# Neos Investments

> 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.

- CRD: 321256
- Filed as: NEOS INVESTMENTS
- Legal name: Neos Investment Management, LLC
- Also doing business as: NEOS FUNDS, NEOS INVESTMENTS
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Westport, CT
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/321256
- AdvisorCensus page: https://advisorcensus.com/firm/neos-investments-westport-ct-321256

## Quick answers

**How is Neos Investments compensated?**
On its Form ADV (Item 5.E, October 2026), Neos Investments reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Neos Investments located?**
Neos Investments' principal office is in Westport, CT, according to its Form ADV.

**Is Neos Investments registered with the SEC or a state?**
Neos Investments is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 321256.

**How much does Neos Investments manage?**
Neos Investments reports $21,687,087,055 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Neos Investments' assets and staff changed since 2022?**
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.

**What types of clients does Neos Investments serve?**
By number of clients on Form ADV Item 5.D: investment companies (19).

**Does Neos Investments 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/321256

**What changed in Neos Investments' recent Form ADV filings?**
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).

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $21,687,087,055
- Discretionary: $21,687,087,055
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 19 | $21,687,087,055 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)

### Firm details
- Registered since: 2022 (4 years)
- Employees: 35 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- neosfunds.com
- neosinvestments.com
- reddit.com/user/NEOS-ETFs
- LinkedIn @neos-investments
- X @NEOSInvestments
- YouTube @NEOSInvestments

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $0 | 8 | June 16, 2022 |
| October 2023 | $857,611,739 | 9 | August 3, 2023 |
| October 2024 | $1,359,531,463 | 14 | August 23, 2024 |
| October 2025 | $5,933,687,499 | 21 | March 31, 2025 |
| October 2026 | $21,687,087,055 | 35 | March 30, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Neos Investments (CRD 321256): Form ADV filing data as of October 2026.