Vision Investment Advisors provides portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.
Vision Investment Advisors reports 129 clients. They include 73 individual clients, 54 high-net-worth individuals, and 2 pension and profit-sharing plans. Of its assets, 92.0% ($126M across 116 accounts) are managed with discretion; $11M across 13 accounts are not. A wrap fee program the firm both sponsors and manages holds $23.6M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 57% | 15% |
| High-net-worth individuals | 42% | 83% |
| Pension and profit-sharing plans | 2% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 73 | $20.5M | 14.9% | $280K |
| High-net-worth individuals | 54 | $114M | 83.3% | $2.12M |
| Pension and profit-sharing plans | Fewer than 5 | $2.54M | 1.8% | $1.27M |
| Total | 129 | $137M | 100% | — |
- Clients
- 73
- Regulatory AUM
- $20.5M
- AUM share
- 14.9%
- Avg. per client
- $280K
- Clients
- 54
- Regulatory AUM
- $114M
- AUM share
- 83.3%
- Avg. per client
- $2.12M
- Clients
- Fewer than 5
- Regulatory AUM
- $2.54M
- AUM share
- 1.8%
- Avg. per client
- $1.27M
Total
- Clients
- 129
- Regulatory AUM
- $137M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Vision Investment Advisors is paid through a percentage of assets under management, fixed fees (other than subscription fees), commissions and performance-based fees. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Howard Rothman owns 25% to 50% of Vision Investment Advisors. The leadership team of Vision Investment Advisors includes Chief Compliance Officer John Karafa. It has 9 employees, 4 of them in advisory roles.
Staff
- 9 employees
- 4 in advisory functions
- 7 state-registered reps
- 7 broker-dealer reps
- 2 insurance agents
- Owns 25% to 50% of Vision Investment Advisors, LLC
Howard Rothman
Control person · since July 2000
- Owns 25% to 50% of Vision Investment Advisors, LLC
Boshnack Family LLC
since September 2000
Robert Boshnack
Manager of boshnack family llc · Control person · since September 2000
- Owns 10% to 25% of Vision Investment Advisors, LLC
H. Rothman Family LLC
since September 2000
Gayle Rothman
Manager of h. rothman family llc · Control person · since September 2000
Vision Investment Advisors’ regulatory assets grew 1.6× from $86.2M (March 2021) to $137M (May 2026); clients rose from 119 to 129 and employees fell from 13 to 9.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| May 2026May 2026 | $137M | 129 | 9 | 5 |
| Apr 2025April 2025 | $118M | 98 | 9 | 5 |
| Mar 2024March 2024 | $106M | 110 | 7 | 4 |
| Mar 2023March 2023 | $91.9M | 125 | 11 | 5 |
| Mar 2022March 2022 | $100M | 122 | 13 | 5 |
| Mar 2021March 2021 | $86.2M | 119 | 13 | 5 |
Besides its headquarters, Vision Investment Advisors has 4 offices (1 private residence, listed without an address), with 4 listed addresses across 3 states.
California · 2 listed addresses
- 31538 West Street, Laguna Beach
- 4349 Fallsbrae RD, Fallsbrook
Connecticut · 1 listed address
- 1010 Washington BLVD, Suite 300, StamfordHQ
New York · 1 listed address
- 75 Broad Street, New York
Contact and registration details
- Legal name
- Vision Investment Advisors, LLC
- Headquarters
- 1010 Washington BLVD, Suite 300, Stamford, CT 06901
- Website
- advicewithvision.com
- Phone
- 203-388-2700
- SEC file
- 801-57975
- Structure
- Delaware LLC
- Fiscal year end
- December
Vision Investment Advisors’ named custodians for separately managed accounts are Vision Financial Markets ($48.6M, 56%) and Charles Schwab ($37.5M, 44%). Vision Investment Advisors has custody of client assets.
- Vision Financial MarketsVision Financial Markets LLC · Stamford, CT · $48.6M56%
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $37.5M44%
At year end, Vision Investment Advisors’ separately managed accounts were mostly in stocks (60%) and cash (22%).
What the accounts hold
- Stocks60%
- Bonds16%
- Investment grade corporate bonds12%
- High-yield corporate bonds2%
- U.S. government and agency bonds1%
- State and local bonds1%
- Cash22%
- Other2%
- Derivatives1%
- Options1%
How many clients does Vision Investment Advisors have?
Vision Investment Advisors has 129 clients and manages $137 million for them, as of May 2026. They include 73 individual clients, 54 high-net-worth individuals, and 2 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 12 May 2026
What services does Vision Investment Advisors offer?
Vision Investment Advisors provides portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Vision Investment Advisors use?
Vision Investment Advisors’ separately managed account assets are held at Vision Financial Markets LLC (Stamford, CT), with $48.6M and Charles Schwab & Co., Inc. (San Francisco, CA), with $37.5M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 May 2026
How many financial advisors does Vision Investment Advisors have?
Vision Investment Advisors has 7 investment adviser representatives registered with state securities authorities, out of 9 employees, and 4 perform investment advisory functions. 7 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Vision Investment Advisors invest in?
At the end of its last fiscal year, Vision Investment Advisors’ separately managed accounts held 60% exchange-traded equities, 22% cash and equivalents, 12% investment grade corporate bonds, 2% high-yield corporate bonds, 1% U.S. government and agency bonds, 1% state and local bonds, 1% derivatives and 1% other. The 1% other category is described as: Options.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Vision Investment Advisors?
Vision Investment Advisors’ direct owners are Howard Rothman, H. Rothman Family LLC and Boshnack Family LLC, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 12 May 2026
How does Vision Investment Advisors get paid?
Vision Investment Advisors is paid through a percentage of assets under management, fixed fees, commissions and performance-based fees.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Vision Investment Advisors?
Vision Investment Advisors’ main office is at 1010 Washington BLVD, Suite 300, Stamford, CT 06901. Its phone number is 203-388-2700. Its website is advicewithvision.com.