{
  "crd_number": 1697,
  "slug": "dupree-and-company-inc-lexington-ky-1697",
  "primary_business_name": "DUPREE & COMPANY, INC.",
  "legal_name": "DUPREE & COMPANY, INC.",
  "dbas": [],
  "city": "Lexington",
  "state": "KY",
  "country": "United States",
  "cbsa_code": "30460",
  "metro": {
    "cbsa_code": "30460",
    "common_name": "Lexington",
    "msa_name": "Lexington-Fayette, KY",
    "path": "/advisors/ky/lexington"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1977-08-04",
  "years_registered": 49,
  "period": "2026-10-01",
  "filing_date": "2026-02-20",
  "carried_forward": false,
  "raum_total": 888208444.0,
  "raum_discretionary": 888208444.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 12,
  "advisory_employees": 4,
  "client_count_bucket": null,
  "clients_by_type": {
    "investment_companies": {
      "raum": 888208444.0,
      "count": 1
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_investment_companies"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "KY"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/1697",
  "city_as_filed": "LEXINGTON",
  "url": "https://advisorcensus.com/firm/dupree-and-company-inc-lexington-ky-1697",
  "display_name": "Dupree & Company, Inc.",
  "summary": "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.",
  "citation": "AdvisorCensus. Dupree & Company, Inc. (CRD 1697): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)"
  ],
  "quick_answers": [
    {
      "q": "How is Dupree & Company, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Dupree & Company, Inc. reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Dupree & Company, Inc. located?",
      "a": "Dupree & Company, Inc.'s principal office is in Lexington, KY, according to its Form ADV."
    },
    {
      "q": "Is Dupree & Company, Inc. registered with the SEC or a state?",
      "a": "Dupree & Company, Inc. is an SEC-registered investment advisory firm, registered since 1977. Status as filed: Approved. CRD 1697."
    },
    {
      "q": "How much does Dupree & Company, Inc. manage?",
      "a": "Dupree & Company, Inc. reports $888,208,444 in regulatory assets under management in its Form ADV filing dated February 20, 2026 (100% discretionary)."
    },
    {
      "q": "How have Dupree & Company, Inc.'s assets and staff changed since 2021?",
      "a": "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."
    },
    {
      "q": "What types of clients does Dupree & Company, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: investment companies (1)."
    },
    {
      "q": "Does Dupree & Company, Inc. report any disciplinary disclosures?",
      "a": "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"
    },
    {
      "q": "What changed in Dupree & Company, Inc.'s recent Form ADV filings?",
      "a": "In the March 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1388319446.0,
      "total_employees": 13,
      "filing_date": "2021-03-08"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1393114546.0,
      "total_employees": 13,
      "filing_date": "2022-02-07"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1100942271.0,
      "total_employees": 13,
      "filing_date": "2023-02-14"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1031166310.0,
      "total_employees": 13,
      "filing_date": "2024-05-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 956478786.0,
      "total_employees": 12,
      "filing_date": "2025-03-24"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 888208444.0,
      "total_employees": 12,
      "filing_date": "2026-02-20"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/dupree-and-company-inc-lexington-ky-1697.md",
  "clients": [
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 888208444.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/1697",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}