Hedge Fund Database

STRATOS INVESTMENT MANAGEMENT, LLC

Adviser information for STRATOS INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Ohio, United States

Employees

Total Number of Employees 8
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 3
Registered State Investment Advisers 2
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,612 $1.5B
Non-Discretionary 0 $0
Total 3,612 $1.5B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers <5 $1.5B
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services REGISTERED INVESTMENT ADVISORS
Compensation % of AUM

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 1.5B
Both for Same 0
Portfolio Manager to Program Sponsor
STRATOS WEALTH PARTNERS LTD WRAP FEE PROGRAM STRATOS WEALTH PARTNERS, LTD
STRATOS WEALTH ADVISORS LLC WRAP FEE PROGRAM STRATOS WEALTH ADVISORS LLC

Identifiers

SEC RIA File Number 801-107873
SEC ERA File Number 801-107873
SEC CIK Numbers 1707206
SEC CRD Numbers 283850
Legal Entity Identifier None

Principal Office

3750 PARK EAST DRIVE SUITE 200
BEACHWOOD
OH
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 4402104900, Fax: 8558634623

Websites

www.stratosinvestmentmanagement.com/

Chief Compliance Officer

KATHRYN HALE LOUTTIT
CHIEF COMPLIANCE OFFICER
3750 PARK EAST DRIVE SUITE 200
BEACHWOOD
OH
United States
Tel: 4405055621
Fax: 4405055621
(Full email address available in API data)

Regulatory Contact

JENNIFER KATHRYN COLLINS
DIRECTOR OF ADVISORY COMPLIANCE
3750 PARK EAST DRIVE
SUITE 200
BEACHWOOD
OH
United States
Tel: 440-991-1146
(Full email address available in API data)

Industry Affiliates

STRATOS WEALTH ADVISORS LLC Other investment adviser, including financial planners
STRATOS WEALTH PARTNERS, LTD Other investment adviser, including financial planners
STRATOS WEALTH SECURITIES, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
CONCEPCION, JEFFREY, ALAN Individual – CHIEF EXECUTIVE OFFICER, MANAGER 06/2021 < 5%
ANDREFSKY, NANCY, EILEEN Individual – CHIEF FINANCIAL OFFICER; NON-MEMBER 05/2016 < 5%
CONCEPCION, JEFFREY, ALAN Individual STRATOS WEALTH HOLDINGS LLC MANAGING MEMBER 01/2016 > 75%
SIMONS, BARBARA, JEAN DULL Individual – DIRECTOR OF BROKERAGE COMPLIANCE, NON-MEMBER 05/2016 < 5%
COLLINS, JENNIFER, KATHRYN Individual – DIRECTOR OF ADVISORY COMPLIANCE, NON-MEMBER 03/2022 < 5%
BEAHN, ERIC, ANDREW Individual – DIRECTOR OF ADVISORY COMPENSATION, NON-MEMBER 01/2019 < 5%
NICHOL, JOHN, LELAND Individual – CHIEF INVESTMENT OFFICER, NON-MEMBER 02/2021 < 5%
LOUTTIT, KATHRYN, HALE Individual – CHIEF COMPLIANCE OFFICER, NON-MEMBER 03/2022 < 5%
STRATOS INTERMEDIATE HOLDCO LLC Domestic Entity – MEMBER 05/2022 > 75%
STRATOS INTERMEDIATE HOLDCO. I LLC Domestic Entity STRATOS INTERMEDIATE HOLDCO LLC MEMBER 04/2022 > 75%
STRATOS WEALTH HOLDINGS LLC Domestic Entity STRATOS INTERMEDIATE HOLDCO. I LLC MEMBER 01/2016 > 75%
PAWLOWSKI, JON, MICHAEL Individual – DIRECTOR OF REGULATORY COMPLIANCE, NON-MEMBER 03/2023 < 5%
Nuttall, Phillip, Stuart Individual – CHIEF OPERATING OFFICER, NON-MEMBER 07/2023 < 5%
POLLEY, MALCOLM, EMERSON Individual – CHIEF MARKET STRATEGIST 01/2024 < 5%

No. Employees, Historic

1050201920202021202220232024202510 on 11/26/201910 on 4/20/202010 on 4/23/202010 on 6/24/202010 on 11/2/20207 on 4/1/20217 on 6/10/20217 on 6/22/20217 on 9/28/20216 on 3/31/20226 on 5/2/20227 on 3/29/20237 on 8/8/20237 on 8/8/20237 on 1/10/20247 on 1/24/20247 on 2/5/20248 on 3/22/2024

RAUM, Historic

2B1B02019202020212022202320242025296746680 on 11/26/2019461872316 on 4/20/2020461872316 on 4/23/2020461872316 on 6/24/2020461872316 on 11/2/2020642669869 on 4/1/2021642669869 on 6/10/2021642669869 on 6/22/2021642669869 on 9/28/20211246502252 on 3/31/20221246502252 on 5/2/20221138007669 on 3/29/20231138007669 on 8/8/20231138007669 on 8/8/20231138007669 on 1/10/20241138007669 on 1/24/20241138007669 on 2/5/20241521712937 on 3/22/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025837 on 11/26/2019997 on 4/20/2020997 on 4/23/2020997 on 6/24/2020997 on 11/2/20201244 on 4/1/20211244 on 6/10/20211244 on 6/22/20211244 on 9/28/20213 on 3/31/20223 on 5/2/20223 on 3/29/20233 on 8/8/20233 on 8/8/20233 on 1/10/20243 on 1/24/20243 on 2/5/20243 on 3/22/2024

Holdings

From latest 13F, filed July 24th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
1 800 FLOWERS COM INC CL A 184K 19K –
ABBOTT LABS COM 285K 3K –
ABBVIE INC COM 2M 12K –
ABRDN SILVER ETF TRUST PHYSCL SILVR SHS 235K 8K –
ACCENTURE PLC IRELAND SHS CLASS A 828K 3K –
ADOBE INC COM 7M 13K –
ADVANCED MICRO DEVICES INC COM 5M 30K –
AIR PRODS & CHEMS INC COM 205K 793 –
ALLSTATE CORP COM 539K 3K –
ALPHABET INC CAP STK CL A 28M 153K –
ALPHABET INC CAP STK CL C 4M 23K –
ALPS ETF TR SMITH CORE PLUS 46M 2M –
ALTRIA GROUP INC COM 285K 6K –
AMAZON COM INC COM 11M 55K –
AMERICAN CENTY ETF TR INTL SMCP VLU 17M 261K –
AMERICAN EXPRESS CO COM 8M 33K –
AMGEN INC COM 6M 18K –
AMPLIFY ETF TR AMPLIFY ALTERNAT 35K 11K –
AMPLIFY ETF TR CWP ENHANCED DIV 12M 312K –
ANALOG DEVICES INC COM 537K 2K –
APPLE INC COM 22M 104K –
APPLIED MATLS INC COM 603K 3K –
ASML HOLDING N V N Y REGISTRY SHS 245K 239 –
AUTOMATIC DATA PROCESSING IN COM 384K 2K –
BANK AMERICA CORP COM 6M 162K –
BANK NEW YORK MELLON CORP COM 291K 5K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 13M 32K –
BLACKROCK INC COM 2M 2K –
BLACKSTONE INC COM 502K 4K –
BOEING CO COM 5M 26K –
BOOKING HOLDINGS INC COM 6M 2K –
BRISTOL-MYERS SQUIBB CO COM 1M 25K –
BROADCOM INC COM 10M 6K –
BWX TECHNOLOGIES INC COM 264K 3K –
CAPITAL ONE FINL CORP COM 262K 2K –
CATERPILLAR INC COM 1M 3K –
CHENIERE ENERGY INC COM NEW 4M 22K –
CHEVRON CORP NEW COM 5M 29K –
CHUBB LIMITED COM 323K 1K –
CINCINNATI FINL CORP COM 206K 2K –
CISCO SYS INC COM 7M 143K –
CITIGROUP INC COM NEW 2M 37K –
COCA COLA CO COM 2M 31K –
COMCAST CORP NEW CL A 940K 24K –
CONOCOPHILLIPS COM 3M 22K –
COSTCO WHSL CORP NEW COM 5M 5K –
CRH PLC ORD 3M 44K –
CROWDSTRIKE HLDGS INC CL A 1M 3K –
DANAHER CORPORATION COM 320K 1K –
DIGITAL RLTY TR INC COM 2M 15K –
DIMENSIONAL ETF TRUST CORE FIXED INCOM 28M 677K –
DIMENSIONAL ETF TRUST EMERGING MKTS CO 15M 552K –
DIMENSIONAL ETF TRUST GLOBAL REAL EST 8M 327K –
DIMENSIONAL ETF TRUST INFLATION PROTE 7M 172K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 81M 3M –
DIMENSIONAL ETF TRUST US EQUITY ETF 210K 4K –
DIMENSIONAL ETF TRUST US SMALL CAP ETF 9M 156K –
DIMENSIONAL ETF TRUST WORLD EQUITY ETF 5M 85K –
DIREXION SHS ETF TR AUSPCE CMD STG 7M 230K –
DISNEY WALT CO COM 302K 3K –
DUKE ENERGY CORP NEW COM NEW 2M 16K –
EATON CORP PLC SHS 1M 4K –
ECOLAB INC COM 206K 866 –
ELEVANCE HEALTH INC COM 728K 1K –
ELI LILLY & CO COM 6M 7K –
EMERSON ELEC CO COM 226K 2K –
EXXON MOBIL CORP COM 4M 33K –
FIDELITY COVINGTON TRUST ENHANCED MID 7M 225K –
FIDELITY COVINGTON TRUST INT HG DIV ETF 252K 12K –
FIDELITY COVINGTON TRUST SML MID MLTFCT 6M 165K –
FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 322K 5K –
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 860K 18K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 7M 149K –
FRANKLIN TEMPLETON ETF TR US MID CP MLTFCT 10M 188K –
FREEPORT-MCMORAN INC CL B 2M 31K –
GENERAL DYNAMICS CORP COM 3M 9K –
GILEAD SCIENCES INC COM 2M 35K –
GLOBAL X FDS ARTIFICIAL ETF 859K 24K –
HCA HEALTHCARE INC COM 209K 651 –
HERSHEY CO COM 390K 2K –
HOME DEPOT INC COM 8M 23K –
HONEYWELL INTL INC COM 4M 17K –
ILLINOIS TOOL WKS INC COM 869K 4K –
INTUIT COM 224K 341 –
INVESCO ACTVELY MNGD ETC FD OPTIMUM YIELD 693K 49K –
INVESCO EXCH TRADED FD TR II EQUAL WEGT 0-30 6M 224K –
INVESCO EXCH TRADED FD TR II S&P500 HDL VOL 266K 6K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 25M 150K –
INVESCO QQQ TR UNIT SER 1 437K 912 –
ISHARES TR CORE DIV GRWTH 4M 61K –
ISHARES TR CORE INTL AGGR 20M 402K –
ISHARES TR CORE MSCI EAFE 7M 92K –
ISHARES TR CORE S&P MCP ETF 8M 140K –
ISHARES TR CORE S&P SCP ETF 2M 19K –
ISHARES TR CORE S&P TTL STK 69M 578K –
ISHARES TR CORE S&P500 ETF 18M 33K –
ISHARES TR CORE US AGGBD ET 204K 2K –
ISHARES TR EXPONENTIAL TECH 9M 154K –
ISHARES TR IBOXX INV CP ETF 20M 188K –
ISHARES TR INTL SEL DIV ETF 532K 19K –
ISHARES TR INVESTMENT GRADE 22M 485K –
ISHARES TR JPMORGAN USD EMG 349K 4K –
ISHARES TR NATIONAL MUN ETF 247K 2K –
ISHARES TR RUS 1000 GRW ETF 881K 2K –
ISHARES TR RUS 1000 VAL ETF 16M 94K –
ISHARES TR RUS MD CP GR ETF 297K 3K –
ISHARES TR RUS MID CAP ETF 574K 7K –
ISHARES TR RUSSELL 2000 ETF 888K 4K –
ISHARES TR S&P 500 GRWT ETF 422K 5K –
ISHARES TR S&P 500 VAL ETF 294K 2K –
ISHARES TR S&P MC 400GR ETF 504K 6K –
ISHARES TR SHRT NAT MUN ETF 401K 4K –
ISHARES TR U.S. FINLS ETF 298K 3K –
ISHARES TR U.S. TECH ETF 426K 3K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 17M 298K –
J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM 320K 6K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 440K 9K –
JABIL INC COM 1M 13K –
JANUS DETROIT STR TR HENDRSN SHRT ETF 268K 6K –
JANUS DETROIT STR TR HENDRSON AAA CL 504K 10K –
JOHNSON & JOHNSON COM 4M 29K –
JPMORGAN CHASE & CO. COM 9M 44K –
KKR & CO INC COM 240K 2K –
L3HARRIS TECHNOLOGIES INC COM 2M 10K –
LAM RESEARCH CORP COM 333K 313 –
LENNOX INTL INC COM 221K 414 –
LINDE PLC SHS 394K 897 –
LOCKHEED MARTIN CORP COM 2M 4K –
LOWES COS INC COM 826K 4K –
MANULIFE FINL CORP COM 241K 9K –
MARSH & MCLENNAN COS INC COM 312K 1K –
MASTERCARD INCORPORATED CL A 6M 14K –
MCDONALDS CORP COM 5M 19K –
MCKESSON CORP COM 663K 1K –
MEDTRONIC PLC SHS 4M 48K –
MERCK & CO INC COM 7M 55K –
META PLATFORMS INC CL A 7M 14K –
MICROCHIP TECHNOLOGY INC. COM 273K 3K –
MICROSOFT CORP COM 34M 76K –
MIDDLEFIELD BANC CORP COM NEW 948K 39K –
MONDELEZ INTL INC CL A 362K 6K –
MORGAN STANLEY COM NEW 2M 19K –
NETFLIX INC COM 14M 20K –
NEXTERA ENERGY INC COM 4M 59K –
NIKE INC CL B 333K 4K –
NORFOLK SOUTHN CORP COM 239K 1K –
NORTHROP GRUMMAN CORP COM 1M 3K –
NOVO-NORDISK A S ADR 7M 51K –
NUSHARES ETF TR NUVEEN ESG MIDVL 378K 11K –
NVIDIA CORPORATION COM 11M 85K –
OCCIDENTAL PETE CORP COM 249K 4K –
ORACLE CORP COM 739K 5K –
PACER FDS TR DEVELOPED MRKT 4M 128K –
PAYCHEX INC COM 342K 3K –
PEPSICO INC COM 4M 24K –
PFIZER INC COM 361K 13K –
PHILIP MORRIS INTL INC COM 491K 5K –
PHILLIPS 66 COM 4M 25K –
PIMCO EQUITY SER RAFI DYN MULTI 37M 1M –
PIMCO ETF TR ENHAN SHRT MA AC 476K 5K –
PROCTER AND GAMBLE CO COM 6M 35K –
PROGRESSIVE CORP COM 380K 2K –
RTX CORPORATION COM 4M 39K –
S&P GLOBAL INC COM 202K 453 –
SALESFORCE INC COM 7M 27K –
SCHLUMBERGER LTD COM STK 3M 66K –
SCHWAB CHARLES CORP COM 3M 36K –
SCHWAB STRATEGIC TR INTL EQTY ETF 284K 7K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 17M 215K –
SELECT SECTOR SPDR TR ENERGY 231K 3K –
SELECT SECTOR SPDR TR TECHNOLOGY 662K 3K –
SPDR GOLD TR GOLD SHS 340K 2K –
SPDR INDEX SHS FDS S&P NORTH AMER 3M 52K –
SPDR S&P 500 ETF TR TR UNIT 1M 2K –
SPDR SER TR BLOOMBERG 1-3 MO 230K 3K –
SPDR SER TR BLOOMBERG INVT 15M 496K –
SPDR SER TR PORTFOLIO AGRGTE 30M 1M –
SPDR SER TR PORTFOLIO SH TSR 207K 7K –
STARBUCKS CORP COM 1M 13K –
SUPER MICRO COMPUTER INC COM 465K 568 –
TAPESTRY INC COM 451K 11K –
TARGET CORP COM 614K 4K –
TD SYNNEX CORPORATION COM 3M 27K –
TERADYNE INC COM 207K 1K –
TESLA INC COM 363K 2K –
TEXAS INSTRS INC COM 2M 10K –
THE CIGNA GROUP COM 398K 1K –
THERMO FISHER SCIENTIFIC INC COM 4M 7K –
TJX COS INC NEW COM 322K 3K –
UBER TECHNOLOGIES INC COM 4M 58K –
UNION PAC CORP COM 2M 8K –
UNITED PARCEL SERVICE INC CL B 829K 6K –
UNITEDHEALTH GROUP INC COM 9M 18K –
VALERO ENERGY CORP COM 219K 1K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 2M 27K –
VANGUARD INDEX FDS EXTEND MKT ETF 218K 1K –
VANGUARD INDEX FDS GROWTH ETF 23M 60K –
VANGUARD INDEX FDS LARGE CAP ETF 763K 3K –
VANGUARD INDEX FDS MCAP GR IDXVIP 265K 1K –
VANGUARD INDEX FDS MID CAP ETF 5M 20K –
VANGUARD INDEX FDS S&P 500 ETF SHS 3M 7K –
VANGUARD INDEX FDS SMALL CP ETF 454K 2K –
VANGUARD INDEX FDS TOTAL STK MKT 2M 8K –
VANGUARD INDEX FDS VALUE ETF 549K 3K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 22M 374K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 313K 7K –
VANGUARD MALVERN FDS STRM INFPROIDX 15M 310K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 7M 144K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 848K 7K –
VANGUARD WORLD FD MEGA CAP INDEX 427K 2K –
VANGUARD WORLD FD MEGA GRWTH IND 8M 24K –
VERIZON COMMUNICATIONS INC COM 292K 7K –
VISA INC COM CL A 7M 25K –
VULCAN MATLS CO COM 265K 1K –
WALMART INC COM 8M 118K –
WASTE MGMT INC DEL COM 4M 17K –
WATSCO INC COM 203K 439 –
WELLS FARGO CO NEW COM 558K 9K –
WISDOMTREE TR CURRNCY INT EQ 19M 572K –
WISDOMTREE TR GLB HIGH DIV FD 301K 6K –
WISDOMTREE TR US QTLY DIV GRT 50M 644K –
WISDOMTREE TR VOYA YLD ENHNCD 332K 7K –
XCEL ENERGY INC COM 388K 7K –