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Richard Laurence Coles

D. SCOTT NEAL, INC.·LEXINGTON, Kentucky
20 years registeredD. SCOTT NEAL, INC.
3292 EAGLE VIEW LANE, LEXINGTON, KY 40509CRD# 5097781Firm CRD# 110975

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Richard Laurence Coles · LEXINGTON, KY
Registration
CRD #5097781 · D. SCOTT NEAL, INC. · 20 years registered
Brand Profile
Not yet started
01

Career History

MERCER GLOBAL ADVISORS INC.
Apr 2025 – present
D. SCOTT NEAL, INC.
May 2006 – Nov 2025
LEXINGTON, KY
02

Registrations & Exams

Registration record
First registered · May 10, 2006
Years registered · 20
03

Disclosure History

2004Customer Dispute·Award / Judgment

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
D. SCOTT NEAL, INC.
CRD 110975 · SEC 801-60070
AUM
$304M
Regulatory assets under management
Employees
10
1,333 client accounts
Services offered by D. SCOTT NEAL, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Charitable organization or education services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
Nonprofits & Foundations
View all advisors at D. SCOTT NEAL, INC. →
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05

Frequently Asked Questions

What services does Richard Laurence Coles offer?
Richard Laurence Coles specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LEXINGTON, Kentucky for a consultation.
What are Richard Laurence Coles's credentials?
Richard Laurence Coles is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Richard Laurence Coles located?
Richard Laurence Coles is based in LEXINGTON, Kentucky, working with D. SCOTT NEAL, INC.. Their office serves clients in the LEXINGTON metropolitan area and surrounding communities.
How does Richard Laurence Coles charge for services?
Richard Laurence Coles's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is D. SCOTT NEAL, INC.?
D. SCOTT NEAL, INC. has approximately 10 employees and manages $304M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at D. SCOTT NEAL, INC.

David Scott Neal
LEXINGTON, KY
Jerome George Zimmerer
LEXINGTON, KY

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Research
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