NEOS INVESTMENT MANAGEMENT, LLC
Adviser information for NEOS INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 20 | $1.4B |
| Non-Discretionary | 0 | $0 |
| Total | 20 | $1.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 20 | $1.4B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for businesses or institutional clientsSUB-ADVISORY SERVICES |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-126101 |
|---|---|
| SEC ERA File Number | 801-126101 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 321256 |
| Legal Entity Identifier | 254900HVPSOLYFQMTW05 |
Principal Office
13 RIVERSIDE AVENUEWESTPORT
CT
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 203-298-7300, Fax: None
Chief Compliance Officer
CURTIS FLIPPEN
13 RIVERSIDE AVENUE
WESTPORT
CT
United States
Tel:
732-261-9442
C*******@******************M
(Full email address available in API data)
Regulatory Contact
ROBERT SHEA
CHIEF OPERATING OFFICER/ CHIEF FINANCIAL OFFICER
13 RIVERSIDE AVENUE
WESTPORT
CT
United States
Tel:
203-298-7300
R****@******************M
(Full email address available in API data)
Industry Affiliates
| XO WEALTH MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHEA, ROBERT, EARL | Individual | – | CHIEF OPERATING OFFICER | 05/2022 | < 5% |
| NEOS INVESTMENTS LLC | Domestic Entity | – | SOLE MEMBER | 05/2022 | > 75% |
| PAOLELLA, GARRETT, KEITH | Individual | – | MANAGING PARTNER | 05/2022 | < 5% |
| CATES, TROY, MICHAEL | Individual | – | MANAGING PARTNER | 05/2022 | < 5% |
| GKP HOLDINGS LLC | Domestic Entity | NEOS INVESTMENTS LLC | MEMBER | 03/2022 | 25-50% |
| PAOLELLA, GARRETT, KEITH | Individual | GKP HOLDINGS LLC | MANAGING MEMBER | 03/2021 | > 75% |
| FLIPPEN, CURTIS | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |
| WAVEBRIDGE USA INC. | Domestic Entity | NEOS INVESTMENTS LLC | MEMBER | 09/2023 | 25-50% |