VISION INVESTMENT ADVISORS, LLC
Adviser information for VISION INVESTMENT ADVISORS, LLC last updated from Form ADV on March 11th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 101 | $103.7M |
| Non-Discretionary | 9 | $2.7M |
| Total | 110 | $106.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 60 | $13.0M |
| HNW Individuals | 49 | $92.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $1.3M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesCommissionsPerformance-based fees |
| Other Business Activities | Broker-dealerCommodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 21.0M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| VISION INVESTMENT ADVISORS LLC | VISION INVESTMENT ADVISORS LLC |
Identifiers
| SEC RIA File Number | 801-57975 |
|---|---|
| SEC ERA File Number | 801-57975 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109621 |
| Legal Entity Identifier | None |
Principal Office
120 LONG RIDGE ROAD3 NORTH
STAMFORD
CT
United States
Monday - Friday, 8:30A.M. TO 5:00P.M.
Tel: 203-388-2700, Fax: 203-321-0071
Websites
Chief Compliance Officer
JOHN M. KARAFA
CHIEF COMPLIANCE OFFICER
120 LONG RIDGE ROAD
3 NORTH
STAMFORD
CT
United States
Tel:
203-388-2700
Fax:
203-517-9710
J******@************M
(Full email address available in API data)
Regulatory Contact
EMANUEL ROMERO-VICINI
COMPLIANCE MANAGER
120 LONG RIDGE ROAD
3 NORTH
STAMFORD
CT
United States
Tel:
203-388-2708
Fax:
203-517-9710
C*********@************M
(Full email address available in API data)
Industry Affiliates
| VISION BROKERAGE SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| VISION FINANCIAL MARKETS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROTHMAN, HOWARD, MARTIN | Individual | – | MANAGER, CEO, AND OWNER | 07/2000 | 25-50% |
| H. ROTHMAN FAMILY LLC | Domestic Entity | – | OWNER | 09/2000 | 10-25% |
| BOSHNACK FAMILY LLC | Domestic Entity | – | OWNER | 09/2000 | 25-50% |
| HANKO, JOAN, HARRIET | Individual | – | OWNER | 01/2001 | < 5% |
| ROTHMAN, GAYLE, HANNAH | Individual | H. ROTHMAN FAMILY LLC | MANAGER OF H. ROTHMAN FAMILY LLC | 09/2000 | |
| BOSHNACK, ROBERT, MARTIN | Individual | BOSHNACK FAMILY LLC | MANAGER OF BOSHNACK FAMILY LLC | 09/2000 | |
| SIEGEL, SHIRLEY, BARBARA | Individual | – | OWNER | 01/2001 | < 5% |
| KARAFA, JOHN, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2019 | < 5% |
| KARAFA, JOHN, MICHAEL | Individual | – | AML COMPLIANCE OFFICER | 04/2017 | < 5% |