Stratos Wealth Advisors Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 283816
· SEC file 801-108211
· Beachwood, OH
· intersectingwealth.com
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ADV data as of Jul 15, 2026
- Regulatory AUM
- $5.6B
- Discretionary
- $5.5B
- Clients
- 5,023
- Avg AUM / client
- $1.1M
- Accounts
- 12,896
- Employees
- 170
AUM over time
$0
$5.6B
Jul 2016
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 15, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3,573 | $1.2B | 21.1% |
| High net worth individuals | 1,355 | $4.2B | 75.7% |
| Pension and profit sharing plans | 40 | $36.7M | 0.66% |
| Charitable organizations | 10 | $21.0M | 0.38% |
| Insurance companies | Fewer than 5 clients | $3.1M | 0.05% |
| Corporations and other businesses | 45 | $118M | 2.12% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Netjets Aviation, Inc. 401(k) Retirement Plan Netjets Aviation, Inc. | 2024 | |
| Center For Organ Recovery & Education 401(k) Profit Sharing Plan Center For Organ Recovery & Education | 2024 | |
| Cleveland Clinic Savings And Investment Plan The Cleveland Clinic Foundation | 2024 | |
| Southwest Airlines Pilots Retirement Savings Plan Southwest Airlines Company | 2024 | |
| Dickson Medical Associates Profit Sharing Plan Dickson Medical Associates P.C. | 2024 |
People (79)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Simons, Barbara, Jean Dull | Director Of Brokerage Compliance, Non Member | Oct 2014 (12y) | Less than 5% | |
| Jeffrey Alan Concepcion | Chief Executive Officer; Manager | Jan 2016 (11y) | ≈ 31.64% – 100% via Stratos Wealth Holdings Llc | |
| Eric Andrew Beahn | Director Of Advisory Compensation; Non Member | May 2016 (10y) | Less than 5% | |
| Nancy Eileen Andrefsky | Chief Financial Officer, Non Member | May 2016 (10y) | Less than 5% | |
| Luis Camacho | President Stratos Wealth Enterprises Llc | Jul 2018 (8y) | Less than 5% | |
| Douglas Alan Burns | Director Of Supervision , Non Member | Oct 2021 (5y) | Less than 5% | |
| Jennifer Kathryn Collins | Director Of Advisory Compliance, Non Member | Mar 2022 (4y) | Less than 5% | |
| Kathryn Hale Louttit | Chief Compliance Officer, Non Member | Mar 2022 (4y) | Less than 5% | |
| Copley, Thomas, Michael | Supervisory Principal, Non Member | Apr 2022 (4y) | Less than 5% | |
| Phillip Nuttall | Chief Operating Officer, Non Member | CFP | Jul 2023 (3y) | Less than 5% |
| Richard Arnold Nilsen | Registered representative | Dec 2016 (10y) | ||
| Ryan Nicholas Paugh | Registered representative | May 2017 (9y) | ||
| John Stephen Toth | Registered representative | Nov 2017 (9y) | ||
| Pierre Blaise Villere | Registered representative | Apr 2018 (8y) | ||
| Michael C Feller | Registered representative | Apr 2018 (8y) | ||
| Tina Marie Migge | Registered representative | May 2018 (8y) | ||
| Jason R Hostetler | Registered representative | May 2018 (8y) | ||
| William Edward Baker | Registered representative | CFA | Jun 2018 (8y) | |
| Anthony Edward Pratt | Registered representative | Jul 2018 (8y) | ||
| Haad Mahir Majied | Registered representative | CFP | Sep 2018 (8y) | |
| Andrew David Smith | Registered representative | Nov 2018 (8y) | ||
| Eric Ross Susi | Registered representative | Nov 2018 (8y) | ||
| Brian Paul Fowles | Registered representative | Jan 2019 (8y) | ||
| Erik Harpsoe | Registered representative | Jan 2019 (8y) | ||
| Kenneth Gardner Bielejeski | Registered representative | Jan 2019 (8y) | ||
| Jeffrey Paul Mucci | Registered representative | Apr 2019 (7y) | ||
| Scott Clifton Buell | Registered representative | Apr 2019 (7y) | ||
| Kevin C Dufault | Registered representative | Apr 2019 (7y) | ||
| Mark Thomas Roman | Registered representative | Apr 2019 (7y) | ||
| Timothy Duggan | Registered representative | Apr 2019 (7y) | ||
| Russell James Long | Registered representative | Dec 2019 (7y) | ||
| Jarrett Keith Felton | Registered representative | May 2020 (6y) | ||
| Kevin D Millard | Registered representative | CFP | Mar 2021 (5y) | |
| Michael Sung Ma | Registered representative | Mar 2021 (5y) | ||
| Gayle S G Rosewell | Registered representative | CFP | May 2021 (5y) | |
| Jan Eric Kowal | Registered representative | CFP | Jul 2021 (5y) | |
| Jason Kowal | Registered representative | Jul 2021 (5y) | ||
| Daniel Joseph Falcone | Registered representative | Aug 2021 (5y) | ||
| Eric Lee Biddle | Registered representative | CFP | Oct 2021 (5y) | |
| Christopher Fleming Kiley | Registered representative | CFP | May 2022 (4y) | |
| Nathan Don Ferrante | Registered representative | Jun 2022 (4y) | ||
| Jennifer M Brennan | Registered representative | Sep 2022 (4y) | ||
| Andrew James Mikovch | Registered representative | CFP | Sep 2022 (4y) | |
| Kenneth Joseph Gimbel | Registered representative | Sep 2022 (4y) | ||
| James Charles Conley | Registered representative | Feb 2023 (3y) | ||
| James C Picolo | Registered representative | Apr 2023 (3y) | ||
| Joseph Nicholas Swiderski | Registered representative | CFP | May 2023 (3y) | |
| Vincent Edward Sobocinski | Registered representative | Jun 2023 (3y) | ||
| Daniel Corcoran Kiley | Registered representative | CFP | Jun 2023 (3y) | |
| Robert Alan Hamer | Registered representative | Jun 2023 (3y) | ||
| Thomas Russell Le Roy | Registered representative | Aug 2023 (3y) | ||
| Daryl James Marsden | Registered representative | Sep 2023 (3y) | ||
| David Taucher | Registered representative | CFP | Dec 2023 (3y) | |
| Karyn Pistone | Registered representative | Dec 2023 (3y) | ||
| Linda Lee Tekavec | Registered representative | Dec 2023 (3y) | ||
| Spencer Pistone Dieck | Registered representative | Dec 2023 (3y) | ||
| Malcolm Emerson Polley | Registered representative | CFA | Jan 2024 (3y) | |
| Carla Rae Bessette | Registered representative | Mar 2024 (2y) | ||
| Daniel Gerry Roberts | Registered representative | CFP | Mar 2024 (2y) | |
| Erich Michael Brenner | Registered representative | Mar 2024 (2y) | ||
| Peter Andrew Bessette | Registered representative | Mar 2024 (2y) | ||
| Dayna Marie Smith | Registered representative | Apr 2024 (2y) | ||
| Henry Allen Spain | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
| Mitchell Philip Hamer | Registered representative | CFP | May 2024 (2y) | |
| Jake Patrick Kosmala | Registered representative | Jun 2024 (2y) | ||
| Alyson Taillon Schafer | Registered representative | CFP | Aug 2024 (2y) | |
| Aura Lewanna Carmi | Registered representative | CFP | Sep 2024 (2y) | |
| Ronald Mario Taraborrelli | Registered representative | CFP | Oct 2024 (2y) | |
| Aaron Allen Reed | Registered representative | Dec 2024 (2y) | ||
| Andrew J Shamy | Registered representative | Jan 2025 (2y) | ||
| Andrew Bessette | Registered representative | Feb 2025 (2y) | ||
| Kate Ellen Sweetman | Registered representative | Feb 2025 (1y) | ||
| Carson J Kiley | Registered representative | Jul 2025 (1y) | ||
| Charis Ivana Jones | Registered representative | Oct 2025 (1y) | ||
| Trael A Robertson | Registered representative | Nov 2025 (1y) | ||
| Eric Joseph Fessler | Registered representative | Jan 2026 (1y) | ||
| Marni Kristine Angus | Registered representative | Mar 2026 (0y) | ||
| Larry Warren Sills | Registered representative | Mar 2026 (0y) | ||
| Richard Russell Geiger | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Stratos Intermediate Holdco Llc | Member | Mar 2022 | A | 75% or more |
| Stratos Intermediate Holdco I Llc | Member | Apr 2022 | B | ≈ 56.25% – 100% via Stratos Intermediate Holdco Llc |
| Stratos Wealth Holdings Llc | Member | Jan 2016 | B | ≈ 42.19% – 100% via Stratos Intermediate Holdco I Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Jeffrey Alan Concepcion: 75% – 100% of Stratos Wealth Holdings Llc × 75% – 100% of Stratos Intermediate Holdco I Llc × 75% – 100% of Stratos Intermediate Holdco Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Stratos Intermediate Holdco I Llc: 75% – 100% of Stratos Intermediate Holdco Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Stratos Wealth Holdings Llc: 75% – 100% of Stratos Intermediate Holdco I Llc × 75% – 100% of Stratos Intermediate Holdco Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (5)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Netjets Aviation, Inc. 401(k) Retirement Plan | Netjets Aviation, Inc. | 4,042 | $2.5B | 01/01/2024 |
| Center For Organ Recovery & Education 401(k) Profit Sharing Plan | Center For Organ Recovery & Education | 213 | $35.3M | 01/01/2024 |
| Cleveland Clinic Savings And Investment Plan | The Cleveland Clinic Foundation | 68,206 | $9.2B | 01/01/2024 |
| Southwest Airlines Pilots Retirement Savings Plan | Southwest Airlines Company | 11,679 | $11.6B | 01/01/2024 |
| Dickson Medical Associates Profit Sharing Plan | Dickson Medical Associates P.C. | 358 | $27.2M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/15/2026 | 2.43 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • PERCENTAGE OF ASSETS UNDER MANAGEMENT WITH THIRD PARTY MANAGERS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $3.4B (61% of AUM) Jul 2026
- Charles Schwab & Co. $2.2B (39% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 15, 2026.
View current Form ADV (SEC/IAPD) ↗