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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

STRATOS INVESTMENT MANAGEMENT, LLC

CRD 283850

BEACHWOOD, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2e1a96a7-406c-89ac-da2e-c233679eb1ec

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 20
On other graphs: 0
Observed: May 17, 2016 to Sep 17, 2026
45 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=30.0
Regulatory AUM: $3.3BItem 5.F on the latest filing (2026-09-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.3B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $552Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 89
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 7,664
Individual clients: 0
High net worth clients: 0
SEC number: 801-107873
CRD: 283850
Filings on the tape: 45
First filed: May 17, 2016
Latest filed: Sep 17, 2026
Organised: Limited Liability Company, OH
Website: stratosinvestmentmanagement.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOHN LELAND NICHOL	Chartered Financial Analyst	BEACHWOOD, OH	5	26	1	no
Francesco DiGenova	Chartered Financial Analyst	Beachwood, OH	1	12	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ANDREFSKY, NANCY, EILEEN	CHIEF FINANCIAL OFFICER; NON-MEMBER	Na	yes	05/2016	May 17, 2016	Jun 28, 2024
CONCEPCION, JEFFREY, ALAN	CHIEF EXECUTIVE OFFICER, MANAGER	Na	yes	06/2021	May 17, 2016	Jun 28, 2024
CONCEPCION, JEFFREY, ALAN	MANAGING MEMBER	E	yes	01/2016	May 17, 2016	Jun 28, 2024
LOUTTIT, KATHRYN, HALE	CHIEF COMPLIANCE OFFICER, NON-MEMBER	Na	yes	03/2022	Mar 31, 2022	Jun 28, 2024
NICHOL, JOHN, LELAND	CHIEF INVESTMENT OFFICER, NON-MEMBER	Na	yes	02/2021	Apr 1, 2021	Jun 28, 2024
Nuttall, Phillip, Stuart	CHIEF OPERATING OFFICER, NON-MEMBER	Na	yes	07/2023	Aug 8, 2023	Jun 28, 2024
STRATOS INTERMEDIATE HOLDCO LLC	Member	E	yes	05/2022	Mar 29, 2023	Jun 28, 2024
STRATOS INTERMEDIATE HOLDCO. I LLC	Member	E	yes	04/2022	Mar 29, 2023	Jun 28, 2024
STRATOS WEALTH HOLDINGS LLC	Member	E	yes	01/2016	May 17, 2016	Jun 28, 2024
BEAHN, ERIC, ANDREW	DIRECTOR OF ADVISORY COMPENSATION, NON-MEMBER	Na	no	01/2019	Mar 27, 2019	Jun 28, 2024
COLLINS, JENNIFER, KATHRYN	DIRECTOR OF ADVISORY COMPLIANCE, NON-MEMBER	Na	no	03/2022	May 26, 2017	Jun 28, 2024
PAWLOWSKI, JON, MICHAEL	DIRECTOR OF REGULATORY COMPLIANCE, NON-MEMBER	Na	no	03/2023	Mar 29, 2023	Jun 28, 2024
POLLEY, MALCOLM, EMERSON	CHIEF MARKET STRATEGIST	Na	no	01/2024	Feb 5, 2024	Jun 28, 2024
SIMONS, BARBARA, JEAN DULL	DIRECTOR OF BROKERAGE COMPLIANCE, NON-MEMBER	Na	no	05/2016	Mar 29, 2018	Jun 28, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
STRATOS WEALTH PARTNERS, LTD	n/a	Bd affiliated wealth	$19B	N	yes	n/a
STRATOS WEALTH ADVISORS LLC	n/a	Independent wealth	$5.6B	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

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 10 of 11

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 17, 2026	$3.3B	$3.3B	89	4	1	n/a	n/a
2024	Mar 31, 2025	$2.4B	$2.4B	79	4	1	n/a	n/a
2023	Mar 22, 2024	$1.5B	$1.5B	8	3	1	n/a	n/a
2022	Mar 29, 2023	$1.1B	$1.1B	7	2	0	n/a	n/a
2021	Mar 31, 2022	$1.2B	$1.2B	6	2	0	n/a	n/a
2020	Apr 1, 2021	$643M	$643M	7	4	0	n/a	n/a
2019	Apr 20, 2020	$462M	$462M	10	4	0	n/a	n/a
2018	Mar 27, 2019	$297M	$297M	10	4	0	n/a	n/a
2017	Mar 29, 2018	$147M	$147M	9	9	0	n/a	n/a
2016	Mar 30, 2017	$2.8M	$2.8M	6	1	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	2	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$3.3B	$2.4B	35.6%	$1.1B	42.8%	89	79	1	1

Relationships

Affiliated with (6)

← STRATOS WEALTH ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
← STRATOS WEALTH PARTNERS, LTDRegistered adviserother investment adviser, common control
factForm ADV
→ STRATOS WEALTH PARTNERS, LTDRegistered adviserother investment adviser, common control
factForm ADV
→ RENAISSANCE INVESTMENT GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ STRATOS WEALTH ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
← RENAISSANCE INVESTMENT GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (8)

← Milan MarkovicAdvisorregistration: current employment
Mar 11, 2026 to presentfactForm ADV
← CHARIS IVANA JONESAdvisorregistration: current employment
Oct 7, 2025 to presentfactForm ADV
← Francesco DiGenovaAdvisorregistration: current employment
Dec 13, 2024 to presentfactForm ADV
← MALCOLM EMERSON POLLEYAdvisorregistration: current employment
Jan 8, 2024 to presentfactForm ADV
← TRAVIS BENTLEY SMYTHEAdvisorregistration: current employment
Nov 2, 2023 to presentfactForm ADV
← JOHN LELAND NICHOLAdvisorregistration: current employment
Feb 3, 2021 to presentfactForm ADV
← JEFFREY ALAN CONCEPCIONAdvisorregistration: previous registration
Nov 19, 2020 to Mar 3, 2023factForm ADV
← Chad RoopeAdvisorregistration: previous registration
Aug 25, 2016 to Nov 2, 2020factForm ADV

Controls (8)

← Nuttall, Phillip, StuartOwnerCHIEF OPERATING OFFICER, NON-MEMBER, ownership code NA, individual
Aug 8, 2023 to Jun 28, 2024factForm ADV
← CONCEPCION, JEFFREY, ALANOwnerMANAGING MEMBER, ownership code E, individual
May 17, 2016 to Jun 28, 2024factForm ADV
← LOUTTIT, KATHRYN, HALEOwnerCHIEF COMPLIANCE OFFICER, NON-MEMBER, ownership code NA, individual
Mar 31, 2022 to Jun 28, 2024factForm ADV
← ANDREFSKY, NANCY, EILEENOwnerCHIEF FINANCIAL OFFICER; NON-MEMBER, ownership code NA, individual
May 17, 2016 to Jun 28, 2024factForm ADV
← NICHOL, JOHN, LELANDOwnerCHIEF INVESTMENT OFFICER, NON-MEMBER, ownership code NA, individual
Apr 1, 2021 to Jun 28, 2024factForm ADV
← STRATOS INTERMEDIATE HOLDCO LLCOwnerMEMBER, ownership code E, domestic entity
Mar 29, 2023 to Jun 28, 2024factForm ADV
← STRATOS INTERMEDIATE HOLDCO. I LLCOwnerMEMBER, ownership code E, domestic entity
Mar 29, 2023 to Jun 28, 2024factForm ADV
← STRATOS WEALTH HOLDINGS LLCOwnerMEMBER, ownership code E, domestic entity
May 17, 2016 to Jun 28, 2024factForm ADV

Owns (5)

← SIMONS, BARBARA, JEAN DULLOwnerDIRECTOR OF BROKERAGE COMPLIANCE, NON-MEMBER, ownership code NA, individual
Mar 29, 2018 to Jun 28, 2024factForm ADV
← POLLEY, MALCOLM, EMERSONOwnerCHIEF MARKET STRATEGIST, ownership code NA, individual
Feb 5, 2024 to Jun 28, 2024factForm ADV
← COLLINS, JENNIFER, KATHRYNOwnerDIRECTOR OF ADVISORY COMPLIANCE, NON-MEMBER, ownership code NA, individual
May 26, 2017 to Jun 28, 2024factForm ADV
← BEAHN, ERIC, ANDREWOwnerDIRECTOR OF ADVISORY COMPENSATION, NON-MEMBER, ownership code NA, individual
Mar 27, 2019 to Jun 28, 2024factForm ADV
← PAWLOWSKI, JON, MICHAELOwnerDIRECTOR OF REGULATORY COMPLIANCE, NON-MEMBER, ownership code NA, individual
Mar 29, 2023 to Jun 28, 2024factForm ADV

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
Stratos Investment Management, Llc reported RAUM $3.3B, up 36% from $2.4B (2025-12-22 to 2026-03-31)
Form ADVobserved 4 days ago
$869M
Occurred
Mar 31, 2025
Regulatory AUM changed
Stratos Investment Management, Llc reported RAUM $2.4B, up 60% from $1.5B (2024-06-28 to 2025-03-31)
Form ADVobserved 4 days ago
$920M
Occurred
Mar 22, 2024
Regulatory AUM changed
Stratos Investment Management, Llc reported RAUM $1.5B, up 34% from $1.1B (2024-02-05 to 2024-03-22)
Form ADVobserved 4 days ago
$384M
Occurred
Aug 8, 2023
Control person joined
Stuart Phillip Nuttall (Chief Operating Officer) appeared on Schedule A of Stratos Investment Management, Llc
Form ADVobserved 4 days ago
Occurred
Mar 29, 2023
Control person joined
Michael Jon Pawlowski (Director Of Regulatory Compliance, Non-Member) appeared on Schedule A of Stratos Investment Management, Llc
Form ADVobserved 4 days ago
Occurred
Mar 3, 2023
Advisor departed, no destination yet
Jeffrey Alan Concepcion no longer registered at Stratos Investment Management, Llc; no later IA registration on IAPD
Form ADVobserved 4 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
Stratos Investment Management, Llc reported RAUM $1.2B, up 94% from $642.7M (2021-09-28 to 2022-03-31)
Form ADVobserved 4 days ago
$604M
Occurred
Mar 31, 2022
Control person left
Alan Jeffrey Engelsman (Chief Compliance Officer, Non-Member) no longer on Schedule A of Stratos Investment Management, Llc (listed 2021-09-28, absent 2022-03-31)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2022
Control person joined
Hale Kathryn Louttit (Chief Compliance Officer) appeared on Schedule A of Stratos Investment Management, Llc
Form ADVobserved 4 days ago
Occurred
Jun 10, 2021
Control person joined
Alan Jeffrey Engelsman (Chief Compliance Officer, Non-Member) appeared on Schedule A of Stratos Investment Management, Llc
Form ADVobserved 4 days ago
Occurred
Apr 1, 2021
Regulatory AUM changed
Stratos Investment Management, Llc reported RAUM $642.7M, up 39% from $461.9M (2020-11-02 to 2021-04-01)
Form ADVobserved 4 days ago
$181M
Occurred
Apr 1, 2021
Control person left
James Matthew Dunn (Chief Compliance Officer; Non-Member) no longer on Schedule A of Stratos Investment Management, Llc (listed 2020-11-02, absent 2021-04-01)
Form ADVobserved 4 days ago
Occurred
Apr 1, 2021
Control person joined
Leland John Nichol (Chief Investment Officer) appeared on Schedule A of Stratos Investment Management, Llc
Form ADVobserved 4 days ago
Occurred
Nov 2, 2020
Control person left
Daniel Chad Roope (Chief Investment Officer) no longer on Schedule A of Stratos Investment Management, Llc (listed 2020-06-24, absent 2020-11-02)
Form ADVobserved 4 days ago
Occurred
Apr 20, 2020
Regulatory AUM changed
Stratos Investment Management, Llc reported RAUM $461.9M, up 56% from $296.7M (2019-11-26 to 2020-04-20)
Form ADVobserved 4 days ago
$165M
Occurred
Apr 20, 2020
Control person joined
Daniel Chad Roope (Chief Investment Officer) appeared on Schedule A of Stratos Investment Management, Llc
Form ADVobserved 4 days ago
Occurred
Mar 27, 2019
Regulatory AUM changed
Stratos Investment Management, Llc reported RAUM $296.7M, up 102% from $146.6M (2019-02-05 to 2019-03-27)
Form ADVobserved 4 days ago
$150M
Occurred
Mar 27, 2019
Control person left
Jack Daniel Jacoby (Chief Investment Officer; Non-Member) no longer on Schedule A of Stratos Investment Management, Llc (listed 2019-02-05, absent 2019-03-27)
Form ADVobserved 4 days ago
Occurred
Feb 5, 2019
Control person joined
Kathryn Jennifer Pieronek (Director Of Advisory Operations) appeared on Schedule A of Stratos Investment Management, Llc
Form ADVobserved 4 days ago
Occurred
May 17, 2016
First Form ADV filing
Fundamentum, L.L.C. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2e1a96a7-406c-89ac-da2e-c233679eb1ec
First observed: May 17, 2016
Last observed: Sep 17, 2026 2 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STRATOS INVESTMENT MANAGEMENT, LLC

CRD 283850

BEACHWOOD, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2e1a96a7-406c-89ac-da2e-c233679eb1ec

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:13 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN LELAND NICHOL

Chartered Financial Analyst

BEACHWOOD, OH

Francesco DiGenova

Chartered Financial Analyst

Beachwood, OH

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANDREFSKY, NANCY, EILEEN

CHIEF FINANCIAL OFFICER; NON-MEMBER

yes

05/2016

May 17, 2016

Jun 28, 2024

CONCEPCION, JEFFREY, ALAN

CHIEF EXECUTIVE OFFICER, MANAGER

yes

06/2021

May 17, 2016

Jun 28, 2024

CONCEPCION, JEFFREY, ALAN

MANAGING MEMBER

yes

01/2016

May 17, 2016

Jun 28, 2024

LOUTTIT, KATHRYN, HALE

CHIEF COMPLIANCE OFFICER, NON-MEMBER

yes

03/2022

Mar 31, 2022

Jun 28, 2024

NICHOL, JOHN, LELAND

CHIEF INVESTMENT OFFICER, NON-MEMBER

yes

02/2021

Apr 1, 2021

Jun 28, 2024

Nuttall, Phillip, Stuart

CHIEF OPERATING OFFICER, NON-MEMBER

yes

07/2023

Aug 8, 2023

Jun 28, 2024

STRATOS INTERMEDIATE HOLDCO LLC

Member

yes

05/2022

Mar 29, 2023

Jun 28, 2024

STRATOS INTERMEDIATE HOLDCO. I LLC

Member

yes

04/2022

Mar 29, 2023

Jun 28, 2024

STRATOS WEALTH HOLDINGS LLC

Member

yes

01/2016

May 17, 2016

Jun 28, 2024

BEAHN, ERIC, ANDREW

DIRECTOR OF ADVISORY COMPENSATION, NON-MEMBER

01/2019

Mar 27, 2019

Jun 28, 2024

COLLINS, JENNIFER, KATHRYN

DIRECTOR OF ADVISORY COMPLIANCE, NON-MEMBER

03/2022

May 26, 2017

Jun 28, 2024

PAWLOWSKI, JON, MICHAEL

DIRECTOR OF REGULATORY COMPLIANCE, NON-MEMBER

03/2023

Mar 29, 2023

Jun 28, 2024

POLLEY, MALCOLM, EMERSON

CHIEF MARKET STRATEGIST

01/2024

Feb 5, 2024

Jun 28, 2024

SIMONS, BARBARA, JEAN DULL

DIRECTOR OF BROKERAGE COMPLIANCE, NON-MEMBER

05/2016

Mar 29, 2018

Jun 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

STRATOS WEALTH PARTNERS, LTD

n/a

Bd affiliated wealth

$19B

yes

n/a

STRATOS WEALTH ADVISORS LLC

n/a

Independent wealth

$5.6B

yes

n/a

RENAISSANCE INVESTMENT GROUP, LLC

n/a

Independent wealth

$726M

yes

n/a

STRATOS WEALTH SECURITIES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 17, 2026

$3.3B

n/a

2024

Mar 31, 2025

$2.4B

n/a

2023

Mar 22, 2024

$1.5B

n/a

2022

Mar 29, 2023

$1.1B

n/a

2021

Mar 31, 2022

$1.2B

n/a

2020

Apr 1, 2021

$643M

n/a

2019

Apr 20, 2020

$462M

n/a

2018

Mar 27, 2019

$297M

n/a

2017

Mar 29, 2018

$147M

n/a

2016

Mar 30, 2017

$2.8M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$3.3B

$2.4B

35.6%

$1.1B

42.8%