NEON MONEY IA, LLC
Adviser information for NEON MONEY IA, LLC last updated from Form ADV on March 15th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| 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 | 0 | $0 |
| Non-Discretionary | 0 | $0 |
| Total | 0 | $0 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 699 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| 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 | 699 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-128822 |
|---|---|
| SEC ERA File Number | 801-128822 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 327699 |
| Legal Entity Identifier | None |
Principal Office
239 JASMINE STTAVERNIER
FL
United States
Monday - Friday, 9-6
Tel: 305-413-1420, Fax: N/A
Chief Compliance Officer
SAMANTHA CRYSTAL SANTIAGO-PAEZ
CHIEF EXECUTIVE OFFICER
239 JASMINE ST
TAVERNIER
FL
United States
Tel:
305-413-1420
Fax:
N/A
S**@****************M
(Full email address available in API data)
Regulatory Contact
LUKE JOSEPH BAILEY
MANAGING PARTNER
4220 27TH ST.
#416
LONG ISLAND CITY
NY
United States
Tel:
212-658-0041
Fax:
N/A
L***@****************M
(Full email address available in API data)
Industry Affiliates
| NEON MONEY, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NEON MONEY INCORPORATED | Domestic Entity | – | OWNER | 06/2023 | > 75% |
| Santiago-Paez, Samantha, Crystal | Individual | – | CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |
| Bailey, Luke, Joseph | Individual | NEON MONEY INCORPORATED | MANAGING PARTNER | 06/2023 | 25-50% |
| Liao, Jackie, NMN | Individual | NEON MONEY INCORPORATED | MANAGING PARTNER | 06/2023 | 25-50% |