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NEOS Investment Management LLC — 13F Holdings & Portfolio

CIK 2001019 · latest 13F-HR filed 2026-08-11

Backtest portfolio

NEOS Investment Management LLC manages $27.13B in 13F-reported U.S. long-equity assets across 578 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are NVDA (6.79%), AAPL (5.90%), MSFT (3.88%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 16 new positions and exited 13; 440 existing positions rose in reported value and 63 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

Loading holdings…
AUM
$27.13B

Long-equity book

Holdings
578

Distinct positions

Period
2026-06-30

Filed 2026-08-11

Q/Q Activity
+16 / −13 / ↑440 / ↓63

vs 2026-03-31

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q2 26
NVDA6.8% · +10%AAPL5.9% · +8%MSFT3.9% · +10%VTWO3.8% · +29%MU3.6% · +9%AMZN3.5% · +11%GOOGL2.9% · +11%AMD2.6% · +10%GOOG2.6% · +12%AVGO2.5% · +10%TSLA2.4% · +11%META2.1% · +11%INTC1.9% · +13%AMAT1.6% · +10%LRCX1.5% · +10%WMT1.5% · +8%CSCO1.3% · +8%COST1.1% · +8%KLAC1.1% · +987%SNDK0.9% · +414%NFLX0.8% · +10%PANW0.8% · +10%TXN0.8% · +11%PLTR0.8% · +11%MRVL0.7% · +45%LIN0.7% · +9%IBIT0.7% · +55%IEFA0.7% · +12%WDC0.6% · +10%STX0.6% · +13%LLY0.6% · +9%BRK.B0.6% · +10%ADI0.5% · +11%AMGN0.5% · +11%QCOM0.5% · +8%CRWD0.5% · +12%JPM0.5% · +9%PEP0.5% · +10%GILD0.4% · +11%TMUS0.4% · +6%APP0.4% · +10%AAAU0.4% · +39%BKNG0.4% · +2649%ISRG0.4% · +10%ASML0.4% · +11%JNJ0.4% · +11%VRTX0.4% · +11%V0.3% · +10%XOM0.3% · +10%AGG0.3% · +11%BND0.3% · +11%SBUX0.3% · +12%HODL0.3% · -2%SHOP0.3% · +11%FTNT0.3% · +12%CAT0.3% · +12%WMB0.3% · +34%CDNS0.3% · +12%MAR0.3% · +10%ABBV0.3% · +10%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q1 26 → Q2 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 38.1%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Mar 30, 2026.

Assets Under Management
$21.69B
Discretionary
$21.69B
Employees
35
Accounts
19
Address
13 RIVERSIDE AVENUE
WESTPORT, CT 06880
Phone
(203) 298-7300
Website
Name Title / Status Ownership Type
CATES, TROY, MICHAEL ControlMANAGING PARTNER
since May 2022
Less than 5%Individual
FLIPPEN, CURTIS, (NMN) ControlCHIEF COMPLIANCE OFFICER
since Feb 2023
Less than 5%Individual
NEOS INVESTMENTS LLC ControlSOLE MEMBER
since May 2022
75% or moreDomestic Entity
PAOLELLA, GARRETT, KEITH ControlMANAGING PARTNER
since May 2022
Less than 5%Individual
SHEA, ROBERT, EARL ControlCHIEF OPERATING OFFICER
since May 2022
Less than 5%Individual
GKP HOLDINGS II LLC Control
Indirect owner via NEOS INVESTMENTS LLC
MEMBER
since Mar 2022
25–50%Domestic Entity
PAOLELLA, GARRETT, KEITH Control
Indirect owner via GKP HOLDINGS II LLC
MANAGING MEMBER
since Mar 2021
75% or moreIndividual
Ownership & leadership changes · 4 filings with changes since Jun 16, 2022

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Mar 30, 2026 filing
  • No longer listedGKP HOLDINGS LLC · MEMBER · 25–50% · indirect via NEOS INVESTMENTS LLC · control person · listed since Mar 2022
  • No longer listedPAOLELLA, GARRETT, KEITH · MANAGING MEMBER · 75% or more · indirect via GKP HOLDINGS LLC · control person · listed since Mar 2021
  • AddedGKP HOLDINGS II LLC · MEMBER · 25–50% · indirect via NEOS INVESTMENTS LLC · control person
  • AddedPAOLELLA, GARRETT, KEITH · MANAGING MEMBER · 75% or more · indirect via GKP HOLDINGS II LLC · control person
Mar 28, 2025 filing
  • No longer listedWAVEBRIDGE USA INC. · MEMBER · 25–50% · indirect via NEOS INVESTMENTS LLC · listed since Sep 2023
Feb 2, 2024 filing
  • No longer listedCATES, TROY, MICHAEL · MANAGING MEMBER · 75% or more · indirect via OFF-PISTE HOLDINGS LLC · control person · listed since Jan 2022
  • No longer listedOFF-PISTE HOLDINGS LLC · MEMBER · 25–50% · indirect via NEOS INVESTMENTS LLC · control person · listed since Mar 2022
  • AddedWAVEBRIDGE USA INC. · MEMBER · 25–50% · indirect via NEOS INVESTMENTS LLC
Mar 31, 2023 filing
  • AddedFLIPPEN, CURTIS, (NMN) · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
  • ChangedSHEA, ROBERT, EARL · title CHIEF COMPLIANCE OFFICER → CHIEF OPERATING OFFICER
Jun 16, 2022 filing (earliest on record)
  • ListedCATES, TROY, MICHAEL · MANAGING PARTNER · Less than 5% · control person
  • ListedCATES, TROY, MICHAEL · MANAGING MEMBER · 75% or more · indirect via OFF-PISTE HOLDINGS LLC · control person
  • ListedGKP HOLDINGS LLC · MEMBER · 25–50% · indirect via NEOS INVESTMENTS LLC · control person
  • ListedNEOS INVESTMENTS LLC · SOLE MEMBER · 75% or more · control person
  • ListedOFF-PISTE HOLDINGS LLC · MEMBER · 25–50% · indirect via NEOS INVESTMENTS LLC · control person
  • ListedPAOLELLA, GARRETT, KEITH · MANAGING PARTNER · Less than 5% · control person
  • ListedPAOLELLA, GARRETT, KEITH · MANAGING MEMBER · 75% or more · indirect via GKP HOLDINGS LLC · control person
  • ListedSHEA, ROBERT, EARL · CHIEF COMPLIANCE OFFICER · Less than 5% · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Top Adds (vs prior quarter)

Show all 440 →

Top Trims

Show all 63 →

New Positions

Show all 16 →

Exited Positions

Show all 13 →

NEOS Investment Management LLC Holdings (2026-06-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 NVIDIA CORPORATION NVDA 67066G104 $1.84B 6.79% 9,211,357 SH
2 APPLE INC AAPL 037833100 $1.60B 5.90% 5,529,231 SH
3 MICROSOFT CORP MSFT 594918104 $1.05B 3.88% 2,821,767 SH
4 VANGUARD SCOTTSDALE FDS VTWO 92206C664 $1.03B 3.81% 8,513,553 SH
5 MICRON TECHNOLOGY INC MU 595112103 $979.7M 3.61% 848,739 SH
6 AMAZON COM INC AMZN 023135106 $937.4M 3.45% 3,933,172 SH
7 ALPHABET INC GOOGL 02079K305 $798.7M 2.94% 2,234,827 SH
8 ADVANCED MICRO DEVICES INC AMD 007903107 $718.8M 2.65% 1,237,396 SH
9 ALPHABET INC GOOG 02079K107 $693.8M 2.56% 1,963,739 SH
10 BROADCOM INC AVGO 11135F101 $678.8M 2.50% 1,796,868 SH
11 TESLA INC TSLA 88160R101 $652.9M 2.41% 1,552,352 SH
12 META PLATFORMS INC META 30303M102 $563.4M 2.08% 1,000,247 SH
13 INTEL CORP INTC 458140100 $516.2M 1.90% 3,697,172 SH
14 APPLIED MATLS INC AMAT 038222105 $437.4M 1.61% 605,023 SH
15 LAM RESEARCH CORP LRCX 512807306 $412.2M 1.52% 951,247 SH
16 WALMART INC WMT 931142103 $404.8M 1.49% 3,574,219 SH
17 CISCO SYS INC CSCO 17275R102 $346.1M 1.28% 2,946,899 SH
18 COSTCO WHOLESALE CORPORATION COST 22160K105 $309.5M 1.14% 330,824 SH
19 KLA CORP KLAC 482480100 $295.5M 1.09% 979,371 SH
20 SANDISK CORP SNDK 80004C200 $248.0M 0.91% 109,085 SH
21 NETFLIX INC. NFLX 64110L106 $230.6M 0.85% 3,229,620 SH
22 PALO ALTO NETWORKS INC PANW 697435105 $211.1M 0.78% 618,939 SH
23 TEXAS INSTRS INC TXN 882508104 $206.7M 0.76% 693,419 SH
24 PALANTIR TECHNOLOGIES INC PLTR 69608A108 $204.8M 0.75% 1,755,494 SH
25 MARVELL TECHNOLOGY INC MRVL 573874104 $198.9M 0.73% 667,562 SH
26 LINDE PLC LIN G54950103 $183.1M 0.67% 352,821 SH
27 ISHARES BITCOIN TRUST ETF IBIT 46438F101 $180.6M 0.67% 5,424,563 SH
28 ISHARES TR IEFA 46432F842 $176.3M 0.65% 1,825,722 SH
29 WESTERN DIGITAL CORP WDC 958102105 $163.8M 0.60% 256,492 SH
30 SEAGATE TECHNOLOGY HLDNGS PL STX G7997R103 $160.6M 0.59% 166,382 SH
31 ELI LILLY & CO LLY 532457108 $154.1M 0.57% 128,460 SH
32 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $149.4M 0.55% 298,468 SH
33 ANALOG DEVICES INC ADI 032654105 $148.4M 0.55% 373,750 SH
34 AMGEN INC AMGN 031162100 $148.4M 0.55% 409,827 SH
35 QUALCOMM INC QCOM 747525103 $147.3M 0.54% 797,157 SH
36 CROWDSTRIKE HLDGS INC CRWD 22788C105 $146.5M 0.54% 191,914 SH
37 JPMORGAN CHASE & CO JPM 46625H100 $143.5M 0.53% 438,527 SH
38 PEPSICO INC PEP 713448108 $141.2M 0.52% 1,042,623 SH
39 GILEAD SCIENCES INC GILD 375558103 $120.1M 0.44% 950,430 SH
40 T-MOBILE US INC TMUS 872590104 $119.7M 0.44% 713,420 SH
41 APPLOVIN CORP APP 03831W108 $117.3M 0.43% 227,667 SH
42 GOLDMAN SACHS PHYSICAL GOLD AAAU 38150K103 $108.2M 0.40% 2,734,560 SH
43 BOOKING HOLDINGS INC BKNG 09857L108 $107.6M 0.40% 603,691 SH
44 INTUITIVE SURGICAL INC ISRG 46120E602 $107.2M 0.40% 269,580 SH
45 ASML HLDG NV ASML N07059210 $105.0M 0.39% 52,796 SH
46 JOHNSON & JOHNSON JNJ 478160104 $99.6M 0.37% 392,087 SH
47 VERTEX PHARMACEUTICALS INC VRTX 92532F100 $96.0M 0.35% 193,306 SH
48 VISA INC V 92826C839 $93.7M 0.35% 273,079 SH
49 EXXON MOBIL CORP XOM 30231G102 $93.2M 0.34% 681,692 SH
50 ISHARES TR AGG 464287226 $89.9M 0.33% 911,236 SH
Filing History
Period Filed AUM Holdings Accession
2026-06-30 2026-08-11 $27.13B 578 0001172661-26-003274
2026-03-31 2026-05-15 $19.79B 575 0001172661-26-002245
2025-12-31 2026-02-17 $17.29B 1,150 0001172661-26-001028
2025-09-30 2025-11-07 $13.35B 1,122 0001172661-25-004623
Filer Information
Address
13 RIVERSIDE AVENUE
WESTPORT, CT 06880
Phone
(203) 298-7300
Filing Manager
NEOS Investment Management LLC
Westport, CT
Signatory
Robert Shea
Chief Operating Officer and Chief Financial Officer