NEOS INVESTMENT MANAGEMENT, LLC
Legal name: NEOS INVESTMENTS
CRD #321256 SEC #801-126101 WESTPORT, CT 203-298-7300
SEC Registered
Total AUM
$5.9B
Discretionary
$5.9B
Employees
28
Clients
0
Accounts
10
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 25, 2025
- Branch Offices
- 0
- LEI
- 254900HVPSOLYFQMTW05
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CATES, TROY, MICHAEL | I | MANAGING PARTNER | NA | Control |
| CATES, TROY, MICHAEL | I | MANAGING PARTNER | NA | Control |
| CATES, TROY, MICHAEL | I | MANAGING PARTNER | NA | Control |
| CATES, TROY, MICHAEL | I | MANAGING PARTNER | NA | Control |
| CATES, TROY, MICHAEL | I | MANAGING PARTNER | NA | Control |
| CATES, TROY, MICHAEL | I | MANAGING PARTNER | NA | Control |
| CATES, TROY, MICHAEL | I | MANAGING PARTNER | NA | Control |
| CATES, TROY, MICHAEL | I | MANAGING PARTNER | NA | Control |
| CATES, TROY, MICHAEL | I | MANAGING PARTNER | NA | Control |
| CATES, TROY, MICHAEL | I | MANAGING PARTNER | NA | Control |
| CATES, TROY, MICHAEL | I | MANAGING PARTNER | NA | Control |
| CATES, TROY, MICHAEL | I | MANAGING PARTNER | NA | Control |
| FLIPPEN, CURTIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FLIPPEN, CURTIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FLIPPEN, CURTIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FLIPPEN, CURTIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FLIPPEN, CURTIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FLIPPEN, CURTIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FLIPPEN, CURTIS, (NMN) | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FLIPPEN, CURTIS, (NMN) | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PAOLELLA, GARRETT, KEITH | I | MANAGING PARTNER | NA | Control |
| PAOLELLA, GARRETT, KEITH | I | MANAGING PARTNER | NA | Control |
| PAOLELLA, GARRETT, KEITH | I | MANAGING PARTNER | NA | Control |
| PAOLELLA, GARRETT, KEITH | I | MANAGING PARTNER | NA | Control |
| PAOLELLA, GARRETT, KEITH | I | MANAGING PARTNER | NA | Control |
| PAOLELLA, GARRETT, KEITH | I | MANAGING PARTNER | NA | Control |
| PAOLELLA, GARRETT, KEITH | I | MANAGING PARTNER | NA | Control |
| PAOLELLA, GARRETT, KEITH | I | MANAGING PARTNER | NA | Control |
| PAOLELLA, GARRETT, KEITH | I | MANAGING PARTNER | NA | Control |
| PAOLELLA, GARRETT, KEITH | I | MANAGING PARTNER | NA | Control |
| PAOLELLA, GARRETT, KEITH | I | MANAGING PARTNER | NA | Control |
| PAOLELLA, GARRETT, KEITH | I | MANAGING PARTNER | NA | Control |
| SHEA, ROBERT, EARL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHEA, ROBERT, EARL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHEA, ROBERT, EARL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHEA, ROBERT, EARL | I | CHIEF OPERATING OFFICER | NA | Control |
| SHEA, ROBERT, EARL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHEA, ROBERT, EARL | I | CHIEF OPERATING OFFICER | NA | Control |
| SHEA, ROBERT, EARL | I | CHIEF OPERATING OFFICER | NA | Control |
| SHEA, ROBERT, EARL | I | CHIEF OPERATING OFFICER | NA | Control |
| SHEA, ROBERT, EARL | I | CHIEF OPERATING OFFICER | NA | Control |
| SHEA, ROBERT, EARL | I | CHIEF OPERATING OFFICER | NA | Control |
| SHEA, ROBERT, EARL | I | CHIEF OPERATING OFFICER | NA | Control |
| SHEA, ROBERT, EARL | I | CHIEF OPERATING OFFICER | NA | Control |
| NEOS INVESTMENTS LLC | DE | SOLE MEMBER | E | Control |
| NEOS INVESTMENTS LLC | DE | SOLE MEMBER | E | Control |
| NEOS INVESTMENTS LLC | DE | SOLE MEMBER | E | Control |
| NEOS INVESTMENTS LLC | DE | SOLE MEMBER | E | Control |
| NEOS INVESTMENTS LLC | DE | SOLE MEMBER | E | Control |
| NEOS INVESTMENTS LLC | DE | SOLE MEMBER | E | Control |
| NEOS INVESTMENTS LLC | DE | SOLE MEMBER | E | Control |
| NEOS INVESTMENTS LLC | DE | SOLE MEMBER | E | Control |
| NEOS INVESTMENTS LLC | DE | SOLE MEMBER | E | Control |
| NEOS INVESTMENTS LLC | DE | SOLE MEMBER | E | Control |
| NEOS INVESTMENTS LLC | DE | SOLE MEMBER | E | Control |
| NEOS INVESTMENTS LLC | DE | SOLE MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CATES, TROY, MICHAEL | I | OFF-PISTE HOLDINGS LLC | E | Control |
| CATES, TROY, MICHAEL | I | OFF-PISTE HOLDINGS LLC | E | Control |
| CATES, TROY, MICHAEL | I | OFF-PISTE HOLDINGS LLC | E | Control |
| CATES, TROY, MICHAEL | I | OFF-PISTE HOLDINGS LLC | E | Control |
| CATES, TROY, MICHAEL | I | OFF-PISTE HOLDINGS LLC | E | Control |
| CATES, TROY, MICHAEL | I | OFF-PISTE HOLDINGS LLC | E | Control |
| PAOLELLA, GARRETT, KEITH | I | GKP HOLDINGS LLC | E | Control |
| PAOLELLA, GARRETT, KEITH | I | GKP HOLDINGS LLC | E | Control |
| PAOLELLA, GARRETT, KEITH | I | GKP HOLDINGS LLC | E | Control |
| PAOLELLA, GARRETT, KEITH | I | GKP HOLDINGS LLC | E | Control |
| PAOLELLA, GARRETT, KEITH | I | GKP HOLDINGS LLC | E | Control |
| PAOLELLA, GARRETT, KEITH | I | GKP HOLDINGS LLC | E | Control |
| PAOLELLA, GARRETT, KEITH | I | GKP HOLDINGS LLC | E | Control |
| PAOLELLA, GARRETT, KEITH | I | GKP HOLDINGS LLC | E | Control |
| PAOLELLA, GARRETT, KEITH | I | GKP HOLDINGS LLC | E | Control |
| GKP HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| GKP HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| GKP HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| GKP HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| GKP HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| GKP HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| GKP HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| GKP HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| GKP HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| OFF-PISTE HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| OFF-PISTE HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| OFF-PISTE HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| OFF-PISTE HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| OFF-PISTE HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| OFF-PISTE HOLDINGS LLC | DE | NEOS INVESTMENTS LLC | C | Control |
| WAVEBRIDGE USA INC. | DE | NEOS INVESTMENTS LLC | C | |
| WAVEBRIDGE USA INC. | DE | NEOS INVESTMENTS LLC | C | |
| WAVEBRIDGE USA INC. | DE | NEOS INVESTMENTS LLC | C |
Registrations
Federal
IA
Sep 25, 2025 REGISTERED
Notice Filings (1)
CT
Address
13 RIVERSIDE AVENUEWESTPORT, CT 06880
United States
Phone: 203-298-7300