{
  "crd_number": 321256,
  "slug": "neos-investments-westport-ct-321256",
  "primary_business_name": "NEOS INVESTMENTS",
  "legal_name": "NEOS INVESTMENT MANAGEMENT, LLC",
  "dbas": [
    "NEOS FUNDS",
    "NEOS INVESTMENTS"
  ],
  "city": "Westport",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "14860",
  "metro": {
    "cbsa_code": "14860",
    "common_name": "Bridgeport",
    "msa_name": "Bridgeport-Stamford-Danbury, CT",
    "path": "/advisors/ct/bridgeport"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2022-07-15",
  "years_registered": 4,
  "period": "2026-10-01",
  "filing_date": "2026-03-30",
  "carried_forward": false,
  "raum_total": 21687087055.0,
  "raum_discretionary": 21687087055.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 35,
  "advisory_employees": 2,
  "client_count_bucket": null,
  "clients_by_type": {
    "investment_companies": {
      "raum": 21687087055.0,
      "count": 19
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_investment_companies"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CT"
  ],
  "websites": [
    "https://linkedin.com/company/neos-investments",
    "https://neosfunds.com",
    "https://neosinvestments.com",
    "https://reddit.com/user/NEOS-ETFs",
    "https://twitter.com/NEOSInvestments",
    "https://youtube.com/@NEOSInvestments"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/321256",
  "city_as_filed": "WESTPORT",
  "url": "https://advisorcensus.com/firm/neos-investments-westport-ct-321256",
  "display_name": "Neos Investments",
  "summary": "Neos Investments is an SEC-registered investment advisory firm in Westport, CT, registered since 2022, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.",
  "citation": "AdvisorCensus. Neos Investments (CRD 321256): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)"
  ],
  "quick_answers": [
    {
      "q": "How is Neos Investments compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Neos Investments reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Neos Investments located?",
      "a": "Neos Investments' principal office is in Westport, CT, according to its Form ADV."
    },
    {
      "q": "Is Neos Investments registered with the SEC or a state?",
      "a": "Neos Investments is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 321256."
    },
    {
      "q": "How much does Neos Investments manage?",
      "a": "Neos Investments reports $21,687,087,055 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)."
    },
    {
      "q": "How have Neos Investments' assets and staff changed since 2022?",
      "a": "In the Form ADV data for Neos Investments: Regulatory assets under management: $0 in the October 2022 data and $21,687,087,055 in the October 2026 data. Total employees: 8 in October 2022 and 35 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Neos Investments serve?",
      "a": "By number of clients on Form ADV Item 5.D: investment companies (19)."
    },
    {
      "q": "Does Neos Investments report any disciplinary disclosures?",
      "a": "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/321256"
    },
    {
      "q": "What changed in Neos Investments' recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $5,933,687,499 to $21,687,087,055 (+265%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 0.0,
      "total_employees": 8,
      "filing_date": "2022-06-16"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 857611739.0,
      "total_employees": 9,
      "filing_date": "2023-08-03"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1359531463.0,
      "total_employees": 14,
      "filing_date": "2024-08-23"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 5933687499.0,
      "total_employees": 21,
      "filing_date": "2025-03-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 21687087055.0,
      "total_employees": 35,
      "filing_date": "2026-03-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $5,933,687,499 to $21,687,087,055 (+265%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/neos-investments-westport-ct-321256.md",
  "clients": [
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 19,
      "fewer_than_5": false,
      "raum": 21687087055.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/321256",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}