{"url":"https://nivawealth.com/firms/dupree-and-company-1697","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/1697","regulatoryAum":888208444,"crd":"1697","history":[{"filedOn":"2021-03-08","regulatoryAum":1388319446,"clients":1,"employees":13,"offices":1},{"filedOn":"2022-02-07","regulatoryAum":1393114546,"clients":1,"employees":13,"offices":1},{"filedOn":"2023-02-14","regulatoryAum":1100942271,"clients":1,"employees":13,"offices":1},{"filedOn":"2024-05-28","regulatoryAum":1031166310,"clients":1,"employees":13,"offices":1},{"filedOn":"2025-03-24","regulatoryAum":956478786,"clients":1,"employees":12,"offices":1},{"filedOn":"2026-02-20","regulatoryAum":888208444,"clients":1,"employees":12,"offices":1}],"secFileNumber":"801-13157","legalName":"Dupree & Company, Inc.","displayName":"Dupree & Company","slug":"dupree-and-company-1697","website":null,"classification":{"segment":"registered_funds","segmentLabel":"Fund management","type":"fund_manager","typeLabel":"Mutual funds & ETFs","feeDisclosure":"payment_only"},"founded":null,"organization":"Kentucky corporation","fiscalYearEnd":"December","headquarters":{"street":"125 South Mill St Ste 100","city":"Lexington","state":"KY","stateName":"Kentucky","country":"United States","postalCode":"40507"},"tradeNames":[],"registration":{"secApproved":"4 August 1977","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":12,"advisory":4,"brokerDealerReps":8,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":888208444,"discretionary":888208444,"discretionaryAccounts":1,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Investment companies","clients":1,"regulatoryAum":888208444}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Dupree & Company does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Allen Evans MR. Grimes","title":"Chief Executive Officer, Chief Compliance Officer, Chief Legal Officer, Financial Principal, Shareholder, Director","crd":"4890647"},{"name":"Huston Barrow Combs","title":"Vice President","crd":"2918837"},{"name":"Michelle Marie Dragoo","title":"Vice President, Secretary, Treasurer","crd":"1637435"},{"name":"Vincent Henry Harrison","title":"Vice President","crd":"2469232"},{"name":"Lamar Dupree Grimes","title":"Shareholder, Director","crd":"1741495"}],"ownership":[{"label":"Lamar Dupree Grimes","detail":"Shareholder, director in the 75% or more ownership band and a control person, since April 2014."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Kentucky","offices":1,"addresses":[{"street":"125 South Mill St Ste 100","city":"Lexington","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"859-254-7741","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"20 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/1697/PDF/1697.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Dupree & Company have?","answer":"Dupree & Company has 1 client and manages $888 million for them, as of February 2026. They include 1 investment company.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Dupree & Company offer?","answer":"Dupree & Company provides portfolio management for investment companies.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Dupree & Company have?","answer":"Dupree & Company has 0 investment adviser representatives registered with state securities authorities, out of 12 employees, and 4 perform investment advisory functions. 8 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Dupree & Company?","answer":"Dupree & Company’s direct owner is Lamar Dupree Grimes (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 20 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Dupree & Company get paid?","answer":"Dupree & Company is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Dupree & Company?","answer":"Dupree & Company’s main office is at 125 South Mill St Ste 100, Lexington, KY 40507. Its phone number is 859-254-7741.","source":"Form ADV Part 1A, Item 1.F, filed 20 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}