{"url":"https://nivawealth.com/firms/vision-investment-advisors-109621","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/109621","regulatoryAum":137390339,"crd":"109621","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6483149","suffix":null,"lastName":"Berte","firstName":"Luke","middleName":"David"},{"crd":"3062830","suffix":null,"lastName":"BOSHNACK","firstName":"JUSTIN","middleName":"EVERETT"},{"crd":"4539715","suffix":null,"lastName":"FREED","firstName":"STEVEN","middleName":"EDWARD"},{"crd":"2927594","suffix":null,"lastName":"KARAFA","firstName":"JOHN","middleName":"MICHAEL"},{"crd":"1679455","suffix":null,"lastName":"KATZELIS","firstName":"WILLIAM","middleName":"DEAN"},{"crd":"5288054","suffix":null,"lastName":"MARTINEZ","firstName":"ANA","middleName":null},{"crd":"7501728","suffix":null,"lastName":"Ribbens","firstName":"Andrew","middleName":"K"},{"crd":"2887156","suffix":null,"lastName":"ROMERO-VICINI","firstName":"EMANUEL","middleName":"ANDRES"},{"crd":"1098190","suffix":null,"lastName":"ROTHMAN","firstName":"HOWARD","middleName":"MARTIN"}],"total":9,"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":"2021-03-15","regulatoryAum":86213505,"clients":119,"employees":13,"offices":5},{"filedOn":"2022-03-01","regulatoryAum":100465494,"clients":122,"employees":13,"offices":5},{"filedOn":"2023-03-21","regulatoryAum":91898660,"clients":125,"employees":11,"offices":5},{"filedOn":"2024-03-11","regulatoryAum":106360014,"clients":110,"employees":7,"offices":4},{"filedOn":"2025-04-23","regulatoryAum":117879479,"clients":98,"employees":9,"offices":5},{"filedOn":"2026-05-12","regulatoryAum":137390339,"clients":129,"employees":9,"offices":5}],"secFileNumber":"801-57975","legalName":"Vision Investment Advisors, LLC","displayName":"Vision Investment Advisors","slug":"vision-investment-advisors-109621","website":"https://advicewithvision.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/109621/6ed5e2d28a075899-r1.webp","tone":"light","width":553,"height":200,"sourceUrl":"https://www.advicewithvision.com/","sourceLabel":"Vision Investment Advisors, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1010 Washington BLVD, Suite 300","city":"Stamford","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06901"},"tradeNames":[],"registration":{"secApproved":"22 September 2000","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1061841.401574803,"staff":{"employees":9,"advisory":4,"brokerDealerReps":7,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":137390339,"discretionary":126431127,"discretionaryAccounts":116,"nonDiscretionary":10959212,"nonDiscretionaryAccounts":13,"wrapProgram":23603254,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":73,"regulatoryAum":20456599},{"label":"High-net-worth individuals","clients":54,"regulatoryAum":114397259},{"label":"Pension and profit-sharing plans","clients":2,"fewerThan5":true,"regulatoryAum":2536481}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:04:16.173301+00:00","documents":[{"name":"VIA ADV PART 2A 03-15-2024","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012659","versionId":1012659,"submittedOn":"2026-02-27"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012660","versionId":1012660,"submittedOn":null}]},"custodians":[{"name":"Vision Financial Markets LLC","shortName":"Vision Financial Markets","location":"Stamford, CT","smaAssets":48579526},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":37543978}],"custodyNote":"Vision Investment Advisors has custody of client assets.","otherCustodians":[],"leadership":[{"name":"John Karafa","title":"Chief Compliance Officer","crd":"2927594"},{"name":"Joan Hanko","title":"Owner","crd":"4369126"},{"name":"John Karafa","title":"Aml Compliance Officer","crd":"2927594"},{"name":"Howard Rothman","title":"Manager, CEO, and Owner","crd":"1098190"},{"name":"Shirley Siegel","title":"Owner","crd":"4369113"}],"ownership":[{"label":"Howard Rothman","detail":"Manager, ceo, and owner in the 25% to 50% ownership band and a control person, since July 2000."},{"label":"H. Rothman Family LLC","detail":"Owner in the 10% to 25% ownership band, since September 2000."},{"label":"Boshnack Family LLC","detail":"Owner in the 25% to 50% ownership band, since September 2000."},{"label":"Gayle Rothman","detail":"Indirect owner: manager of h. rothman family llc of H. Rothman Family LLC and a control person, since September 2000.","parent":"H. Rothman Family LLC"},{"label":"Robert Boshnack","detail":"Indirect owner: manager of boshnack family llc of Boshnack Family LLC and a control person, since September 2000.","parent":"Boshnack Family LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":1},"listedOfficeAddresses":4,"foreignOffices":[],"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"31538 West Street","city":"Laguna Beach"},{"street":"4349 Fallsbrae RD","city":"Fallsbrook"}]},{"state":"Connecticut","offices":1,"addresses":[{"street":"1010 Washington BLVD, Suite 300","city":"Stamford","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"75 Broad Street","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"203-388-2700","stateRegisteredReps":7,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Commissions","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":60},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":12},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Derivatives","percent":1},{"label":"Cash and cash equivalents","percent":22},{"label":"Other","percent":1,"detail":"Options"}],"privateFunds":0},"sources":{"adv1FilingDate":"12 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/109621/PDF/109621.pdf","brochureDate":"27 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012659","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 Vision Investment Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Vision Investment Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Vision Investment Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Vision Investment Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Vision Investment Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Vision Investment Advisors?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Vision Investment Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Vision Investment Advisors?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 12 May 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."}