STRATOS WEALTH PARTNERS, LTD.

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Stratos Wealth Partners, Ltd. is based out of Beachwood. Stratos Wealth Partners, Ltd. is a large advisory firm with 11952 clients and discretionary assets under management (AUM) of $5,119,306,124 (Form ADV from 2020-07-30). Their last reported 13F filing for Q2 2020 included $2,807,366,000 in managed 13F securities and a top 10 holdings concentration of 24.83%. Stratos Wealth Partners, Ltd.'s largest holding is SPDR S&P 500 ETF Trust with shares held of 366,890. Whalewisdom has at least 28 13F filings

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06/30/2020

13F Activity

  • Market Value $2.807 Billion
  • Prior Market Value $2.182 Billion
  • New Purchases127 stocks
  • Additional Purchases447 stocks
  • Sold out of50 stocks
  • Reduced holdings in365 stocks
  • Top 10 Holdings % 24.83 %
  • Turnover % [1]:17.75%
  • Turnover Alt % [2]: 16.15 %
  • Time Held Top20:8.80 quarters
  • Time Held Top10:6.40 quarters
  • Time Held All:12.58 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: 27.25%
Performance Last 4 Quarters: 3.66%
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

STRATOS WEALTH PARTNERS, LTD
3750 PARK EAST DR STE 200
BEACHWOOD OH    44122
Country: United States

Business Phone: 440-519-2500
Fax: 440-505-5733
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: OH
Number of employees: 476
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,PERCENTAGE OF ASSETS UNDER MANAGEMENT WITH THIRD PARTY MANAGERS
Amount of client funds and securities: 1,273,640,000
Total Number of Clients: 11952
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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STRATOS WEALTH PARTNERS, LTD

ownership team - last updated 2020-06-24
Name Title Start Date Direct/Indirect % Ownership
CONCEPCION, JEFFREY, ALAN PRESIDENT, CEO 10/01/2008 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
SIMONS, BARBARA, JEAN DULL DIRECTOR OF BROKERAGE COMPLIANCE 10/01/2014 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
ANDREFSKY, NANCY, EILEEN CFO, COO 10/01/2008 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
JACOBY, DANIEL, JACK CHIEF INVESTMENT OFFICER 05/01/2010 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
DUNN, MATTHEW, JAMES CHIEF COMPLIANCE OFFICER 10/01/2014 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
BEAHN, ERIC, ANDREW DIRECTOR OF ADVISORY OPERATIONS 10/01/2015 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
STRATOS WEALTH HOLDINGS, LLC HOLDING COMPANY 06/01/2016 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 01/01/2019 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
MEILINGER, BRYAN, D DIRECTOR OF ADVISORY COMPLIANCE 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF ADVISORY COMPLIANCE direct 2019-07-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY COMPLIANCE, NON-MEMBER direct 2019-07-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY COMPLIANCE direct 2019-07-01
CONCEPCION, JEFFREY, ALAN MANAGING MEMBER STRATOS WEALTH HOLDINGS, LLC 06/01/2016 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

STRATOS WEALTH PARTNERS, LTD

ownership team - last updated 2020-03-04
Name Title Start Date Direct/Indirect % Ownership

STRATOS WEALTH PARTNERS, LTD

ownership team - last updated 2019-12-19
Name Title Start Date Direct/Indirect % Ownership
CONCEPCION, JEFFREY, ALAN PRESIDENT, CEO 10/01/2008 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
SIMONS, BARBARA, JEAN DULL DIRECTOR OF BROKERAGE COMPLIANCE 10/01/2014 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
ANDREFSKY, NANCY, EILEEN CFO, COO 10/01/2008 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
JACOBY, DANIEL, JACK CHIEF INVESTMENT OFFICER 05/01/2010 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
DUNN, MATTHEW, JAMES CHIEF COMPLIANCE OFFICER 10/01/2014 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
BEAHN, ERIC, ANDREW DIRECTOR OF ADVISORY OPERATIONS 10/01/2015 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
STRATOS WEALTH HOLDINGS, LLC HOLDING COMPANY 06/01/2016 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 01/01/2019 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
MEILINGER, BRYAN, D DIRECTOR OF ADVISORY COMPLIANCE 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF ADVISORY COMPLIANCE direct 2019-07-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY COMPLIANCE, NON-MEMBER direct 2019-07-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY COMPLIANCE direct 2019-07-01
CONCEPCION, JEFFREY, ALAN MANAGING MEMBER STRATOS WEALTH HOLDINGS, LLC 06/01/2016 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

STRATOS WEALTH PARTNERS, LTD

ownership team - last updated 2019-09-23
Name Title Start Date Direct/Indirect % Ownership
CONCEPCION, JEFFREY, ALAN PRESIDENT, CEO 10/01/2008 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
SIMONS, BARBARA, JEAN DULL DIRECTOR OF BROKERAGE COMPLIANCE 10/01/2014 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
ANDREFSKY, NANCY, EILEEN CFO, COO 10/01/2008 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
JACOBY, DANIEL, JACK CHIEF INVESTMENT OFFICER 05/01/2010 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
DUNN, MATTHEW, JAMES CHIEF COMPLIANCE OFFICER 10/01/2014 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
BEAHN, ERIC, ANDREW DIRECTOR OF ADVISORY OPERATIONS 10/01/2015 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
STRATOS WEALTH HOLDINGS, LLC HOLDING COMPANY 06/01/2016 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 01/01/2019 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
MEILINGER, BRYAN, D DIRECTOR OF ADVISORY COMPLIANCE 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
STRATOS WEALTH PARTNERS, LTD DIRECTOR OF ADVISORY COMPLIANCE direct 2019-07-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY COMPLIANCE, NON-MEMBER direct 2019-07-01
STRATOS WEALTH ADVISORS LLC DIRECTOR OF ADVISORY COMPLIANCE direct 2019-07-01
CONCEPCION, JEFFREY, ALAN MANAGING MEMBER STRATOS WEALTH HOLDINGS, LLC 06/01/2016 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

STRATOS WEALTH PARTNERS, LTD

ownership team - last updated 2019-05-15
Name Title Start Date Direct/Indirect % Ownership
CONCEPCION, JEFFREY, ALAN PRESIDENT, CEO 10/01/2008 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
DULL, BARBARA, JEAN DIRECTOR OF BROKERAGE COMPLIANCE 10/01/2014 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
ANDREFSKY, NANCY, EILEEN CFO, COO 10/01/2008 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
JACOBY, DANIEL, JACK CHIEF INVESTMENT OFFICER 05/01/2010 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
DUNN, MATTHEW, JAMES CHIEF COMPLIANCE OFFICER 10/01/2014 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
BEAHN, ERIC, ANDREW DIRECTOR OF ADVISORY OPERATIONS 10/01/2015 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
STRATOS WEALTH HOLDINGS, LLC HOLDING COMPANY 06/01/2016 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 01/01/2019 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
CONCEPCION, JEFFREY, ALAN MANAGING MEMBER STRATOS WEALTH HOLDINGS, LLC 06/01/2016 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

STRATOS WEALTH PARTNERS, LTD

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
CONCEPCION, JEFFREY, ALAN PRESIDENT, CEO 10/01/2008 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
DULL, BARBARA, JEAN DIRECTOR OF BROKERAGE COMPLIANCE 10/01/2014 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
ANDREFSKY, NANCY, EILEEN CFO, COO 10/01/2008 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
JACOBY, DANIEL, JACK CHIEF INVESTMENT OFFICER 05/01/2010 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
DUNN, MATTHEW, JAMES CHIEF COMPLIANCE OFFICER 10/01/2014 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
BEAHN, ERIC, ANDREW DIRECTOR OF ADVISORY OPERATIONS 10/01/2015 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
STRATOS WEALTH HOLDINGS, LLC HOLDING COMPANY 06/01/2016 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 01/01/2019 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
CONCEPCION, JEFFREY, ALAN MANAGING MEMBER STRATOS WEALTH HOLDINGS, LLC 06/01/2016 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

STRATOS WEALTH PARTNERS, LTD

ownership team - last updated 2018-12-27
Name Title Start Date Direct/Indirect % Ownership
CONCEPCION, JEFFREY, ALAN PRESIDENT, CEO 10/01/2008 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
DULL, BARBARA, JEAN DIRECTOR OF BROKERAGE COMPLIANCE 10/01/2014 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
ANDREFSKY, NANCY, EILEEN CFO, COO 10/01/2008 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
JACOBY, DANIEL, JACK CHIEF INVESTMENT OFFICER 05/01/2010 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
DUNN, MATTHEW, JAMES CHIEF COMPLIANCE OFFICER 10/01/2014 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
BEAHN, ERIC, ANDREW DIRECTOR OF ADVISORY OPERATIONS 10/01/2015 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
STRATOS WEALTH HOLDINGS, LLC HOLDING COMPANY 06/01/2016 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
CONCEPCION, JEFFREY, ALAN MANAGING MEMBER STRATOS WEALTH HOLDINGS, LLC 06/01/2016 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

STRATOS WEALTH PARTNERS, LTD

ownership team - last updated 2018-06-27
Name Title Start Date Direct/Indirect % Ownership
CONCEPCION, JEFFREY, ALAN PRESIDENT, CEO 10/01/2008 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
DULL, BARBARA, JEAN DIRECTOR OF BROKERAGE COMPLIANCE 10/01/2014 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
ANDREFSKY, NANCY, EILEEN CFO, COO 10/01/2008 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
JACOBY, DANIEL, JACK CHIEF INVESTMENT OFFICER 05/01/2010 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
DUNN, MATTHEW, JAMES CHIEF COMPLIANCE OFFICER 10/01/2014 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
BEAHN, ERIC, ANDREW DIRECTOR OF ADVISORY OPERATIONS 10/01/2015 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
STRATOS WEALTH HOLDINGS, LLC HOLDING COMPANY 06/01/2016 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 COMPLIANCE 01/01/2017 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 06/01/2016 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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