Neos Investments

RIASEC RegisteredEst. 2022

Total AUM

$21.7B

Discretionary

$21.7B

100% of AUM

Avg account

$1.1B

Accounts

19

Employees

35

Advisory reps

4

Firm details

Headquarters: Westport, Connecticut
CRD number: 321256
Registered since: July 15, 2022
Website: neosfunds.com
Fee structure: Percentage of AUM
Client types: Investment Companies100%
Services: Portfolio Management for Investment Companies

Firm profile

FINTRX

Overview

Neos Investments is organized as a limited liability company and is registered with the SEC (registration year 2022). The firm identifies as an institutional registered investment adviser that serves institutional clients and charges fees as a percentage of assets under management. Its stated advisory activity is portfolio management for investment companies. The firm does not present itself as an active ESG investor, is not a multi-state adviser, and is not classified as a capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Owners & executives

2 of 2

Curtis Flippen
Chief Compliance OfficerCRD 3269185
Robert Shea
Chief Operating Officer & Chief Financial OfficerCRD 2570266

Contacts

2 of 2

Garrett Paolella
Co-Founder and Managing PartnerCRD 5348547
Troy Cates
Co-Founder & Managing PartnerCRD 3105780

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 13

Active vs passive

$2.1B in ETFs

Passive

99%

$2.1B

Active

0%

$14.9M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
VANGUARD RUSSELL 2000 INDEX FUND (VTWO)	Vanguard	Passive	Small Blend	$1B	8,513,553	48.43%

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Primary office

Westport, CT

Fairfield

Location

Westport, CT

Headquartered in Westport, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: Fairfield
Address: 13 Riverside Ave
Time zone: ET (UTC-5)
Office locations

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