Asset manager · Beachwood, OH
Stratos Investment Management, LLC
SEC-registered investment adviser · CRD 283850 · SEC 801-107873
At a glance
Stratos Investment Management, LLC is an SEC-registered investment adviser based in Beachwood, Ohio, with $3.3 billion in regulatory assets under management as of its Form ADV filed October 1, 2026. Its largest client group by assets is other investment advisers. By Form ADV it is a asset manager, ranked 841st of 3,218 asset managers and 2,666th of 17,210 SEC-registered advisers by assets.
Main office 440-210-4900stratosinvestmentmanagement.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $3.3B
- Rank among asset managers
- #841 of 3,218
- Rank among all SEC RIAs
- #2,666 of 17,210
- Rank in Ohio
- #53 of 403
- Clients
- 3
- Accounts
- 7,664
- Discretionary
- 100% of AUM
- Employees
- 89
- Advisory staff
- 4
- Offices
- 2
Owners and executives on its Form ADV
- Jeffrey A. ConcepcionChief Executive Officer, Manager
- Nancy E. AndrefskyChief Financial Officer; Non-Member
- Eric A. BeahnDirector of Advisory Compensation, Non-Member
- John L. NicholChief Investment Officer, Non-Member
- Kathryn H. LouttitChief Risk Officer, Non-Member
- Jon M. PawlowskiChief Compliance Officer, Non-Member
- Malcolm E. PolleyChief Market Strategist
- Savanna L SteedDirector of Advisory Compliance, Non-Member
- Charis I. JonesChief Operating Officer, Non-Member
- David AlbinFinra/sec Supervisory Principal, Non-Member
- Marni K. AngusOffice of Supervisory Jurisdiction; Non-Member
- Megan L. HeatonSenior Supervisory Principal; Non-Member
Custody and brokerage
Broker-dealer
Hybrid RIA
Stratos Investment Management, LLC is a hybrid RIA: 30 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: SEI Investments (south Africa) Limited, SEI Investments Distribution Co. and Stratos Wealth Securities, LLC.
- SEI Investments (south Africa) Limited
- SEI Investments Distribution Co. ↗CRD 10690
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
- Stratos Wealth Securities, LLC ↗CRD 290230
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Other investment advisers | 3 | $3.3B | 100% |
Disciplinary disclosures
Stratos Investment Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Other services
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗stratosinvestmentmanagement.com ↗
AtlasMembers
The full record on Stratos Investment Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 9 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 792 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 13 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Stratos Investment Management, LLC manage?
Stratos Investment Management, LLC reports $3.3 billion in regulatory assets under management across 7,664 accounts, 100% of it on a discretionary basis, on its Form ADV filed October 1, 2026.
What kind of firm is Stratos Investment Management, LLC?
Stratos Investment Management, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Stratos Investment Management, LLC’s clients?
By assets, its largest client types are other investment advisers ($3.3 billion, 3 clients).
Does Stratos Investment Management, LLC have any disciplinary history?
Stratos Investment Management, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Stratos Investment Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-17), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →