DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Stratos Investment Management, LLC
Latest filing Jul 1, 2026
First filing on the tape May 17, 2016 · 44 filings
SEC status approved since May 23, 2016
RAUM
$3.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$552M
derived; firm RAUM over IAPD count
Employees
89
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$3.3B as of Jul 1, 2026
Mar 30, 2017$2.8M then
HNW client RAUM$0 as of Jul 1, 2026
Mar 29, 2018$32.5M then
State-registered IARs (5.B.3)4 as of Jul 1, 2026
Mar 30, 20175 then
Employees (5.A)89 as of Jul 1, 2026
Mar 30, 20176 then
Private funds: no history
RAUM +36% over the last fiscal year+43% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
- RAUM per advisor
- $552MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $432,109derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 14.8derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$3.3B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7,664reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $3.3B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=30.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Leland NicholChartered Financial Analyst | Beachwood, Oh | Feb 3, 2021 | 26 y | 1 |
| Francesco DigenovaChartered Financial Analyst | Beachwood, Oh | Dec 13, 2024 | 12 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Chad Roope to Sequoia Financial Group, L.L.C.Nov 2, 2020 · RIA to RIA
Joined, latest
- Charis Ivana Jones from Hightower Advisors, LLCOct 7, 2025 · Other
- Malcolm Emerson Polley from Stewart Capital Advisors, LLCJan 8, 2024 · Other
- John Leland Nichol from Federated Investment CounselingFeb 3, 2021 · Other
- Chad Roope from Valmark Advisers, Inc.Aug 25, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Eileen Nancy Andrefsky · Chief Financial Officer; Non-Membercontrolsince 05/2016 · owns less than 5%
- Alan Jeffrey Concepcion · Chief Executive Officer, Managercontrolsince 06/2021 · owns less than 5%
- Hale Kathryn Louttit · Chief Compliance Officer, Non-Membercontrolsince 03/2022 · owns less than 5%
- Leland John Nichol · Chief Investment Officer, Non-Membercontrolsince 02/2021 · owns less than 5%
- Stuart Phillip Nuttall · Chief Operating Officer, Non-Membercontrolsince 07/2023 · owns less than 5%
- Alan Jeffrey Concepcion · Managing Membercontrolsince 01/2016 · owns 75% or more of Stratos Wealth Holdings LLC
- Andrew Eric Beahn · Director Of Advisory Compensation, Non-Membersince 01/2019 · owns less than 5%
- Kathryn Jennifer Collins · Director Of Advisory Compliance, Non-Membersince 03/2022 · owns less than 5%
- Michael Jon Pawlowski · Director Of Regulatory Compliance, Non-Membersince 03/2023 · owns less than 5%
- Emerson Malcolm Polley · Chief Market Strategistsince 01/2024 · owns less than 5%
- Jean Dull Barbara Simons · Director Of Brokerage Compliance, Non-Membersince 05/2016 · owns less than 5%
Entity owners
- Stratos Intermediate Holdco LLC · Memberdirect · owns 75% or more
- Stratos Intermediate Holdco. I LLC · Memberindirect · owns 75% or more of Stratos Intermediate Holdco LLC
- Stratos Wealth Holdings LLC · Memberindirect · owns 75% or more of Stratos Intermediate Holdco. I LLC
Related persons
Schedule D 7.A
- Renaissance Investment Group, LLCinvestment advisernRAUM $726M
- Stratos Wealth Advisors LLCinvestment advisernRAUM $5.6B
- Stratos Wealth Partners, Ltdinvestment advisernRAUM $19B
- Stratos Wealth Securities, LLCbroker-dealern
Advisers that list Stratos Investment Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Beachwood, Oh · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 5,427 to 7,664Dec 22, 2025 to Mar 31, 2026
- Employees · 79 to 89Dec 22, 2025 to Mar 31, 2026
- Insurance-licensed employees · 1 to 3Dec 22, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 4Dec 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.4B to $3.3BDec 22, 2025 to Mar 31, 2026
- RAUM · $2.4B to $3.3BDec 22, 2025 to Mar 31, 2026
- Wrap assets (manager) · $2.4B to $3.3BDec 22, 2025 to Mar 31, 2026
- Related insurance company · false to trueOct 7, 2025 to Dec 22, 2025
- Financial planning clients · 0 to 0Mar 31, 2025 to Oct 7, 2025
- Accounts · 3,612 to 5,427Jun 28, 2024 to Mar 31, 2025
- Advisory employees · 3 to 4Jun 28, 2024 to Mar 31, 2025
- BD registered reps · 3 to 30Jun 28, 2024 to Mar 31, 2025
- Employees · 8 to 79Jun 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.5B to $2.4BJun 28, 2024 to Mar 31, 2025
- RAUM · $1.5B to $2.4BJun 28, 2024 to Mar 31, 2025
- Wrap assets (manager) · $1.5B to $2.4BJun 28, 2024 to Mar 31, 2025
- Accounts · 3,251 to 3,612Feb 5, 2024 to Mar 22, 2024
- Advisory employees · 2 to 3Feb 5, 2024 to Mar 22, 2024
- Employees · 7 to 8Feb 5, 2024 to Mar 22, 2024
- Discretionary RAUM · $1.1B to $1.5BFeb 5, 2024 to Mar 22, 2024
- RAUM · $1.1B to $1.5BFeb 5, 2024 to Mar 22, 2024
- Wrap assets (manager) · $1.1B to $1.5BFeb 5, 2024 to Mar 22, 2024
- Other offices · 0 to 1Jan 24, 2024 to Feb 5, 2024
- Business name · FUNDAMENTUM, LLC to STRATOS INVESTMENT MANAGEMENT, LLCJan 10, 2024 to Jan 24, 2024
- Legal name · FUNDAMENTUM, LLC to STRATOS INVESTMENT MANAGEMENT, LLCJan 10, 2024 to Jan 24, 2024
- Accounts · 3,034 to 3,251May 2, 2022 to Mar 29, 2023
- Employees · 6 to 7May 2, 2022 to Mar 29, 2023
- Insurance-licensed employees · 3 to 1May 2, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.2B to $1.1BMay 2, 2022 to Mar 29, 2023
- RAUM · $1.2B to $1.1BMay 2, 2022 to Mar 29, 2023
- Wrap assets (manager) · $1.2B to $1.1BMay 2, 2022 to Mar 29, 2023
- Accounts · 2,180 to 3,034Sep 28, 2021 to Mar 31, 2022
- Advisory employees · 4 to 2Sep 28, 2021 to Mar 31, 2022
- Charity clients · 2 to 0Sep 28, 2021 to Mar 31, 2022
- Corporate clients · 17 to 0Sep 28, 2021 to Mar 31, 2022
- HNW clients · 12 to 0Sep 28, 2021 to Mar 31, 2022
- Individual clients · 1,211 to 0Sep 28, 2021 to Mar 31, 2022
- Pension plan clients · 1 to 0Sep 28, 2021 to Mar 31, 2022
- Employees · 7 to 6Sep 28, 2021 to Mar 31, 2022
- State-registered IARs · 3 to 2Sep 28, 2021 to Mar 31, 2022
Signals
20 dated events
- Stratos Investment Management, Llc reported RAUM $3.3B, up 36% from $2.4B (2025-12-22 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Stratos Investment Management, Llc reported RAUM $2.4B, up 60% from $1.5B (2024-06-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Stratos Investment Management, Llc reported RAUM $1.5B, up 34% from $1.1B (2024-02-05 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- Stuart Phillip Nuttall (Chief Operating Officer) appeared on Schedule A of Stratos Investment Management, LlcAug 8, 2023 · Control person joined · fact
- Michael Jon Pawlowski (Director Of Regulatory Compliance, Non-Member) appeared on Schedule A of Stratos Investment Management, LlcMar 29, 2023 · Control person joined · fact
- Jeffrey Alan Concepcion no longer registered at Stratos Investment Management, Llc; no later IA registration on IAPDMar 3, 2023 · Advisor departure · fact
- Stratos Investment Management, Llc reported RAUM $1.2B, up 94% from $642.7M (2021-09-28 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- 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)Mar 31, 2022 · Control person left · inference
- Hale Kathryn Louttit (Chief Compliance Officer) appeared on Schedule A of Stratos Investment Management, LlcMar 31, 2022 · Control person joined · fact
- Alan Jeffrey Engelsman (Chief Compliance Officer, Non-Member) appeared on Schedule A of Stratos Investment Management, LlcJun 10, 2021 · Control person joined · fact
- Stratos Investment Management, Llc reported RAUM $642.7M, up 39% from $461.9M (2020-11-02 to 2021-04-01)Apr 1, 2021 · RAUM change · derived
- 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)Apr 1, 2021 · Control person left · inference
- Leland John Nichol (Chief Investment Officer) appeared on Schedule A of Stratos Investment Management, LlcApr 1, 2021 · Control person joined · fact
- Daniel Chad Roope (Chief Investment Officer) no longer on Schedule A of Stratos Investment Management, Llc (listed 2020-06-24, absent 2020-11-02)Nov 2, 2020 · Control person left · inference
- Stratos Investment Management, Llc reported RAUM $461.9M, up 56% from $296.7M (2019-11-26 to 2020-04-20)Apr 20, 2020 · RAUM change · derived
- Daniel Chad Roope (Chief Investment Officer) appeared on Schedule A of Stratos Investment Management, LlcApr 20, 2020 · Control person joined · fact
- Stratos Investment Management, Llc reported RAUM $296.7M, up 102% from $146.6M (2019-02-05 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- 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)Mar 27, 2019 · Control person left · inference
- Kathryn Jennifer Pieronek (Director Of Advisory Operations) appeared on Schedule A of Stratos Investment Management, LlcFeb 5, 2019 · Control person joined · fact
- Fundamentum, L.L.C. filed its initial SEC registration (Form ADV)May 17, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/stratos-investment-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- stratosinvestmentmanagement.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 4402104900reportedpublic record, Form ADV, Jul 1, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $552Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026