# NEO Ivy Capital Management, LLC

> NEO Ivy Capital Management, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2019, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 284999
- Filed as: NEO IVY CAPITAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/284999
- AdvisorCensus page: https://advisorcensus.com/firm/neo-ivy-capital-management-llc-new-york-ny-284999

## Quick answers

**How is NEO Ivy Capital Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), NEO Ivy Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees.

**How much does NEO Ivy Capital Management, LLC charge?**
Its Form ADV Part 2A brochure dated March 30, 2026 states: Asset-based fee: 1.5% to 2% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is NEO Ivy Capital Management, LLC located?**
NEO Ivy Capital Management, LLC's principal office is in New York, NY, according to its Form ADV.

**Is NEO Ivy Capital Management, LLC registered with the SEC or a state?**
NEO Ivy Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 284999.

**How much does NEO Ivy Capital Management, LLC manage?**
NEO Ivy Capital Management, LLC reports $1,244,512,799 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have NEO Ivy Capital Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for NEO Ivy Capital Management, LLC: Regulatory assets under management: $181,748,800 in the October 2021 data and $1,244,512,799 in the October 2026 data, up 585%. Total employees: 10 in October 2021 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does NEO Ivy Capital Management, LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (3).

**Which custodians does NEO Ivy Capital Management, LLC use?**
NEO Ivy Capital Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists J.P. Morgan Securities LLC and UBS Securities LLC as custodians holding 10% or more of its separately managed account assets.

**Does NEO Ivy Capital Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/284999

**What changed in NEO Ivy Capital Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 7 to 8. Regulatory assets under management went from $1,019,471,157 to $1,244,512,799 (+22%). Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Asset-based fee: 1.5% to 2% a year (a range, as the brochure states it)

> For certain Funds, the Adviser charges an investment management fee at an annual rate of from 1.5% to 2.00%, calculated and paid each month in advance (the “Management Fee”), depending on the share-class of the Investor.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- J.P. Morgan Securities LLC
- UBS Securities LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $1,244,512,799
- Discretionary: $1,244,512,799
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 3 | $45,766,977 |
| Other | Fewer than 5 | $1,198,745,822 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2019 (7 years)
- Employees: 12 total, 8 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [neoivycapital.com](https://neoivycapital.com)
- LinkedIn @neo-ivy-capital

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $181,748,800 | 10 | August 27, 2021 |
| October 2022 | $181,748,800 | 9 | September 26, 2022 |
| October 2023 | $186,936,232 | 10 | March 29, 2023 |
| October 2024 | $989,358,460 | 10 | September 27, 2024 |
| October 2025 | $1,019,471,157 | 10 | March 28, 2025 |
| October 2026 | $1,244,512,799 | 12 | March 30, 2026 |

Regulatory assets under management: $181,748,800 in the October 2021 data and $1,244,512,799 in the October 2026 data, up 585%.
Total employees: 10 in October 2021 and 12 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 7 to 8.
- Regulatory assets under management went from $1,019,471,157 to $1,244,512,799 (+22%).
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. NEO Ivy Capital Management, LLC (CRD 284999): Form ADV filing data as of October 2026.