Unclaimed Profile

Troy Michael Cates

NEOS INVESTMENT MANAGEMENT, LLC·WESTPORT, Connecticut

SIE, Series 4, Series 7, Series 55, Series 63, Series 65Clean record11 years registeredNEOS INVESTMENT MANAGEMENT, LLC

13 RIVERSIDE AVENUE, WESTPORT, CT 06880CRD# 3105780Firm CRD# 321256

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Troy Michael Cates · WESTPORT, CT

Registration

CRD #3105780 · NEOS INVESTMENT MANAGEMENT, LLC · 11 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: NEOS INVESTMENT MANAGEMENT, LLC

RECON CAPITAL

Dec 2014 – Mar 2018

STAMFORD, CT

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 55

Series 63

Series 65

Registration record

First registered · December 18, 2014

Years registered · 11

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

NEOS INVESTMENT MANAGEMENT, LLC

CRD 321256 · SEC 801-126101

AUM

$1.4B

Regulatory assets under management

Employees

20 client accounts

Services offered by NEOS INVESTMENT MANAGEMENT, LLC

Per Form ADV

Portfolio management (pooled investments)

Selection of other advisers

Other

Client types served by the firm

Per Form ADV

Institutional Investors

View all advisors at NEOS INVESTMENT MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Troy Michael Cates offer?

Troy Michael Cates specializes in Investment Management, Wealth Management, Fee-Only Advisory.

What are Troy Michael Cates's credentials?

Troy Michael Cates is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Troy Michael Cates located?

Troy Michael Cates is based in WESTPORT, Connecticut, last registered with NEOS INVESTMENT MANAGEMENT, LLC.

How does Troy Michael Cates charge for services?

Troy Michael Cates's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NEOS INVESTMENT MANAGEMENT, LLC?

NEOS INVESTMENT MANAGEMENT, LLC has approximately 14 employees and manages $1.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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