FUNDAMENTUN, LLC

HTTP://WWW.FUNDAMENTUMINVESTING.COM/ BEACHWOOD, OH Investment Advisor How do I update this listing?

Fundamentun is based out of Beachwood. Fundamentun is a large advisory firm with 997 clients and discretionary assets under management (AUM) of $461,872,316 (Form ADV from 2020-06-24). Their last reported 13F filing for Q2 2020 included $236,535,000 in managed 13F securities and a top 10 holdings concentration of 39.2%. Fundamentun's largest holding is WisdomTree US Dividend Growth ETF with shares held of 236,984. Whalewisdom has at least 6 13F filings

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06/30/2020

13F Activity

  • Market Value $236.535 Million
  • Prior Market Value $187.841 Million
  • New Purchases13 stocks
  • Additional Purchases71 stocks
  • Sold out of6 stocks
  • Reduced holdings in19 stocks
  • Top 10 Holdings % 39.20 %
  • Turnover % [1]:18.27%
  • Turnover Alt % [2]: 9.44 %
  • Time Held Top20:3.90 quarters
  • Time Held Top10:3.30 quarters
  • Time Held All:3.24 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 26.65%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

FUNDAMENTUM, LLC
3750 PARK EAST DRIVE SUITE 200
BEACHWOOD OH    44122
Country: United States

Business Phone: (866) 553-9882
Fax: N/A
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: OH
Number of employees: 10
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 997
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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FUNDAMENTUM, LLC

ownership team - last updated 2020-06-24
Name Title Start Date Direct/Indirect % Ownership
CONCEPCION, JEFFREY, ALAN CHIEF EXECUTIVE OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD PRESIDENT, CEO direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD PRESIDENT direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2016-06-01
STRATOS WEALTH ADVISORS LLC PRESIDENT direct 2008-10-01
STRATOS WEALTH ADVISORS LLC MANAGING MEMBER indirect 2016-01-01
STRATOS WEALTH ADVISORS LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
FUNDAMENTUM, LLC MANAGING MEMBER indirect 2016-01-01
FUNDAMENTUM, LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
ANDREFSKY, NANCY, EILEEN CHIEF FINANCIAL OFFICER; CHIEF OPERATIONS OFFICER, NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD CHIEF FINANCIAL OFFICER direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD CFO, COO direct 2008-10-01
STRATOS WEALTH ADVISORS LLC CFO, COO direct 2008-10-01
STRATOS WEALTH ADVISORS LLC CHIEF FINANCIAL OFFICER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC CHIEF FINANCIAL OFFICER; NON-MEMBER direct 2016-05-01
DUNN, MATTHEW, JAMES CHIEF COMPLIANCE OFFICER; NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST WILSHIRE SECURITIES MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2010-02-01
FIRST WILSHIRE SECURITIES MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER / FINOP direct 2010-10-01
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF COMPLIANCE direct 2014-03-01
STRATOS WEALTH PARTNERS, LTD CHIEF COMPLIANCE OFFICER direct 2014-10-01
STRATOS WEALTH ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
STRATOS WEALTH ADVISORS LLC CHIEF COMPLIANCE OFFICER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC CHIEF COMPLIANCE OFFICER; NON-MEMBER direct 2016-05-01
PIERONEK, JENNIFER, KATHRYN DIRECTOR OF ADVISORY OPERATIONS, NON-MEMBER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL MANAGEMENT STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2015-02-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY COMPLIANCE direct 2017-02-01
FUNDAMENTUM, LLC DIRECTOR OF ADVISORY OPERATIONS direct 2017-02-01
STRATOS WEALTH HOLDINGS LLC MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD HOLDING COMPANY direct 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MEMEBER indirect 2016-10-01
RENAISSANCE INVESTMENT GROUP, LLC HOLDING COMPANY indirect 2016-10-01
STRATOS WEALTH ADVISORS LLC MEMBER direct 2016-01-01
FUNDAMENTUM, L.L.C. MEMBER direct 2016-01-01
SIMONS, BARBARA, JEAN DULL DIRECTOR OF BROKERAGE OPERATIONS, NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD CHIEF COMPLIANCE OFFICER direct 2010-05-01
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF BROKERAGE COMPLIANCE direct 2014-10-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF BROKERAGE COMPLIANCE direct 2014-10-01
BEAHN, ERIC, ANDREW DIRECTOR OF ADVISORY OPERATIONS, NON-MEMBER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF ADVISORY OPERATIONS direct 2015-10-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY OPERATIONS direct 2015-10-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY OPERATIONS; NON-MEMBER direct 2016-05-01
ROOPE, CHAD, DANIEL CHIEF INVESTMENT OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FUNDAMENTUM, LLC CHIEF INVESTMENT OFFICER direct 2020-01-01
CONCEPCION, JEFFREY, ALAN MANAGING MEMBER STRATOS WEALTH HOLDINGS LLC 01/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD PRESIDENT, CEO direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD PRESIDENT direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2016-06-01
STRATOS WEALTH ADVISORS LLC PRESIDENT direct 2008-10-01
STRATOS WEALTH ADVISORS LLC MANAGING MEMBER indirect 2016-01-01
STRATOS WEALTH ADVISORS LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
FUNDAMENTUM, LLC MANAGING MEMBER indirect 2016-01-01
FUNDAMENTUM, LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
EMIGRANT PARTNERS SHAREHOLDER STRATOS WEALTH HOLDINGS LLC 03/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
STRATOS WEALTH ADVISORS LLC SHAREHOLDER indirect 2020-03-01
FUNDAMENTUM, LLC SHAREHOLDER indirect 2020-03-01
STRATOS WEALTH PARTNERS, LTD SHAREHOLDER indirect 2020-03-01

FUNDAMENTUM, LLC

ownership team - last updated 2019-11-26
Name Title Start Date Direct/Indirect % Ownership
CONCEPCION, JEFFREY, ALAN CHIEF EXECUTIVE OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD PRESIDENT, CEO direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD PRESIDENT direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2016-06-01
STRATOS WEALTH ADVISORS LLC PRESIDENT direct 2008-10-01
STRATOS WEALTH ADVISORS LLC MANAGING MEMBER indirect 2016-01-01
STRATOS WEALTH ADVISORS LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
FUNDAMENTUM, LLC MANAGING MEMBER indirect 2016-01-01
FUNDAMENTUM, LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
ANDREFSKY, NANCY, EILEEN CHIEF FINANCIAL OFFICER; CHIEF OPERATIONS OFFICER, NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD CHIEF FINANCIAL OFFICER direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD CFO, COO direct 2008-10-01
STRATOS WEALTH ADVISORS LLC CFO, COO direct 2008-10-01
STRATOS WEALTH ADVISORS LLC CHIEF FINANCIAL OFFICER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC CHIEF FINANCIAL OFFICER; NON-MEMBER direct 2016-05-01
DUNN, MATTHEW, JAMES CHIEF COMPLIANCE OFFICER; NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST WILSHIRE SECURITIES MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2010-02-01
FIRST WILSHIRE SECURITIES MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER / FINOP direct 2010-10-01
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF COMPLIANCE direct 2014-03-01
STRATOS WEALTH PARTNERS, LTD CHIEF COMPLIANCE OFFICER direct 2014-10-01
STRATOS WEALTH ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
STRATOS WEALTH ADVISORS LLC CHIEF COMPLIANCE OFFICER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC CHIEF COMPLIANCE OFFICER; NON-MEMBER direct 2016-05-01
STRATOS WEALTH HOLDINGS LLC MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD HOLDING COMPANY direct 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MEMEBER indirect 2016-10-01
RENAISSANCE INVESTMENT GROUP, LLC HOLDING COMPANY indirect 2016-10-01
STRATOS WEALTH ADVISORS LLC MEMBER direct 2016-01-01
FUNDAMENTUM, L.L.C. MEMBER direct 2016-01-01
SIMONS, BARBARA, JEAN DULL DIRECTOR OF BROKERAGE OPERATIONS, NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD CHIEF COMPLIANCE OFFICER direct 2010-05-01
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF BROKERAGE COMPLIANCE direct 2014-10-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF BROKERAGE COMPLIANCE direct 2014-10-01
PIERONEK, JENNIFER, KATHRYN DIRECTOR OF ADVISORY OPERATIONS, NON-MEMBER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL MANAGEMENT STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2015-02-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY COMPLIANCE direct 2017-02-01
FUNDAMENTUM, LLC DIRECTOR OF ADVISORY OPERATIONS direct 2017-02-01
BEAHN, ERIC, ANDREW DIRECTOR OF ADVISORY OPERATIONS, NON-MEMBER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF ADVISORY OPERATIONS direct 2015-10-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY OPERATIONS direct 2015-10-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY OPERATIONS; NON-MEMBER direct 2016-05-01
CONCEPCION, JEFFREY, ALAN MANAGING MEMBER STRATOS WEALTH HOLDINGS LLC 01/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD PRESIDENT, CEO direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD PRESIDENT direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2016-06-01
STRATOS WEALTH ADVISORS LLC PRESIDENT direct 2008-10-01
STRATOS WEALTH ADVISORS LLC MANAGING MEMBER indirect 2016-01-01
STRATOS WEALTH ADVISORS LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
FUNDAMENTUM, LLC MANAGING MEMBER indirect 2016-01-01
FUNDAMENTUM, LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01

FUNDAMENTUM, LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
CONCEPCION, JEFFREY, ALAN CHIEF EXECUTIVE OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD PRESIDENT, CEO direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD PRESIDENT direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2016-06-01
STRATOS WEALTH ADVISORS LLC PRESIDENT direct 2008-10-01
STRATOS WEALTH ADVISORS LLC MANAGING MEMBER indirect 2016-01-01
STRATOS WEALTH ADVISORS LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
FUNDAMENTUM, LLC MANAGING MEMBER indirect 2016-01-01
FUNDAMENTUM, LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
ANDREFSKY, NANCY, EILEEN CHIEF FINANCIAL OFFICER; CHIEF OPERATIONS OFFICER, NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD CHIEF FINANCIAL OFFICER direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD CFO, COO direct 2008-10-01
STRATOS WEALTH ADVISORS LLC CFO, COO direct 2008-10-01
STRATOS WEALTH ADVISORS LLC CHIEF FINANCIAL OFFICER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC CHIEF FINANCIAL OFFICER; NON-MEMBER direct 2016-05-01
DUNN, MATTHEW, JAMES CHIEF COMPLIANCE OFFICER; NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST WILSHIRE SECURITIES MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2010-02-01
FIRST WILSHIRE SECURITIES MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER / FINOP direct 2010-10-01
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF COMPLIANCE direct 2014-03-01
STRATOS WEALTH PARTNERS, LTD CHIEF COMPLIANCE OFFICER direct 2014-10-01
STRATOS WEALTH ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
STRATOS WEALTH ADVISORS LLC CHIEF COMPLIANCE OFFICER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC CHIEF COMPLIANCE OFFICER; NON-MEMBER direct 2016-05-01
STRATOS WEALTH HOLDINGS LLC MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD HOLDING COMPANY direct 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MEMEBER indirect 2016-10-01
RENAISSANCE INVESTMENT GROUP, LLC HOLDING COMPANY indirect 2016-10-01
STRATOS WEALTH ADVISORS LLC MEMBER direct 2016-01-01
FUNDAMENTUM, L.L.C. MEMBER direct 2016-01-01
DULL, BARBARA, JEAN DIRECTOR OF BROKERAGE OPERATIONS, NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD CHIEF COMPLIANCE OFFICER direct 2010-05-01
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF BROKERAGE COMPLIANCE direct 2014-10-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF BROKERAGE COMPLIANCE direct 2014-10-01
PIERONEK, JENNIFER, KATHRYN DIRECTOR OF ADVISORY OPERATIONS, NON-MEMBER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL MANAGEMENT STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2015-02-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY COMPLIANCE direct 2017-02-01
FUNDAMENTUM, LLC DIRECTOR OF ADVISORY OPERATIONS direct 2017-02-01
BEAHN, ERIC, ANDREW DIRECTOR OF ADVISORY OPERATIONS, NON-MEMBER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF ADVISORY OPERATIONS direct 2015-10-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY OPERATIONS direct 2015-10-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY OPERATIONS; NON-MEMBER direct 2016-05-01
CONCEPCION, JEFFREY, ALAN MANAGING MEMBER STRATOS WEALTH HOLDINGS LLC 01/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD PRESIDENT, CEO direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD PRESIDENT direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2016-06-01
STRATOS WEALTH ADVISORS LLC PRESIDENT direct 2008-10-01
STRATOS WEALTH ADVISORS LLC MANAGING MEMBER indirect 2016-01-01
STRATOS WEALTH ADVISORS LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
FUNDAMENTUM, LLC MANAGING MEMBER indirect 2016-01-01
FUNDAMENTUM, LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01

FUNDAMENTUM, LLC

ownership team - last updated 2018-12-27
Name Title Start Date Direct/Indirect % Ownership
CONCEPCION, JEFFREY, ALAN CHIEF EXECUTIVE OFFICER; ELECTED MANANGER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD PRESIDENT, CEO direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD PRESIDENT direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2016-06-01
STRATOS WEALTH ADVISORS LLC PRESIDENT direct 2008-10-01
STRATOS WEALTH ADVISORS LLC MANAGING MEMBER indirect 2016-01-01
STRATOS WEALTH ADVISORS LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
FUNDAMENTUM, LLC MANAGING MEMBER indirect 2016-01-01
FUNDAMENTUM, LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
JACOBY, DANIEL, JACK CHIEF INVESTMENT OFFICER; NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD CHIEF INVESTMENT OFFICER direct 2010-05-01
STRATOS WEALTH ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2010-05-01
STRATOS WEALTH ADVISORS LLC PORTFOLIO MANAGER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC CHIEF INVESTMENT OFFICER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC PORTFOLIO MANAGER; NON-MEMBER direct 2016-05-01
ANDREFSKY, NANCY, EILEEN CHIEF FINANCIAL OFFICER; CHIEF OPERATIONS OFFICER, NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD CHIEF FINANCIAL OFFICER direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD CFO, COO direct 2008-10-01
STRATOS WEALTH ADVISORS LLC CFO, COO direct 2008-10-01
STRATOS WEALTH ADVISORS LLC CHIEF FINANCIAL OFFICER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC CHIEF FINANCIAL OFFICER; NON-MEMBER direct 2016-05-01
DUNN, MATTHEW, JAMES CHIEF COMPLIANCE OFFICER; NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST WILSHIRE SECURITIES MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2010-02-01
FIRST WILSHIRE SECURITIES MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER / FINOP direct 2010-10-01
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF COMPLIANCE direct 2014-03-01
STRATOS WEALTH PARTNERS, LTD CHIEF COMPLIANCE OFFICER direct 2014-10-01
STRATOS WEALTH ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
STRATOS WEALTH ADVISORS LLC CHIEF COMPLIANCE OFFICER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC CHIEF COMPLIANCE OFFICER; NON-MEMBER direct 2016-05-01
STRATOS WEALTH HOLDINGS LLC MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD HOLDING COMPANY direct 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MEMEBER indirect 2016-10-01
RENAISSANCE INVESTMENT GROUP, LLC HOLDING COMPANY indirect 2016-10-01
STRATOS WEALTH ADVISORS LLC MEMBER direct 2016-01-01
FUNDAMENTUM, L.L.C. MEMBER direct 2016-01-01
DULL, BARBARA, JEAN DIRECTOR OF BROKERAGE OPERATIONS 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD CHIEF COMPLIANCE OFFICER direct 2010-05-01
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF BROKERAGE COMPLIANCE direct 2014-10-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF BROKERAGE COMPLIANCE direct 2014-10-01
CONCEPCION, JEFFREY, ALAN MANAGING MEMBER STRATOS WEALTH HOLDINGS LLC 01/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD PRESIDENT, CEO direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD PRESIDENT direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2016-06-01
STRATOS WEALTH ADVISORS LLC PRESIDENT direct 2008-10-01
STRATOS WEALTH ADVISORS LLC MANAGING MEMBER indirect 2016-01-01
STRATOS WEALTH ADVISORS LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
FUNDAMENTUM, LLC MANAGING MEMBER indirect 2016-01-01
FUNDAMENTUM, LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01

FUNDAMENTUM, LLC

ownership team - last updated 2017-05-26
Name Title Start Date Direct/Indirect % Ownership
CONCEPCION, JEFFREY, ALAN CHIEF EXECUTIVE OFFICER; ELECTED MANANGER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD PRESIDENT, CEO direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD PRESIDENT direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2016-06-01
STRATOS WEALTH ADVISORS LLC PRESIDENT direct 2008-10-01
STRATOS WEALTH ADVISORS LLC MANAGING MEMBER indirect 2016-01-01
STRATOS WEALTH ADVISORS LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
FUNDAMENTUM, LLC MANAGING MEMBER indirect 2016-01-01
FUNDAMENTUM, LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
JACOBY, DANIEL, JACK CHIEF INVESTMENT OFFICER; NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD CHIEF INVESTMENT OFFICER direct 2010-05-01
STRATOS WEALTH ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2010-05-01
STRATOS WEALTH ADVISORS LLC PORTFOLIO MANAGER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC CHIEF INVESTMENT OFFICER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC PORTFOLIO MANAGER; NON-MEMBER direct 2016-05-01
ANDREFSKY, NANCY, EILEEN CHIEF FINANCIAL OFFICER; NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD CHIEF FINANCIAL OFFICER direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD CFO, COO direct 2008-10-01
STRATOS WEALTH ADVISORS LLC CFO, COO direct 2008-10-01
STRATOS WEALTH ADVISORS LLC CHIEF FINANCIAL OFFICER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC CHIEF FINANCIAL OFFICER; NON-MEMBER direct 2016-05-01
DUNN, MATTHEW, JAMES CHIEF COMPLIANCE OFFICER; NON-MEMBER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST WILSHIRE SECURITIES MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2010-02-01
FIRST WILSHIRE SECURITIES MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER / FINOP direct 2010-10-01
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF COMPLIANCE direct 2014-03-01
STRATOS WEALTH PARTNERS, LTD CHIEF COMPLIANCE OFFICER direct 2014-10-01
STRATOS WEALTH ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
STRATOS WEALTH ADVISORS LLC CHIEF COMPLIANCE OFFICER; NON-MEMBER direct 2016-05-01
FUNDAMENTUM, LLC CHIEF COMPLIANCE OFFICER; NON-MEMBER direct 2016-05-01
STRATOS WEALTH HOLDINGS LLC MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD HOLDING COMPANY direct 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MEMEBER indirect 2016-10-01
RENAISSANCE INVESTMENT GROUP, LLC HOLDING COMPANY indirect 2016-10-01
STRATOS WEALTH ADVISORS LLC MEMBER direct 2016-01-01
FUNDAMENTUM, L.L.C. MEMBER direct 2016-01-01
PIERONEK, JENNIFER, KATHRYN DIRECTOR OF ADVISORY OPERATIONS 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL MANAGEMENT STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2015-02-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY COMPLIANCE direct 2017-02-01
FUNDAMENTUM, LLC DIRECTOR OF ADVISORY OPERATIONS direct 2017-02-01
CONCEPCION, JEFFREY, ALAN MANAGING MEMBER STRATOS WEALTH HOLDINGS LLC 01/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD PRESIDENT, CEO direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD PRESIDENT direct 2008-10-01
STRATOS WEALTH PARTNERS, LTD MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT GROUP, LLC MANAGING MEMBER indirect 2016-06-01
STRATOS WEALTH ADVISORS LLC PRESIDENT direct 2008-10-01
STRATOS WEALTH ADVISORS LLC MANAGING MEMBER indirect 2016-01-01
STRATOS WEALTH ADVISORS LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01
FUNDAMENTUM, LLC MANAGING MEMBER indirect 2016-01-01
FUNDAMENTUM, LLC CHIEF EXECUTIVE OFFICER; ELECTED MANANGER direct 2016-05-01

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