Neos Investment Management, Llc
- Regulatory AUM
- $21.7B
- Discretionary
- $21.7B
- Clients
- 19
- Avg AUM / client
- $1.1B
- Accounts
- 19
- Employees
- 35
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 19 | $21.7B | 100.0% |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Paolella, Garrett, Keith | Managing Partner | Mar 2021 (5y) | ≈ 14.06% – 50% via Gkp Holdings Llc | |
| Cates, Troy, Michael | Managing Partner | May 2022 (4y) | Less than 5% | |
| Shea, Robert, Earl | Chief Operating Officer | May 2022 (4y) | Less than 5% | |
| Flippen, Curtis | Chief Compliance Officer | Feb 2023 (4y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Neos Investments Llc | Sole Member | May 2022 | A | 75% or more |
| Gkp Holdings Llc | Member | Mar 2022 | B | ≈ 18.75% – 50% via Neos Investments Llc |
| Wavebridge Usa Inc. | Member | Sep 2023 | B | ≈ 18.75% – 50% via Neos Investments Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Paolella, Garrett, Keith: 75% – 100% of Gkp Holdings Llc × 25% – 50% of Neos Investments Llc × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Gkp Holdings Llc: 25% – 50% of Neos Investments Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Wavebridge Usa Inc.: 25% – 50% of Neos Investments Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 938 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for investment companies
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗