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NEOS INVESTMENTS
Legal name: NEOS INVESTMENT MANAGEMENT, LLC
CRD 321256File 801-126101
APPROVED
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$21.69B
Top 10% of cohort (national)
Discretionary AUM
$21.69B
Clients
19
19 accounts
Employees
35
Top 10% of cohort in CT
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Jul 15, 2022
- Principal office
- 13 RIVERSIDE AVENUE, WESTPORT, CT, 06880
- Phone
- 203-298-7300
- Website
- http://www.neosfunds.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $21.69B
- Discretionary AUM
- $21.69B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 19
- Non-discretionary accounts
- 0
- Total accounts
- 19
- AUM per client
- $1.14B
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 19 | $21.69B |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for investment companies
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 28 | 35 | increased by7 |
| Apr 1, 2026 | Clients | 10 | 19 | increased by9 |
| Apr 1, 2026 | AUM | $5,933,687,499 | $21,687,087,055 | increased by$15,753,399,556 |
| Apr 1, 2026 | Accounts | 10 | 19 | increased by9 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 21 | 28 | increased by7 |
| May 1, 2025 vs Oct 1, 2022 | Registration | APPROVED-120 | APPROVED | |
| May 1, 2025 vs Oct 1, 2022 | Employees | 8 | 21 | increased by13 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $0 | $5,933,687,499 | increased by$5,933,687,499 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 0 | 10 | increased by10 |
| Aug 1, 2022 | Registration | — | APPROVED-120 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “NEOS INVESTMENTS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“NEOS INVESTMENTS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.