Vision Investment Advisors, LLC (Stamford)

Name: Vision Investment Advisors, LLC
Address: 120 Long Ridge Road, Stamford, CT, 06902
Telephone: 203-388-2700

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.

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. The adviser charges an additional fee when a set benchmark is outperformed. 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.