Private fund adviser · New York, NY
Exos Asset Management LLC
SEC-registered investment adviser · CRD 305706 · SEC 801-137184
At a glance
Exos Asset Management LLC is an SEC-registered investment adviser based in New York, New York, with $682,181 in regulatory assets under management as of its Form ADV filed August 13, 2026. Its largest client group by assets is pooled investment vehicles, and it reports 2 individual clients. By Form ADV it is a private fund adviser, ranked 4,677th of 4,686 private fund advisers and 16,459th of 17,210 SEC-registered advisers by assets.
Main office 646-814-0996exosfinancial.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1M
- Rank among private fund advisers
- #4,677 of 4,686
- Rank among all SEC RIAs
- #16,459 of 17,210
- Rank in New York
- #2,488 of 2,591
- Individual clients
- 2
- High-net-worth clients
- 2
- Accounts
- 4
- Discretionary
- 100% of AUM
- Employees
- 25
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- Brady W. DouganChief Executive Officer and Chief Compliance Officer
- Robert L BassoChief Administration Officer
- Paul D. GreeneChief Financial Officer
- Dewey S. TuckerHead of Asset Management
Custody and brokerage
Broker-dealer
Hybrid RIA
Exos Asset Management LLC is a hybrid RIA: 11 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Exos Securities LLC.
- Exos Securities LLC ↗CRD 298276
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, January 2026
Its Form ADV brochure (filed August 2026) names Exos Securities as the broker-dealer its advisers are registered with.
o our Form ADV, with the exception of the Chief Financial Officer and Chief Administrative Officer, are registered representatives of Exos Securities LLC, which is an affiliate of the Firm and is registered as a broker-dealer with the SEC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 2 | $1M | 80% |
| High-net-worth individuals | 2 | $0M | 20% |
Private funds
Exos Asset Management LLC reports 2 private funds with $1M in gross assets: hedge funds, private equity funds (Form ADV Item 7.B).
Disciplinary disclosures
Exos Asset Management LLC answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗exosfinancial.com ↗
AtlasMembers
The full record on Exos Asset Management LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 5 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 1,979 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 6Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Exos Asset Management LLC manage?
Exos Asset Management LLC reports $682,181 in regulatory assets under management across 4 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 13, 2026.
What kind of firm is Exos Asset Management LLC?
Exos Asset Management LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Exos Asset Management LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($547,424, 2 clients); high-net-worth individuals ($134,757, 2 clients).
Does Exos Asset Management LLC manage private funds?
Yes. It reports 2 private funds with $547,424 in gross assets, including hedge funds, private equity funds.
Does Exos Asset Management LLC have any disciplinary history?
Exos Asset Management LLC answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Exos Asset Management LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-13), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →