DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Neos Investments
Legal name Neos Investment Management, LLC
Latest filing Mar 30, 2026
First filing on the tape Jun 16, 2022 · 12 filings
SEC status approved since Jul 15, 2022
RAUM
$22B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
35
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$22B as of Mar 30, 2026
Mar 31, 2023$7.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20230 then
Employees (5.A)35 as of Mar 30, 2026
Mar 31, 20239 then
Private funds: no history
RAUM +265% over the last fiscal year+1312% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.1BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +265%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$22B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=16.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Troy Cates · Managing Partnercontrolsince 05/2022 · owns less than 5%
- Curtis Flippen · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- Keith Garrett Paolella · Managing Partnercontrolsince 05/2022 · owns less than 5%
- Earl Robert Shea · Chief Operating Officercontrolsince 05/2022 · owns less than 5%
- Keith Garrett Paolella · Managing Membercontrolsince 03/2021 · owns 75% or more of Gkp Holdings LLC
Entity owners
- Neos Investments LLC · Sole Memberdirect · owns 75% or more
- Gkp Holdings LLC · Memberindirect · owns 25% to 50% of Neos Investments LLC
- Wavebridge USA Inc. · Memberindirect · owns 25% to 50% of Neos Investments LLC
Related persons
Schedule D 7.A
- Fuller Wealth Management LLCinvestment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 21.0 to 35.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +3.0% (462 comparable advisers, 98.0th percentile of changes)peers: asset managers, $20B and over (462) · 98% percentile
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $5,933,687,499 to $21,687,087,055 (+265.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +15.0% (471 comparable advisers, 100.0th percentile of changes)peers: asset managers, $20B and over (471) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 10 to 19Sep 25, 2025 to Mar 30, 2026
- Advisory activities · 2 to 1Sep 25, 2025 to Mar 30, 2026
- BD registered reps · 12 to 16Sep 25, 2025 to Mar 30, 2026
- Employees · 28 to 35Sep 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $5.9B to $22BSep 25, 2025 to Mar 30, 2026
- RAUM · $5.9B to $22BSep 25, 2025 to Mar 30, 2026
- BD registered reps · 7 to 12Mar 31, 2025 to Sep 25, 2025
- Employees · 21 to 28Mar 31, 2025 to Sep 25, 2025
- Financial planning clients · 0 to 0Mar 31, 2025 to Sep 25, 2025
- Accounts · 20 to 10Aug 23, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Aug 23, 2024 to Mar 31, 2025
- Advisory activities · 3 to 2Aug 23, 2024 to Mar 31, 2025
- BD registered reps · 4 to 7Aug 23, 2024 to Mar 31, 2025
- Business name · NEOS INVESTMENT MANAGEMENT, LLC to NEOS INVESTMENTSAug 23, 2024 to Mar 31, 2025
- Employees · 14 to 21Aug 23, 2024 to Mar 31, 2025
- Financial planning clients · unset to 0Aug 23, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.4B to $5.9BAug 23, 2024 to Mar 31, 2025
- RAUM · $1.4B to $5.9BAug 23, 2024 to Mar 31, 2025
- Related adviser · true to falseAug 23, 2024 to Mar 31, 2025
- Accounts · 10 to 20Aug 3, 2023 to Feb 2, 2024
- BD registered reps · 1 to 4Aug 3, 2023 to Feb 2, 2024
- Employees · 9 to 14Aug 3, 2023 to Feb 2, 2024
- Discretionary RAUM · $858M to $1.4BAug 3, 2023 to Feb 2, 2024
- RAUM · $858M to $1.4BAug 3, 2023 to Feb 2, 2024
- Accounts · 3 to 10Mar 31, 2023 to Aug 3, 2023
- Discretionary RAUM · $7.7M to $858MMar 31, 2023 to Aug 3, 2023
- RAUM · $7.7M to $858MMar 31, 2023 to Aug 3, 2023
- Accounts · 0 to 3Nov 3, 2022 to Mar 31, 2023
- Employees · 8 to 9Nov 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $0 to $7.7MNov 3, 2022 to Mar 31, 2023
- RAUM · $0 to $7.7MNov 3, 2022 to Mar 31, 2023
- Business name · NEOS INVESTMENTS LLC to NEOS INVESTMENT MANAGEMENT, LLCJun 16, 2022 to Jun 16, 2022
- Legal name · NEOS INVESTMENTS LLC to NEOS INVESTMENT MANAGEMENT, LLCJun 16, 2022 to Jun 16, 2022
Signals
5 dated events
- Neos Investments reported RAUM $21.7B, up 265% from $5.9B (2025-09-25 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Neos Investments reported RAUM $5.9B, up 336% from $1.4B (2024-08-23 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Neos Investments reported RAUM $1.4B, up 59% from $857.6M (2023-08-03 to 2024-02-02)Feb 2, 2024 · RAUM change · derived
- Curtis Flippen (Chief Compliance Officer) appeared on Schedule A of Neos InvestmentsMar 31, 2023 · Control person joined · fact
- Neos Investments Llc filed its initial SEC registration (Form ADV)Jun 16, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/neos-investmentsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- neosfunds.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203-298-7300reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026