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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

VISION INVESTMENT ADVISORS, LLC

CRD 109621

STAMFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8cc0efa8-0b94-bcc5-e416-5e8cb0e7b93d

Data as of May 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to May 12, 2026
64 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=7.0 bank_owner=false
Regulatory AUM: $137MItem 5.F on the latest filing (2026-05-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $126M
Private client RAUM: $135MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $15.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 4
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 129
Individual clients: 73
High net worth clients: 54
SEC number: 801-57975
CRD: 109621
Filings on the tape: 64
First filed: Mar 23, 2012
Latest filed: May 12, 2026
Organised: Limited Liability Company, DE
Website: advicewithvision.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
HOWARD MARTIN ROTHMAN	n/a	STAMFORD, CT	20	39	n/a	yes
STEVEN EDWARD FREED	n/a	STAMFORD, CT \| Delray Beach, FL	16	22	n/a	yes
JOHN MICHAEL KARAFA	n/a	STAMFORD, CT	12	24	1	yes
JUSTIN EVERETT BOSHNACK	n/a	STAMFORD, CT \| Laguna Beach, CA	11	22	n/a	no
ANA MARTINEZ	n/a	STAMFORD, CT	10	20	n/a	yes
Luke David Berte	n/a	STAMFORD, CT	7	11	n/a	yes
EMANUEL ANDRES ROMERO-VICINI	n/a	STAMFORD, CT	6	29	5	yes
Andrew K Ribbens	n/a	STAMFORD, CT	1	14	n/a	yes
WILLIAM DEAN KATZELIS	n/a	Fallbrook, CA	0	31	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BOSHNACK, ROBERT, MARTIN	MANAGER OF BOSHNACK FAMILY LLC	F	yes	09/2000	Mar 23, 2012	Dec 16, 2024
ROTHMAN, GAYLE, HANNAH	MANAGER OF H. ROTHMAN FAMILY LLC	F	yes	09/2000	Mar 23, 2012	Dec 16, 2024
ROTHMAN, HOWARD, MARTIN	MANAGER, CEO, AND OWNER	C	yes	07/2000	Mar 23, 2012	Dec 16, 2024
BOSHNACK FAMILY LLC	Owner	C	no	09/2000	Mar 23, 2012	Dec 16, 2024
H. ROTHMAN FAMILY LLC	Owner	B	no	09/2000	Mar 23, 2012	Dec 16, 2024
HANKO, JOAN, HARRIET	Owner	Na	no	01/2001	Mar 23, 2012	Dec 16, 2024
KARAFA, JOHN, MICHAEL	AML COMPLIANCE OFFICER	Na	no	04/2017	Mar 31, 2017	Dec 16, 2024
SIEGEL, SHIRLEY, BARBARA	Owner	Na	no	01/2001	Mar 23, 2012	Dec 16, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VISION BROKERAGE SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a
VISION FINANCIAL MARKETS LLC	n/a	n/a	n/a	N	yes	Ct

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
LAGUNA BEACH	CA	United States	1	no
NEW YORK	NY	United States	1	yes
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 27, 2026	$137M	$126M	9	4	4	n/a	n/a
2024	Apr 23, 2025	$118M	$109M	9	4	4	n/a	n/a
2023	Feb 21, 2024	$106M	$104M	7	3	4	n/a	n/a
2022	Mar 20, 2023	$91.9M	$88.7M	11	4	4	n/a	n/a
2021	Mar 1, 2022	$100M	$94.2M	13	5	4	n/a	n/a
2020	Mar 15, 2021	$86.2M	$81.1M	13	5	4	n/a	n/a
2019	Mar 25, 2020	$84.5M	$80.9M	19	11	8	n/a	n/a
2018	Mar 27, 2019	$71.4M	$71.4M	19	12	10	n/a	n/a
2017	Mar 9, 2018	$72.7M	$72.7M	18	9	10	n/a	n/a
2016	Mar 31, 2017	$68.3M	$68.3M	15	11	n/a	n/a	n/a
2015	Feb 11, 2016	$61.2M	$61.2M	20	14	n/a	n/a	n/a
2014	Mar 30, 2015	$62.8M	$62.8M	20	19	n/a	n/a	n/a
2013	Mar 27, 2014	$424M	$424M	5	2	n/a	n/a	n/a
2012	Mar 15, 2013	$614M	$614M	5	2	n/a	n/a	n/a
2011	Mar 23, 2012	$417M	$417M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$137M	$118M	16.6%	$91.9M	14.3%	9	9	4	4

Relationships

Registered with (16)

← WILLIAM DEAN KATZELISAdvisorregistration: current employment
Feb 4, 2026 to presentfactForm ADV
← Andrew K RibbensAdvisorregistration: current employment
Apr 7, 2025 to presentfactForm ADV
← EMANUEL ANDRES ROMERO-VICINIAdvisorregistration: current employment
Jan 22, 2020 to presentfactForm ADV
← Luke David BerteAdvisorregistration: current employment
Jun 5, 2019 to presentfactForm ADV
← ANA MARTINEZAdvisorregistration: current employment
Mar 23, 2016 to presentfactForm ADV
← JUSTIN EVERETT BOSHNACKAdvisorregistration: current employment
Aug 12, 2015 to presentfactForm ADV
← JOHN MICHAEL KARAFAAdvisorregistration: current employment
Nov 13, 2013 to presentfactForm ADV
← STEVEN EDWARD FREEDAdvisorregistration: current employment
Mar 30, 2010 to presentfactForm ADV
← HOWARD MARTIN ROTHMANAdvisorregistration: current employment
Jul 6, 2006 to presentfactForm ADV
← STEVEN ULBRICHAdvisorregistration: previous registration
Nov 16, 2020 to Jul 9, 2021factForm ADV
← DAVID EDWARD ACHZETAdvisorregistration: previous registration
Aug 11, 2015 to Jul 23, 2019factForm ADV
← JEFFREY GENE ENGELMANAdvisorregistration: previous registration
Apr 23, 2013 to Aug 24, 2017factForm ADV
← STEPHEN ANDREW CONTEAdvisorregistration: previous registration
Mar 1, 2011 to Feb 29, 2016factForm ADV
← LISA MARI SNYDERMANAdvisorregistration: previous registration
Apr 11, 2007 to Dec 31, 2015factForm ADV
← MARNI HANDELAdvisorregistration: previous registration
Mar 30, 2015 to Aug 28, 2015factForm ADV
← LAURIE ANN PALLASAdvisorregistration: previous registration
Mar 22, 2012 to Aug 31, 2012factForm ADV

Controls (3)

← ROTHMAN, HOWARD, MARTINOwnerMANAGER, CEO, AND OWNER, ownership code C, individual
Mar 23, 2012 to Dec 16, 2024factForm ADV
← BOSHNACK, ROBERT, MARTINOwnerMANAGER OF BOSHNACK FAMILY LLC, ownership code F, individual
Mar 23, 2012 to Dec 16, 2024factForm ADV
← ROTHMAN, GAYLE, HANNAHOwnerMANAGER OF H. ROTHMAN FAMILY LLC, ownership code F, individual
Mar 23, 2012 to Dec 16, 2024factForm ADV

Owns (5)

← KARAFA, JOHN, MICHAELOwnerAML COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2017 to Dec 16, 2024factForm ADV
← SIEGEL, SHIRLEY, BARBARAOwnerOWNER, ownership code NA, individual
Mar 23, 2012 to Dec 16, 2024factForm ADV
← HANKO, JOAN, HARRIETOwnerOWNER, ownership code NA, individual
Mar 23, 2012 to Dec 16, 2024factForm ADV
← BOSHNACK FAMILY LLCOwnerOWNER, ownership code C, domestic entity
Mar 23, 2012 to Dec 16, 2024factForm ADV
← H. ROTHMAN FAMILY LLCOwnerOWNER, ownership code B, domestic entity
Mar 23, 2012 to Dec 16, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8cc0efa8-0b94-bcc5-e416-5e8cb0e7b93d
First observed: Mar 23, 2012
Last observed: May 12, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

VISION INVESTMENT ADVISORS, LLC

CRD 109621

STAMFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8cc0efa8-0b94-bcc5-e416-5e8cb0e7b93d

Data as of May 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:47 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

HOWARD MARTIN ROTHMAN

n/a

STAMFORD, CT

n/a

yes

STEVEN EDWARD FREED

n/a

STAMFORD, CT | Delray Beach, FL

n/a

yes

JOHN MICHAEL KARAFA

n/a

STAMFORD, CT

yes

JUSTIN EVERETT BOSHNACK

n/a

STAMFORD, CT | Laguna Beach, CA

n/a

ANA MARTINEZ

n/a

STAMFORD, CT

n/a

yes

Luke David Berte

n/a

STAMFORD, CT

n/a

yes

EMANUEL ANDRES ROMERO-VICINI

n/a

STAMFORD, CT

yes

Andrew K Ribbens

n/a

STAMFORD, CT

n/a

yes

WILLIAM DEAN KATZELIS

n/a

Fallbrook, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOSHNACK, ROBERT, MARTIN

MANAGER OF BOSHNACK FAMILY LLC

yes

09/2000

Mar 23, 2012

Dec 16, 2024

ROTHMAN, GAYLE, HANNAH

MANAGER OF H. ROTHMAN FAMILY LLC

yes

09/2000

Mar 23, 2012

Dec 16, 2024

ROTHMAN, HOWARD, MARTIN

MANAGER, CEO, AND OWNER

yes

07/2000

Mar 23, 2012

Dec 16, 2024

BOSHNACK FAMILY LLC

Owner

09/2000

Mar 23, 2012

Dec 16, 2024

H. ROTHMAN FAMILY LLC

Owner

09/2000

Mar 23, 2012

Dec 16, 2024

HANKO, JOAN, HARRIET

Owner

01/2001

Mar 23, 2012

Dec 16, 2024

KARAFA, JOHN, MICHAEL

AML COMPLIANCE OFFICER

04/2017

Mar 31, 2017

Dec 16, 2024

SIEGEL, SHIRLEY, BARBARA

Owner

01/2001

Mar 23, 2012

Dec 16, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VISION BROKERAGE SERVICES, LLC

n/a

yes

n/a

VISION FINANCIAL MARKETS LLC

n/a

yes

City

State

Country

Employees

Also broker-dealer

LAGUNA BEACH

United States

NEW YORK

United States

yes

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 27, 2026

$137M

$126M

n/a

2024

Apr 23, 2025

$118M

$109M

n/a

2023

Feb 21, 2024

$106M

$104M

n/a

2022

Mar 20, 2023

$91.9M

$88.7M

n/a

2021

Mar 1, 2022

$100M

$94.2M

n/a

2020

Mar 15, 2021

$86.2M

$81.1M

n/a

2019

Mar 25, 2020

$84.5M

$80.9M

n/a

2018

Mar 27, 2019

$71.4M

n/a

2017

Mar 9, 2018

$72.7M

n/a

2016

Mar 31, 2017

$68.3M

n/a

2015

Feb 11, 2016

$61.2M

n/a

2014

Mar 30, 2015

$62.8M

n/a

2013

Mar 27, 2014

$424M

n/a

2012

Mar 15, 2013

$614M

n/a

2011

Mar 23, 2012

$417M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$137M

$118M

16.6%

$91.9M

14.3%