{"url":"https://nivawealth.com/firms/stratis-capital-300130","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/300130","regulatoryAum":507523189,"crd":"300130","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3019375","suffix":"II","lastName":"EPIFANIO","firstName":"WILLIAM","middleName":"EDWARD"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-26","regulatoryAum":361351906,"clients":3,"employees":1,"offices":1},{"filedOn":"2022-03-21","regulatoryAum":412472496,"clients":1,"employees":1,"offices":1},{"filedOn":"2023-03-15","regulatoryAum":396382437,"clients":1,"employees":1,"offices":1},{"filedOn":"2024-03-26","regulatoryAum":398683592,"clients":1,"employees":1,"offices":1},{"filedOn":"2025-02-25","regulatoryAum":448825448,"clients":1,"employees":1,"offices":1},{"filedOn":"2026-03-10","regulatoryAum":507523189,"clients":1,"employees":1,"offices":1}],"secFileNumber":"801-118000","legalName":"Stratis Capital, LLC","displayName":"Stratis Capital","slug":"stratis-capital-300130","website":"https://stratiscap.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/stratiscap","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"30 Old Kings Highway South","city":"Darien","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06820"},"tradeNames":[],"registration":{"secApproved":"27 January 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":507523189,"discretionary":334368218,"discretionaryAccounts":56,"nonDiscretionary":173154971,"nonDiscretionaryAccounts":29,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":1,"fewerThan5":true,"regulatoryAum":507523189}],"feePrograms":[{"role":"main","program":"Portfolio Management and Asset Allocation Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016862","versionId":1016862,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-10","documentName":"STRATIS CAPITAL, LLC ADV BROCHURE","fee_rate_low":0.25,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":5000000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:35:10.6675+00:00","documents":[{"name":"STRATIS CAPITAL, LLC ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016862","versionId":1016862,"submittedOn":"2026-03-10"}]},"custodians":[{"name":"Goldman Sachs & Co. LLC","shortName":"Goldman Sachs & Co.","location":"New York, NY","smaAssets":419505902},{"name":"Citigroup Global Markets Inc.","shortName":"Citigroup Global Markets","location":"Greenwich, CT","smaAssets":69097652}],"custodyNote":"Stratis Capital does not have custody of client assets.","leadership":[{"name":"William Epifanio","title":"Managing","crd":"3019375"}],"ownership":[{"label":"William Epifanio","detail":"Managing in the 75% or more ownership band and a control person, since January 2019."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"30 Old Kings Highway South","city":"Darien","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"917-705-2500","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":28},{"label":"U.S. state and local bonds","percent":14},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":47},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":8},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"10 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/300130/PDF/300130.pdf","brochureDate":"10 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016862","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Stratis Capital have?","answer":"Stratis Capital has 1 client and manages $508 million for them, as of March 2026. They include 1 high-net-worth individual.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Stratis Capital offer?","answer":"Stratis Capital provides portfolio management for individuals and small businesses and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Stratis Capital charge?","answer":"Stratis Capital charges 0.25%–2.00% a year for its Portfolio Management and Asset Allocation Services. The fee is billed in arrears, is negotiable and requires an account of at least $5,000,000.","source":"STRATIS CAPITAL, LLC ADV BROCHURE, filed 10 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Stratis Capital use?","answer":"Stratis Capital’s separately managed account assets are held at Goldman Sachs & Co. LLC (New York, NY), with $420M and Citigroup Global Markets Inc. (Greenwich, CT), with $69.1M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Stratis Capital have?","answer":"Stratis Capital has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Stratis Capital invest in?","answer":"At the end of its last fiscal year, Stratis Capital’s separately managed accounts held 47% registered funds (mutual funds, ETFs, BDCs), 28% exchange-traded equities, 14% state and local bonds, 8% pooled vehicles (private funds and similar), 2% high-yield corporate bonds and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Stratis Capital have a minimum investment?","answer":"Yes, Stratis Capital’s minimum account size for its Portfolio Management and Asset Allocation Services is $5M.","source":"STRATIS CAPITAL, LLC ADV BROCHURE, filed 10 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Stratis Capital?","answer":"Stratis Capital’s direct owner is William Epifanio (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Stratis Capital get paid?","answer":"Stratis Capital is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Stratis Capital registered with the SEC?","answer":"Yes, Stratis Capital has been registered with the SEC as an investment adviser since 27 January 2020. Its CRD number is 300130 and its SEC file number is 801-118000.","source":"Form ADV Part 1A, Item 1, filed 10 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Stratis Capital?","answer":"Stratis Capital’s main office is at 30 Old Kings Highway South, Darien, CT 06820. Its phone number is 917-705-2500. Its website is stratiscap.com.","source":"Form ADV Part 1A, Item 1.F, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}