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CRD 153184
BEACHWOOD, OH
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JAMES BERNARD PIERIK | Certified Financial Planner|Chartered Financial Consultant | Chula Vista, CA | San Diego, CA | SAN DIEGO, CA | CHULA VISTA, CA | 28 | 37 | 1 | yes |
| DENNIS RALPH MARVIN | Certified Financial Planner | WOOSTER, OH | MEDINA, OH | Akron, OH | 26 | 29 | n/a | yes |
| AARON MICHAEL SMITH | n/a | TIFFIN, OH | FOSTORIA, OH | FINDLAY, OH | Findlay, OH | 26 | 36 | n/a | yes |
| MICHAEL JOSEPH ZEMBALA | n/a | BEACHWOOD, OH | 16 | 38 | 1 | yes |
| JOHN BROWN HLAY | n/a | Santa Rosa Beach, FL | Richfield, OH | Chagrin Falls, OH | 16 | 39 | 1 | yes |
| JEFFREY ALAN CONCEPCION | n/a | BEACHWOOD, OH | 16 | 32 | 3 | yes |
| ROBERT ANDREW HEKSCH | Certified Financial Planner | Chagrin Falls, OH | 16 | 26 | 3 | yes |
| KEITH NEIL SCHUSS | n/a | Columbus, OH | 16 | 34 | 2 | yes |
| CHRISTOPHER BREED WALLING | n/a | Columbus, OH | Powell, OH | Hilliard, OH | 16 | 33 | 2 | yes |
| DANIEL JACK JACOBY | n/a | AVENTURA, FL | BEACHWOOD, OH | Aventura, FL | 16 | 31 | 2 | yes |
| SAMUEL JAMES LUPICA | n/a | Broadview Heights, OH | AKRON, OH | 16 | 26 | 1 | yes |
| SCOTT DAVID ZISKA | n/a | WESTLAKE, OH | 16 | 23 | 1 | yes |
| CARMELITO M OLAES | n/a | Oberlin, OH | BEACHWOOD, OH | 16 | 30 | 1 | yes |
| DAVID KENNETH THORNE | Certified Financial Planner | Boulder, CO | BEACHWOOD, OH | 16 | 28 | 1 | yes |
| JAMES VALENTINE LUPICA | n/a | Hudson, OH | BROADVIEW HEIGHTS, OH | Westlake, OH | AKRON, OH | 16 | 44 | 1 | yes |
| KENT RANDALL MOSHER | n/a | BEACHWOOD, OH | 16 | 26 | 1 | yes |
| JOSEPH ANDREW ZARLINGA | Certified Financial Planner | Chagrin Falls, OH | 16 | 26 | 1 | yes |
| DAVID C VESPOLI | n/a | Akron, OH | Mooresville, NC | 16 | 22 | 4 | yes |
| JUSTIN R HORTON | n/a | Chagrin Falls, OH | 16 | 21 | 1 | yes |
| EDWARD JOSEPH WILSON | n/a | HUDSON, OH | 16 | 42 | 3 | yes |
| JULEE ANN MOTT | n/a | HUDSON, OH | 16 | 18 | 2 | yes |
| BLAKE NEIL RAWSON | Certified Financial Planner | HUDSON, OH | 16 | 30 | 1 | yes |
| JEFFREY GEORGE KITZBERGER | n/a | Beachwood, OH | 15 | 40 | 3 | yes |
| SUSAN HAYS ROBENALT | n/a | Powell, OH | 15 | 30 | 3 | yes |
| JENNIFER C. HART | n/a | San Diego, CA | 15 | 27 | 3 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BEAHN, ERIC, ANDREW | DIRECTOR OF ADVISORY COMPENSATION, NON- MEMBER | Na | yes | 01/2023 | Aug 31, 2026 | Aug 31, 2026 |
| JONES, CHARIS, IVANA | CHIEF OPERATING OFFICER, NON-MEMBER | Na | yes | 10/2025 | Aug 31, 2026 | Aug 31, 2026 |
| LOUTTIT, KATHRYN, HALE | CHIEF COMPLIANCE OFFICER, NON-MEMBER | Na | yes | 03/2022 | Aug 31, 2026 | Aug 31, 2026 |
| ANDREFSKY, NANCY, EILEEN | CHIEF FINANCIAL OFFICER, NON-MEMBER | Na | yes | 10/2008 | Mar 9, 2012 | Dec 12, 2024 |
| COLLINS, JENNIFER, KATHRYN | DIRECTOR OF ADVISORY COMPLIANCE, NON-MEMBER | Na | yes | 03/2022 | Jan 2, 2018 | Dec 12, 2024 |
| CONCEPCION, JEFFREY, ALAN | MANAGING MEMBER | E | yes | 01/2016 | Mar 9, 2012 | Dec 12, 2024 |
| CONCEPCION, JEFFREY, ALAN | CHIEF EXECUTIVE OFFICER, MANAGER | Na | yes | 03/2021 | Mar 9, 2012 | Dec 12, 2024 |
| Nuttall, Phillip, Stuart | CHIEF OPERATING OFFICER, NON-MEMBER | Na | yes | 07/2023 | Aug 4, 2023 | Dec 12, 2024 |
| SIMONS, BARBARA, JEAN DULL | DIRECTOR OF BROKERAGE COMPLIANCE | Na | yes | 10/2014 | Mar 9, 2012 | Dec 12, 2024 |
| STRATOS INTERMEDIATE HOLDCO I LLC | Member | E | yes | 04/2022 | Mar 31, 2023 | Dec 12, 2024 |
| STRATOS INTERMEDIATE HOLDCO LLC | Member | E | yes | 03/2022 | Mar 31, 2023 | Dec 12, 2024 |
| STRATOS WEALTH HOLDINGS LLC | Member | E | yes | 01/2016 | Mar 31, 2023 | Dec 12, 2024 |
| Albin, David | SUPERVISORY PRINCIPAL/NON-MEMBER PRINCIPAL/NON-MEMBER | Na | no | 04/2025 | Aug 31, 2026 | Aug 31, 2026 |
| ANGUS, MARNI, KRISTINE | OFFICE OF SUPERVISION MEMBER | Na | no | 03/2026 | Aug 31, 2026 | Aug 31, 2026 |
| BURNS, DOUGLAS, ALAN | DIRECTOR, NON-MEMBER COMPLIANCE/NON-MEMBER | Na | no | 02/2022 | Aug 31, 2026 | Aug 31, 2026 |
| Heaton, Megan, Lynn | SENIOR SUPERVISORY | Na | no | 05/2026 | Aug 31, 2026 | Aug 31, 2026 |
| STEED, SAVANNA, L | DIRECTOR OF ADVISORY COMPLIANCE | Na | no | 09/2025 | Aug 31, 2026 | Aug 31, 2026 |
| COPLEY, THOMAS, MICHAEL | SUPERVISORY PRINCIPAL, NON-MEMBER | Na | no | 04/2022 | Nov 17, 2022 | Dec 12, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| STRATOS WEALTH ADVISORS LLC | n/a | Independent wealth | $5.6B | N | yes | n/a |
| STRATOS INVESTMENT MANAGEMENT, LLC | n/a | Asset manager | $3.3B | N | yes | n/a |
| RENAISSANCE INVESTMENT GROUP, LLC | n/a | Independent wealth | $726M | N | yes | n/a |
| STRATOS WEALTH SECURITIES, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Scottsdale | Az | United States | 12 | yes |
| Metairie | La | United States | 11 | yes |
| Akron | Oh | United States | 11 | yes |
| Columbus | Oh | United States | 10 | yes |
| SAN DIEGO | CA | United States | 9 | yes |
| SAN DIEGO | CA | United States | 8 | no |
| Clinton | Ia | United States | 8 | yes |
| Hudson | Oh | United States | 8 | yes |
| REDWOOD CITY | CA | United States | 7 | yes |
| Darien | Ct | United States | 7 | yes |
| Gulfport | Ms | United States | 7 | yes |
| Irvine | CA | United States | 6 | yes |
| BATON ROUGE | La | United States | 5 | yes |
| CLIFTON PARK | NY | United States | 5 | yes |
| Hilliard | Oh | United States | 5 | yes |
| Sewickley | Pa | United States | 5 | yes |
| Dalton | Ga | United States | 4 | yes |
| CHAGRIN FALLS | Oh | United States | 4 | yes |
| Fostoria | Oh | United States | 4 | yes |
| Norfolk | Va | United States | 4 | yes |
| n/a | n/a | n/a | 4 | yes |
| Irvine | CA | United States | 3 | yes |
| BROADVIEW HEIGHTS | Oh | United States | 3 | yes |
| Holladay | Ut | United States | 3 | yes |
| SALT LAKE CITY | Ut | United States | 3 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 21, 2026 | $19B | $18B | 618 | 352 | 170 | n/a | n/a |
| 2024 | Feb 21, 2025 | $13B | $12B | 562 | 315 | 101 | n/a | n/a |
| 2023 | Mar 28, 2024 | $13B | $12B | 562 | 315 | 101 | n/a | n/a |
| 2022 | Mar 31, 2023 | $10B | $9.6B | 525 | 315 | 101 | n/a | n/a |
| 2021 | Mar 31, 2022 | $11B | $10B | 497 | 335 | 101 | n/a | n/a |
| 2020 | Mar 31, 2021 | $8.5B | $7.8B | 464 | 259 | 94 | n/a | n/a |
| 2019 | Apr 8, 2020 | $5.7B | $5.1B | 476 | 288 | 94 | n/a | n/a |
| 2018 | Mar 29, 2019 | $5.4B | $4.9B | 481 | 274 | 94 | n/a | n/a |
| 2017 | Mar 27, 2018 | $5.8B | $5.2B | 479 | 285 | 88 | n/a | n/a |
| 2016 | Mar 29, 2017 | $4.3B | $3.9B | 421 | 249 | n/a | n/a | n/a |
| 2015 | Mar 8, 2016 | $3.1B | $2.8B | 373 | 208 | n/a | n/a | n/a |
| 2014 | Feb 6, 2015 | $2.3B | $1.9B | 330 | 186 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $1.9B | $1.5B | 273 | 186 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $1.1B | $861M | 245 | 168 | n/a | n/a | n/a |
| 2011 | Mar 9, 2012 | $551M | $379M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 35 | 29 | 6 | 7.5% | 14 | 15 | 0 | 95 | 65 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $19B | $13B | 48.8% | $10B | 21.8% | 618 | 562 | 170 | 101 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| TWENTY FOUR WEALTH | 8 | Sep 3, 2026 | Aug 31, 2026 | DARIEN, CT | Team lift out | Ibd to new firm | 2.0% |
| LPL FINANCIAL LLC | 2 | Sep 2, 2026 | Nov 5, 2025 | BEDFORD, NH | Team lift out | Ibd to ibd | 0.5% |
| INDEPENDENT FINANCIAL GROUP, LLC | 2 | Mar 30, 2026 | Mar 27, 2026 | WILLOUGHBY HILLS, OH | Team lift out | Ibd to ibd | 0.5% |
| HOLISTIC WEALTH ADVISORS | 3 | Dec 23, 2024 | Dec 20, 2024 | CLIFTON PARK, NY | Team lift out | Ibd to new firm | 1.0% |
| LPL FINANCIAL LLC | 2 | Dec 4, 2024 | Dec 4, 2024 | LA JOLLA, CA | Team lift out | Ibd to ibd | 0.6% |
| JANNEY MONTGOMERY SCOTT LLC | 2 | Oct 31, 2024 | Nov 1, 2024 | COLUMBUS, OH | Team lift out | Ibd to ibd | 0.6% |
| INDEPENDENT ADVISOR ALLIANCE, LLC | 2 | Apr 1, 2024 | Mar 22, 2024 | ZANESVILLE, OH | Team lift out | Ibd to RIA | 0.6% |
| HIBERNIA WEALTH PARTNERS, LLC | 4 | Aug 4, 2022 | Jul 29, 2022 | DERIDDER, LA | Team lift out | Ibd to new firm | 1.4% |
| COMMONWEALTH FINANCIAL NETWORK | 5 | Mar 8, 2022 | Mar 9, 2022 | AURORA, OH | Team lift out | Ibd to ibd | 1.7% |
| LPL FINANCIAL LLC | 3 | Jun 30, 2021 | Dec 9, 2021 | ANNAPOLIS, MD | Team lift out | Ibd to ibd | 1.1% |
| LPL FINANCIAL LLC | 2 | Jun 30, 2021 | Feb 19, 2019 | COLUMBUS, OH | Team lift out | Ibd to ibd | 0.7% |
| INDEPENDENT ADVISOR ALLIANCE, LLC | 2 | Dec 17, 2020 | Dec 15, 2020 | WILMINGTON, NC | Team lift out | Ibd to RIA | 0.7% |
| MERIT FINANCIAL ADVISORS | 2 | Sep 2, 2020 | Oct 14, 2020 | BOYNTON BEACH, FL | Team lift out | Ibd to RIA | 0.8% |
| COMMONWEALTH FINANCIAL NETWORK | 5 | Sep 14, 2018 | Sep 14, 2018 | HARRISONBURG, VA | Team lift out | RIA to ibd | 2.1% |
| MERIT FINANCIAL ADVISORS | 2 | Oct 31, 2017 | Nov 15, 2017 | ATLANTA, GA | Team lift out | Other | 0.8% |
| MERIT FINANCIAL ADVISORS | 3 | Oct 31, 2017 | Nov 2, 2017 | FRISCO, TX | Team lift out | Other | 1.2% |
| LIFESTYLE PLANNING SOLUTIONS, LLC | 2 | Oct 31, 2017 | Jun 15, 2015 | FRISCO, TX | Team lift out | Other | 0.8% |
| ADAPTIVE FINANCIAL CONSULTING, LLC | 2 | Jul 28, 2017 | Aug 3, 2017 | BEACHWOOD, OH | Team lift out | Other | 0.8% |
| FSC SECURITIES CORPORATION | 3 | Sep 12, 2016 | Sep 16, 2016 | MARIETTA, GA | Team lift out | Other | 1.4% |
| ALPHA FINANCIAL PLANNING, INC. | 2 | Oct 1, 2015 | Jul 22, 2015 | COLUMBUS, OH | Team lift out | Other | 1.2% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| OSAIC WEALTH, INC. | 4 | Jul 6, 2026 | Jul 1, 2026 | NAPERVILLE, IL | Team lift out | Ibd to ibd | 0.1% |
| STRATEGIC INVESTMENT SOLUTIONS, INC. | 2 | May 29, 2025 | Mar 21, 2025 | AVON, OH | Team lift out | RIA to ibd | 16.7% |
| FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | 2 | Apr 30, 2025 | Apr 2, 2025 | OLYMPIA, WA | Team lift out | RIA to ibd | 2.9% |
| OSAIC WEALTH, INC. | 7 | Feb 15, 2024 | Jan 1, 2025 | REDWOOD CITY, CA | Team lift out | Ibd to ibd | 0.2% |
| OSAIC WEALTH, INC. | 2 | Feb 15, 2024 | Feb 12, 2024 | BOSTON, MA | Team lift out | Ibd to ibd | 0.0% |
| MORGAN STANLEY | 2 | Sep 22, 2023 | Oct 5, 2023 | AKRON, OH | Team lift out | Wirehouse to ibd | 0.0% |
| WELLS FARGO ADVISORS | 5 | Feb 24, 2022 | Feb 16, 2022 | SALT LAKE CITY, UT | Team lift out | Wirehouse to ibd | 0.0% |
| MML INVESTORS SERVICES, LLC | 4 | Dec 16, 2019 | Jan 22, 2020 | STAMFORD, CT | Team lift out | Ibd to RIA | 0.1% |
| OSAIC FA, INC. | 3 | Dec 4, 2019 | Dec 4, 2019 | SALT LAKE CITY, UT | Team lift out | Ibd to RIA | 0.3% |
| LIFESTYLE PLANNING SOLUTIONS, LLC | 2 | Oct 17, 2018 | Feb 25, 2013 | ALPHARETTA, GA | Team lift out | Other | 33.3% |
| HANCOCK WHITNEY INVESTMENT SERVICES INC. | 2 | Dec 1, 2017 | Dec 1, 2017 | GULFPORT, MS | Team lift out | Other | 3.3% |
| MSI FINANCIAL SERVICES, INC. | 2 | Feb 23, 2017 | Feb 23, 2017 | BROADVIEW HEIGHTS, OH | Team lift out | Other | 0.1% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Nov 25, 2016 | Dec 1, 2016 | FALL RIVER, MA | Team lift out | Other | 0.0% |
| WELLS FARGO ADVISORS | 2 | Nov 3, 2016 | Nov 10, 2016 | ANTHEM, AZ | Team lift out | Other | 0.0% |
| LPL FINANCIAL LLC | 2 | Sep 7, 2016 | Jan 12, 2016 | BEACHWOOD, OH | Team lift out | Other | 0.0% |
| WELLS FARGO ADVISORS | 2 | May 4, 2016 | Apr 29, 2016 | COLUMBUS, OH | Team lift out | Other | 0.0% |
| CAPITAL ONE ADVISORS, LLC | 3 | Jan 22, 2016 | Jan 26, 2016 | SEATTLE, WA | Team lift out | Other | 1.8% |
| WELLS FARGO ADVISORS | 2 | Jan 8, 2016 | Jan 21, 2016 | SURPRISE, AZ | Team lift out | Other | 0.0% |
| HUNTINGTON FINANCIAL ADVISORS | 2 | Jan 5, 2016 | Dec 11, 2015 | CANFIELD, OH | Team lift out | Other | 1.2% |
| WELLS FARGO ADVISORS | 2 | Nov 24, 2015 | Dec 1, 2015 | SAN DIEGO, CA | Team lift out | Other | 0.0% |