Stratos Investment Management, LLC

Registered investment adviser · Beachwood, OH · CRD #283850

Form ADV data as of 2026-09-01

Regulatory assets

$3.31 billion

Total accounts

7,664

Employees

Disclosure events

Firm details

Website: https://www.stratosinvestmentmanagement.com/
Telephone: 4402104900
SEC file number: 801-107873
Most recent Form ADV filing: 2026-07-01
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$3.31 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$3.31 billion
Discretionary accounts	7,664
Non-discretionary accounts	0
Total accounts	7,664
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	89
Employees performing investment advisory functions (including research)	4
Employees who are registered representatives of a broker-dealer	30
Employees registered as investment adviser representatives with a state	4
Employees registered as IARs for another investment adviser	3
Employees who are licensed insurance agents	4
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	Yes

How the firm is compensated

A percentage of assets under management

Advisory services offered

Other

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Banking or thrift institutionTrust companyAccountant or accounting firmSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Other investment advisers	3	$3.31 billion