230111

**DATE AS OF CHANGE**: 20230111

**EFFECTIVENESS DATE**: 20230111

**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:** 23524074

**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

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**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.<br>**Address:** P.O. BOX 2010<br>LEXINGTON, KY 40588

**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<br>**Title:** CPA CFP<br>**Phone:** 502-459-7199

**Signature, Place, and Date of Signing:**

/s/ Jerry Zimmerer  Louisville, KY  01-11-2023<br>[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 are reported 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:** 59

**Form 13F Information Table Value Total:** $205971856

      (round to nearest dollar)

**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.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| PROSHARES TR | SHORT QQQ NEW | 74347B714 |  | 77157530 | 5241680 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 5241680 |
| INVESCO ACTVELY MNGD ETC FD | OPTIMUM YIELD | 46090F100 |  | 11234818 | 760137 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 760137 |
| ALPHA METALLURGICAL RESOUR I | COM | 020764106 |  | 10490712 | 71659 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 71659 |
| ABBVIE INC | COM | 00287Y109 |  | 10052602 | 62203 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 62203 |
| ISHARES TR | US CONSM STAPLES | 464287812 |  | 9209201 | 45415 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 45415 |
| TEUCRIUM COMMODITY TR | CORN FD SHS | 88166A102 |  | 8315661 | 308788 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 308788 |
| PROSHARES TR | SHRT 20+YR TRE | 74347X849 |  | 8073526 | 355976 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 355976 |
| ENPHASE ENERGY INC | COM | 29355A107 |  | 7514266 | 28360 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 28360 |
| BJS WHSL CLUB HLDGS INC | COM | 05550J101 |  | 7430033 | 112304 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 112304 |
| SPDR GOLD TR | GOLD SHS | 78463V107 |  | 6393053 | 37686 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 37686 |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 |  | 5623886 | 79771 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 79771 |
| VANGUARD MALVERN FDS | STRM INFPROIDX | 922020805 |  | 5112363 | 109449 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 109449 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 |  | 5104854 | 19171 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 19171 |
| INVESCO EXCH TRADED FD TR II | S 500 HB ETF | 46138E370 |  | 3842084 | 61641 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 61641 |
| SPDR SER TR | S 400 MDCP VAL | 78464A839 |  | 2928580 | 45250 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 45250 |
| MICROSOFT CORP | COM | 594918104 |  | 2014171 | 8399 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 8399 |
| REKOR SYSTEMS INC | COM | 759419104 |  | 1933104 | 1610920 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 1610920 |
| CATERPILLAR INC | COM | 149123101 |  | 1811313 | 7561 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 7561 |
| ISHARES TR | SP SMCP600VL ETF | 464287879 |  | 1746486 | 19127 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 19127 |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 81369Y860 |  | 1196994 | 32413 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 32413 |
| PROSHARES TR | PSHS ULT S 500 | 74347R107 |  | 1071423 | 24104 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 24104 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 895810 | 2900 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 2900 |
| APPLE INC | COM | 037833100 |  | 894568 | 6885 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 6885 |
| PROSHARES TR | PSHS ULTRA QQQ | 74347R206 |  | 879189 | 25091 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 25091 |
| REPUBLIC BANCORP INC KY | CL A | 760281204 |  | 859320 | 21000 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 21000 |
| PFIZER INC | COM | 717081103 |  | 804622 | 15703 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 15703 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 772250 | 2500 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 2500 |
| HOME DEPOT INC | COM | 437076102 |  | 742903 | 2352 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 2352 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 728151 | 4122 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 4122 |
| AT INC | COM | 00206R102 |  | 713719 | 38768 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 38768 |
| ISHARES TR | CORE S ETF | 464287200 |  | 693499 | 1805 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 1805 |
| NIKE INC | CL B | 654106103 |  | 548192 | 4685 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 4685 |
| VISA INC | COM CL A | 92826C839 |  | 534982 | 2575 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 2575 |
| ISHARES TR | RUS MID CAP ETF | 464287499 |  | 522738 | 7750 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 7750 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 520457 | 3434 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 3434 |
| LOWES COS INC | COM | 548661107 |  | 508660 | 2553 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 2553 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 502637 | 4557 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 4557 |
| MASTERCARD INCORPORATED | CL A | 57636Q104 |  | 469436 | 1350 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 1350 |
| REGIONS FINANCIAL CORP NEW | COM | 7591EP100 |  | 462117 | 21434 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 21434 |
| VANGUARD INDEX FDS | S 500 ETF SHS | 922908363 |  | 382258 | 1088 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 1088 |
| KRANESHARES TR | QUADRTC INT RT | 500767736 |  | 356673 | 15775 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 15775 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 |  | 351380 | 2494 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 2494 |
| ISHARES TR | ESG AWR US AGRGT | 46435U549 |  | 349522 | 7478 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 7478 |
| SPDR S MIDCAP 400 ETF TR | UTSER1 S | 78467Y107 |  | 345376 | 780 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 780 |
| INVESCO EXCHANGE TRADED FD T | S EQL WGT | 46137V357 |  | 338576 | 2397 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 2397 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 |  | 324310 | 1860 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 1860 |
| ISHARES TR | SELECT DIVID ETF | 464287168 |  | 321640 | 2667 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 2667 |
| ALTRIA GROUP INC | COM | 02209S103 |  | 319970 | 7000 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 7000 |
| ABBOTT LABS | COM | 002824100 |  | 318611 | 2902 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 2902 |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 78467X109 |  | 292564 | 883 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 883 |
| GSK PLC | SPONSORED ADR | 37733W204 |  | 278590 | 7928 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 7928 |
| HONEYWELL INTL INC | COM | 438516106 |  | 275376 | 1285 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 1285 |
| NVIDIA CORPORATION | COM | 67066G104 |  | 255891 | 1751 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 1751 |
| MERCK  CO INC | COM | 58933Y105 |  | 254852 | 2297 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 2297 |
| AMAZON COM INC | COM | 023135106 |  | 235284 | 2801 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 2801 |
| EMPIRE ST RLTY OP L P | UNIT LTD PRTNSP | 292102100 |  | 222020 | 34000 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 34000 |
| NOVO-NORDISK A S | ADR | 670100205 |  | 220334 | 1628 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 1628 |
| NORTHERN LTS FD TR IV | INSPIRE SML/ MID | 66538H641 |  | 218719 | 7264 | SH |  | SOLE | D. Scott Neal | 0 | 0 | 7264 |

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