Clients
Neos Investment Management serves 19 clients. The average client has about $1.14 billion with the firm.
- Investment companies19 clients100%
Show client breakdownHide client breakdown
| Client type | Clients | Regulatory AUM | Share | Avg. per client |
|---|---|---|---|---|
| Investment companies | 19 | $21,687,087,055 | 100.0% | $1.14B |
| Total | 19 | $21,687,087,055 | 100% | $1.14B |
- Clients
- 19
- Regulatory AUM
- $21,687,087,055
- Share
- 100.0%
- Avg. per client
- $1.14B
Total
- Clients
- 19
- Regulatory AUM
- $21,687,087,055
- Share
- 100%
- Avg. per client
- $1.14B
What it does
Neos Investment Management provides portfolio management for investment companies. It is paid through a percentage of assets.
Neos Investment Management provided financial planning to 0 clients last fiscal year and advises no private funds.
100.0% of assets ($21.69B across 19 accounts) are managed with discretion. 0% of clients are outside the U.S., and 0 clients received advice without assets under management last fiscal year.
Custodians
Neos Investment Management does not have custody of client assets.
- All other custodians$21.69B100%
Ownership and leadership
Neos Investments LLC owns 75% or more of Neos Investment Management.
- Owns 75% or more of Neos Investment Management, LLC
Neos Investments LLC
Control person · since May 2022
- Owns 25% to 50% of Neos Investments LLC
GKP Holdings II LLC
Control person · since March 2022
- Owns 75% or more of GKP Holdings II LLC
Garrett Paolella
Control person · since March 2021
Leadership
- Robert SheaChief Operating Officer
- Curtis FlippenChief Compliance Officer
- Troy CatesManaging Partner
- Garrett PaolellaManaging Partner
Staff
- 35 employees
- 2 in advisory functions
- 16 broker-dealer reps
Reported holdings
Neos Investment Management’s reported 13F holdings total $27.13B across 578 positions, and the ten largest make up 38.1% of it.
- $27.13B
- Reported 13F value
- 578
- Positions
- 38.1%
- In the 10 largest
- +37.1%
- Value vs. prior quarter
- Nvidia Corporation6.8%
- Apple Inc.5.9%
- Microsoft Corp.3.9%
- Vanguard Scottsdale Fds · Vng Rus2000idx3.8%
- Micron Technology Inc.3.6%
- Amazon Com Inc.3.5%
- Alphabet Inc. · Cap Stk CL A2.9%
- Advanced Micro Devices Inc.2.6%
- Alphabet Inc. · Cap Stk CL C2.6%
- Broadcom Inc.2.5%
Together, the ten largest are 38.1% of reported value.
A 13F covers only exchange-traded long positions the firm holds with discretion, so this $27.13B is not its $21.69B in regulatory assets and does not represent any individual client's portfolio.
Fees
Neos Investment Management is paid through a percentage of assets under management.
Neos Investment Management’s fee rates are not included in this profile. Find its brochure on the SEC’s site.
Offices and registrations
Besides its headquarters, Neos Investment Management has 0 offices, with 1 listed address in 1 state.
Connecticut · 1 listed address
- 13 Riverside Avenue, WestportHQ
Other business names
Neos Investment Management has reported 2 other business names to the SEC.
- Neos Funds
- Neos Investments
Registration details
- Legal name
- Neos Investment Management, LLC
- Headquarters
- 13 Riverside Avenue, Westport, CT 06880
- Phone
- 203-298-7300
- Website
- Not reported
- SEC file
- 801-126101
- Structure
- Delaware LLC
- Fiscal year end
- December
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov
Common questions
How many clients does Neos Investment Management have?
Neos Investment Management has 19 clients and manages $21.7 billion for them, as of March 2026.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does Neos Investment Management offer?
Neos Investment Management provides portfolio management for investment companies.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How many financial advisors does Neos Investment Management have?
Neos Investment Management has 0 investment adviser representatives registered with state securities authorities, out of 35 employees, and 2 perform investment advisory functions. 16 are registered representatives of a broker-dealer and 0 are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
Who owns Neos Investment Management?
Neos Investment Management is owned through a chain of holding companies by Garrett Paolella. Its direct owner is Neos Investments LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does Neos Investment Management get paid?
Neos Investment Management 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