Vision Investment Advisors, LLC (Stamford)


Vision Investment Advisors, LLC is a multi-state adviser based in Stamford. It manages $71.36 million of regulatory assets for 136 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Connecticut, and 21 other states.

Logo

Vision Investment Advisors provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Vision Investment Advisors: assets under management

The assets under management (AUM) of Vision Investment Advisors, LLC is $71.36 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -28% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $71.36 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $524.72 thousand each.
Vision Investment Advisors has custody of $41.58 million in cash and securities for 85 clients in total and its related person acts as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 45% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 20% of the firm’s portfolio. Investments in cash and cash equivalents form 20% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Vision Investment Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Robert Martin Boshnack serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Robert Martin Boshnack is individuals with 114 clients and $36.29 million of assets under management. Among the 4 most similar advisory firms, Vision Investment Advisors has the 2nd highest percentage of individuals out of all clients.


The amount of regulatory assets under management is $70.56 million for 134 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Vision Investment Advisors doesn't advise any private funds.

Careers at Vision Investment Advisors, LLC

The company employs 19 people that are either part- or full-time employees. 63 percent of the employees work as investment advisers or researchers. 19 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Vision Investment Advisors, LLC is owned by Shirley Barbara Siegel. Robert Martin Boshnack has been acting as President since 1 Jan 2008. John Michael Karafa joined the executive team most recently as the Chief Compliance Officer And Aml Compliance Officer.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Howard Martin Rothman Manager, ceo and owner 1 Jul 2000 25% - 50% 1098190
Lloyd George King Senior vice president 1 Jul 2000 Other 1606277
H. Rothman Family Llc Owner 1 Sep 2000 Other 06-1597016
Boshnack Family Llc Owner 1 Sep 2000 25% - 50% 06-1597017
Shirley Barbara Siegel Owner 1 Sep 2000 Other 4369113
Joan Harriet Hanko Owner 1 Sep 2000 Other 4369126
Shirley Barbara Siegel Owner 1 Jan 2001 Other 4369113
Joan Harriet Hanko Owner 1 Jan 2001 Other 4369126
Lloyd George King Senior vice president 1 Sep 2004 Other 1606277
Steven Mitchell Silver Chief marketing officer, chief compliance officer, chief operating officer 1 May 2006 Other 2194364
David Seth Stein Aml compliance officer, general counsel 1 Aug 2006 Other 5239990
Robert Martin Boshnack Director 1 Jan 2008 Other 1603890
David Edward Achzet Chief compliance officer 1 Sep 2015 Other 1209132
Victoria Bova General counsel/aml compliance officer 1 Mar 2016 Other 6631039
John Michael Karafa Aml compliance officer 1 Mar 2017 Other 2927594
Keith Lurie General counsel 1 Jun 2017 Other 4851076
John Michael Karafa Chief compliance officer and aml compliance officer 1 Aug 2019 Other 2927594

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Gayle Hannah Rothman Manager of h. rothman family llc 1 Sep 2000 Other 4369136
Robert Martin Boshnack Manager of boshnack family llc 1 Sep 2000 Other 1603890

Based in Stamford

The principal office where Vision Investment Advisors, LLC performs its advisory services is located at 120 Long Ridge Road, Stamford, CT 06902, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-388-2700 or by fax 203-321-0071. The normal business hours are 8:30a.m. to 5:00p.m. on Monday - Friday. You can find more information about the New York firm at advicewithvision.com.