True Independence Your Journey To - Recruiting material for Broker/Dealer and investment professional use only. Not for public distribution.
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Your Journey To
True Independence
Begins With Stratos
Recruiting material for Broker/Dealer and investment professional use only. Not for public distribution.
OurStory
We opened our first office in February, 2009 with the vision of creating a firm that would bridge the gap between wirehouse,
bank and independent financial advisors. Wirehouse and bank advisors typically give up nearly two-thirds of their revenue in
exchange for a perceived turnkey strategy, while independent advisors receive higher payouts, but often lack economies of scale
and access to resources that will help them grow their business. At Stratos, we’ve assembled a platform that allows advisors to
focus on what they do best and leverage our team to assist in all the other areas where we can support their business.
A Collaborative Peer Network
One of the keys to our advisors’ success is the peer network we have established. As a partner-owned firm, our advisors take an
interest not only in their success, but in that of the firm and their peers. We’ve fostered an environment that encourages sharing
and joint work much like that of a professional services firm. Consequently, advisors routinely share best practices, strategies
and even clients when the skill sets of another partner can result in an improved outcome for the end client.
Successful Partnership
Our sole focus remains helping our advisors to navigate and succeed in this complex and ever-changing environment. With
increasing regulatory pressures, costly technology infrastructure, industry consolidation and the demands of your clients, there
has never been a better time to consider partnering with a firm that can help you and your business survive and thrive in the
years ahead.
JEFFREY CONCEPCION
President/CEO
Advisor Growth = Stratos’ Growth
#16 Overall
Founded in 2009 with a vision of creating a partner-owned firm. Rank
48% compounded annual growth rate from 2009 – 2017.
#2
Number of
Advisors
Assets Under Home Independent Offices #4
Number of
Advisement Office Staff Advisors Nationwide Offices
#4
Number of
$14.3B* 60 283 87 States
#7
Number of
Clients
*Stratos Wealth Partners, an SEC Registered Investment Advisor, manages over $7.3 billion in advisory assets, and advises through LPL Financial, over $7 billion in brokerage and third party managed assets for a total of 14.3 billion as of June 30, 2020.
Securities offered through LPL Financial, member FINRA/SIPC. Investment advice offered through Stratos Wealth Partners, a registered investment advisor and a separate entity from LPL Financial. All entities are separate and not affiliated with LPL Financial. The
rankings are based on data provided by individual advi-sors and their firms. Advisor data is confirmed via regulatory databases, cross-checks with securities firms and conversations with individual advisors. The formula Barron’s uses to rank advisors is proprietary.
It has three major components: assets, managed, revenue produced and quality of practice. Investment returns are not a component of the rankings because an advisor’s returns are dictated largely by the risk tolerance of Clients. The quality-of-practice component
includes an evaluation of each advisor’s regulatory record.Stratos is absolutely the best option!
Honestly, I chose Stratos because I was the last one to go and was relying on the judgment of 15
other brokers who went to every single shop to discuss all the payouts and everything they had to
offer. At the end of the day, Stratos was the best option for us.
somewhere around 10 to 15 percentage points of revenue to run a practice depending on trading
volume. What matters is where you NET out at the end of the day. I could have gone direct to LPL
and probably be at a 92% or 93% payout based on my production and Branch bonuses; however, for
is no way I would be able to have concierge-level service for technology and compliance, human
resources, marketing, practice acquisition, different platforms, institutional partners at Fidelity and
Schwab, like I do through Stratos.
Stratos is absolutely worth it!
Paul Saltaformaggio
Baton Rouge, LABenefits of Independence with Stratos • Choose your business model and location • Higher income potential • Increased profitability through economies of scale • Recommend the best strategy options to your clients • Develop more meaningful client relationships • Work free from the pressure to sell specific products • Build equity in your future as an Owner/Partner • Control your own destiny
True Partners in my business
FromthebeginningofmytimewithStratos,JeffConcepcionandhisteamatthehomeofcehave
been true partners in my business. Their willingness to help and the sincerity shown, has nev
waivered. Stratos goes above and beyond in order to try to provide everything that I need for my
business and my clients.
The Stratos staff really does make the difference.”
Greg David
Lexington, SCWhy Partner with a Thriving Advisor Network • Proven transition process gets you and your clients up and running quickly • Industry-recognized leadership to guide you every step of the way • Comprehensive resources allow you to focus on growing your practice and serving your clients • Regional and national meetings where advisors both participate and share best practices • Educational events highlighting industry best practices from peer advisors and experts • Stratos’ New Business Owner Academy trains and assists you on running your business
The Stratos Advantage
Group Benefits
Advisors and staff are eligible to participate in a true group medical plan as well as ancillary
benefits such as disability, life, vision and dental insurance
Marketing Consulting
Firms will use the Stratos Wealth Alliance brand and marketing resources to help further
growth and visibility
Education
Partner firms participate in our National Meeting, Monthly Best Practice Focus Webinars and Quarterly
Partner Calls, all of which provide a forum for idea-sharing and collaboration within our firm
Finance & Commissions
Finance team handles the RIA commission process and assists by helping you navigate the
LPL Financial broker/dealer commission process.
Real Estate Strategies
Turn-key process for setup and maintenance of new locationsAdvisor Services & Support
Transition Support
Team of experienced professionals to assist in the entire transition and repapering process
Technology Support
24/7 in-house Information Technology support and services
Compliance Services
11 Compliance/Ops analysts to support and protect your firm, providing guidance in their
respective areas of specialty
Fundamentum Asset Management Services*
As our preferred third-party money manager, Fundamentum offers over 25 portfolio options
across Individual Equities, Value/Fundamental, Quantitative, and Passive/ETF strategies
Business Consulting
Proven track record with practice acquisitions and succession planning
20+ acquisitions we have helped facilitate since 2015
Financial Planning
Dedicated resources to create custom financial plans and modular plans for clients
*Fundamentum is a separate and non-affiliated entity from LPL Financial and Stratos Wealth Partners.Thank You for considering Stratos. Contact us for more information on how to join Stratos Wealth Partners. We encourage a culture of honest and forthright leadership while providing the necessary tools to grow your business. We’re a proven and growing firm that would encourage you to join the network of investment professionals on the Stratos Wealth Partners’ team. 3750 Park E Dr #200 | Beachwood, OH 44122 P: 440-505-5600 E: Info@stratoswealthpartners.com W: www.stratoswealthpartners.com
Stratos’ Leadership Team
JEFFREY CONCEPCION NANCY ANDREFSKY LOU CAMACHO KAREN AAVIK CHARLES SHAPIRO MATT DUNN DAN JACOBY
President/CEO CFO/COO President Chief Compliance Founding Partner OSJ Chief Investment
Stratos Wealth Enterprises Officer Director of National Sales Officer
JAMES LUPICA BOBBIE MEOLA CHRIS WALLING, CRPC MICHAEL O’BRIEN JACOB STEWART
Founding & Managing Partner Managing Partner Managing Partner Director of IT
Managing Partner
JENNIFER ISAACS BARBARA DULL ERIC BEAHN JENNIFER PIERONEK KEVIN ELVINGTON
Director of HR & Director of Brokerage Director of Advisory Director of Advisory Director of Marketing
Business Services Compliance Operations OperationsCopyright 2020 Stratos Wealth Partners – All Rights Reserved. Securities offered through LPL Financial, Member FINRA/SIPC. Investment advice offered through Stratos Wealth Partners, Ltd., a registered investment advisor and separate entity from LPL Financial. For Broker/Dealer and Registered Representatives use only. Not intended for use with the public.
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