# NEOS INVESTMENT MANAGEMENT, LLC

NEOS INVESTMENT MANAGEMENT, LLC of WESTPORT, CT is an SEC-registered investment adviser.

## Registration

- CRD: 321256
- Type: SEC-registered investment adviser
- SEC file number: 801-126101
- Location: 13 RIVERSIDE AVENUE, WESTPORT, CT, 06880
- Phone: 203-298-7300
- Latest filing: 2026-03-30
- Regulatory AUM: $21.7B
- Discretionary AUM: $21.7B
- Clients: 35
- Accounts: 19

## Business model

- Compensation: % of AUM

## Officers, owners & control persons (10)

| Name | Role | Location |
| --- | --- | --- |
| Robert Earl Shea | CHIEF OPERATING OFFICER | — |
| Garrett Keith Paolella | MANAGING MEMBER; MANAGING PARTNER | — |
| Troy Michael Cates | MANAGING PARTNER | — |
| Curtis Nmn Flippen | CHIEF COMPLIANCE OFFICER | — |
| Curtis Flippen | CHIEF COMPLIANCE OFFICER | Portland, ME |
| SHEA ROBERT EARL | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER | — |
| PAOLELLA GARRETT KEITH | MANAGING MEMBER; MANAGING PARTNER | — |
| CATES TROY MICHAEL | MANAGING MEMBER; MANAGING PARTNER | — |
| FLIPPEN CURTIS | CHIEF COMPLIANCE OFFICER | — |
| Curtis (Nmn) Flippen | CHIEF COMPLIANCE OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/321256/brochure
- Similar advisers: https://search.stillhousedata.com/firm/321256/similar
- Related entities: https://search.stillhousedata.com/firm/321256/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/321256

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.