AdvisorCensus / Financial advisors / Kentucky / Lexington / Dupree & Company, Inc.
Dupree & Company, Inc.
Filed as DUPREE & COMPANY, INC.
Dupree & Company, Inc. is an SEC-registered investment advisory firm in Lexington, KY, registered since 1977, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated February 20, 2026.
Quick answers
From the filingHow is Dupree & Company, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Dupree & Company, Inc. reports these compensation arrangements: a percentage of assets under its management.
Where is Dupree & Company, Inc. located?
Dupree & Company, Inc.'s principal office is in Lexington, KY, according to its Form ADV.
Is Dupree & Company, Inc. registered with the SEC or a state?
Dupree & Company, Inc. is an SEC-registered investment advisory firm, registered since 1977. Status as filed: Approved. CRD 1697.
How much does Dupree & Company, Inc. manage?
Dupree & Company, Inc. reports $888,208,444 in regulatory assets under management in its Form ADV filing dated February 20, 2026 (100% discretionary).
How have Dupree & Company, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Dupree & Company, Inc.: Regulatory assets under management: $1,388,319,446 in the October 2021 data and $888,208,444 in the October 2026 data, down 36%. Total employees: 13 in October 2021 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Dupree & Company, Inc. serve?
By number of clients on Form ADV Item 5.D: investment companies (1).
Does Dupree & Company, Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/1697
What changed in Dupree & Company, Inc.'s recent Form ADV filings?
In the March 2026 filing data: Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Regulatory assets under management
Item 5.F$888,208,444 as of October 2026, filing dated February 20, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for investment companies (and business development companies)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1977 (49 years)
- Employees
- Total: 12. Performing investment advisory functions: 4.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $888,208,444 | 12 | February 20, 2026 |
| October 2025 | $956,478,786 | 12 | March 24, 2025 |
| October 2024 | $1,031,166,310 | 13 | May 28, 2024 |
| October 2023 | $1,100,942,271 | 13 | February 14, 2023 |
| October 2022 | $1,393,114,546 | 13 | February 7, 2022 |
| October 2021 | $1,388,319,446 | 13 | March 8, 2021 |
Regulatory assets under management: $1,388,319,446 in the October 2021 data and $888,208,444 in the October 2026 data, down 36%.
Total employees: 13 in October 2021 and 12 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- March 2026
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Dupree & Company, Inc. (CRD 1697): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/dupree-and-company-inc-lexington-ky-1697