Broker-dealer firm · Stamford, CT
Vision Investment Advisors, LLC
SEC-registered investment adviser · CRD 109621 · SEC 801-57975
At a glance
Vision Investment Advisors, LLC is an SEC-registered investment adviser based in Stamford, Connecticut, with $137 million in regulatory assets under management as of its Form ADV filed May 12, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 127 individual clients. By Form ADV it is a broker-dealer firm, ranked 313th of 391 broker-dealer firms and 14,110th of 17,210 SEC-registered advisers by assets.
Main office 203-388-2700advicewithvision.comAs filed on Form ADV
- Regulatory AUM
- $137M
- Rank among broker-dealer firms
- #313 of 391
- Rank among all SEC RIAs
- #14,110 of 17,210
- Rank in Connecticut
- #459 of 507
- Individual clients
- 127
- High-net-worth clients
- 54
- Accounts
- 129
- Discretionary
- 92% of AUM
- Employees
- 9
- Advisory staff
- 4
- Offices
- 5
Owners and executives on its Form ADV
- Howard M. RothmanManager, CEO, and Owner
- Shirley B. SiegelOwner
- Joan H. HankoOwner
- John M. KarafaChief Compliance Officer
- John M. KarafaAML Compliance Officer
Custody and brokerage
2 custodians
- Vision Financial MarketsAffiliate of the firm$49M56%
- Charles Schwab$38M44%
Other RIAs using Vision Financial MarketsOther multi-custodian RIAs
Broker-dealer
Hybrid RIA
Vision Investment Advisors, LLC is a hybrid RIA: 7 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Vision Brokerage Services, LLC and Vision Financial Markets LLC.
- Vision Brokerage Services, LLC ↗CRD 47927
An introducing broker-dealer: its trades clear through Vision Financial Markets, which holds the brokerage accounts. Its annual audited report filed with the SEC, September 2026
- Vision Financial Markets LLC ↗CRD 142271
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Its Form ADV brochure (filed February 2026) names Vision Financial Markets as the broker-dealer its advisers are registered with.
Certain management persons are Registered Representatives of VFM and/or Associated Persons with High Ridge Futures.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 54 | $114M | 83% |
| Individuals | 73 | $20M | 15% |
| Pension and profit sharing plans | 2 | $3M | 2% |
Disciplinary disclosures
Vision Investment Advisors, LLC answers yes to 15 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
- Commissions
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗advicewithvision.com ↗
AtlasMembers
The full record on Vision Investment Advisors, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 125 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Vision Investment Advisors, LLC manage?
Vision Investment Advisors, LLC reports $137 million in regulatory assets under management across 129 accounts, 92% of it on a discretionary basis, on its Form ADV filed May 12, 2026.
What kind of firm is Vision Investment Advisors, LLC?
Vision Investment Advisors, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Vision Investment Advisors, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($114 million, 54 clients); individuals ($20 million, 73 clients); pension and profit sharing plans ($3 million, 2 clients).
Does Vision Investment Advisors, LLC have any disciplinary history?
Vision Investment Advisors, LLC answers yes to 15 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Vision Investment Advisors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-05-12), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →