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NEOS INVESTMENTS

WESTPORT, CT · CRD 321256 · IAPD ↗ · neosfunds.com · 203-298-7300

$21.69BRegulatory AUM
2Advisory reps
35Employees
0Clients
0Planning clients
0Private funds
1States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

65
April 2026 — NEOS INVESTMENTS reported RAUM up 265% ($5.93B -> $21.69B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
65
April 2025 — NEOS INVESTMENTS reported RAUM up 336% ($1.36B -> $5.93B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
50
September 2024 — NEOS INVESTMENT MANAGEMENT, LLC is now doing business as NEOS INVESTMENTS.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
20
February 2024 — NEOS INVESTMENT MANAGEMENT, LLC changed its website from neosinvestments.com to neosfunds.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
75
February 2024 — NEOS INVESTMENT MANAGEMENT, LLC crossed $1B in regulatory AUM ($857.6M -> $1.36B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.