Stratos Investment Management, Llc
- Regulatory AUM
- $3.3B
- Discretionary
- $3.3B
- Clients
- 3
- Avg AUM / client
- $1.1B
- Accounts
- 7,664
- Employees
- 89
AUM over time
Annual snapshots from Form ADV filings · as of Jul 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Other investment advisers | 3 | $3.3B | 100.0% |
People (14)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jeffrey Alan Concepcion | Chief Executive Officer, Manager | Jan 2016 (11y) | ≈ 31.64% – 100% via Stratos Wealth Holdings Llc | |
| Nancy Eileen Andrefsky | Chief Financial Officer; Non Member | May 2016 (10y) | Less than 5% | |
| Simons, Barbara, Jean Dull | Director Of Brokerage Compliance, Non Member | May 2016 (10y) | Less than 5% | |
| Eric Andrew Beahn | Director Of Advisory Compensation, Non Member | Jan 2019 (8y) | Less than 5% | |
| John Leland Nichol | Chief Investment Officer, Non Member | CFA | Feb 2021 (6y) | 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% | |
| Jon Michael Pawlowski | Director Of Regulatory Compliance, Non Member | Mar 2023 (3y) | Less than 5% | |
| Phillip Nuttall | Chief Operating Officer, Non Member | CFP | Jul 2023 (3y) | Less than 5% |
| Malcolm Emerson Polley | Chief Market Strategist | CFA | Jan 2024 (3y) | Less than 5% |
| Travis Bentley Smythe | Registered representative | CFA | Nov 2023 (3y) | |
| Francesco Di Genova | Registered representative | CFA | Dec 2024 (2y) | |
| Charis Ivana Jones | Registered representative | Oct 2025 (1y) | ||
| Milan Markovic | Registered representative | Mar 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Stratos Intermediate Holdco Llc | Member | May 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/01/2026 | 2.08 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
Services
- • Other services
Custody
Reported custodians
- Fidelity Brokerage Services $2.5B (76% of AUM) Jul 2026
- Charles Schwab & Co. $781M (24% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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 01, 2026.
View current Form ADV (SEC/IAPD) ↗