DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Vision Investment Advisors, LLC
Latest filing May 12, 2026
First filing on the tape Mar 23, 2012 · 64 filings
SEC status approved since Sep 22, 2000
RAUM
$137M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
98%
$135M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$15.3M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
64 filings and snapshots on the tape
RAUM$137M as of May 12, 2026
Mar 23, 2012$417M then
HNW client RAUM$114M as of May 12, 2026
Mar 9, 2018$15.0M then
State-registered IARs (5.B.3)7 as of May 12, 2026
Mar 15, 20132 then
Employees (5.A)9 as of May 12, 2026
Mar 15, 20135 then
Private funds: no history
RAUM +17% over the last fiscal year+14% a year over threeIARs 7 to 7
Practice profile
derived from the filing of May 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $15.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +31%derived
- Compensation
- percentage of assets, fixed fees, performance-based, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$114M83%
- Individuals$20.5M15%
- Pension and profit-sharing plans$2.5M1.8%
- Individual clients
- 73reported
- HNW clients
- 54reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 129reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $23.6M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performance, commissionsreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=7.0 bank_owner=falsederived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Howard Martin Rothman | Stamford, Ct | Jul 6, 2006 | 39 y | 0 |
| Steven Edward Freed | Stamford, Ct | Mar 30, 2010 | 22 y | 0 |
| John Michael Karafa | Stamford, Ct | Nov 13, 2013 | 24 y | 1 |
| Justin Everett Boshnack | Stamford, Ct | Aug 12, 2015 | 22 y | 0 |
| Ana Martinez | Stamford, Ct | Mar 23, 2016 | 20 y | 0 |
| Luke David Berte | Stamford, Ct | Jun 5, 2019 | 11 y | 0 |
| Emanuel Andres Romero-Vicini | Stamford, Ct | Jan 22, 2020 | 29 y | 5 |
| Andrew K Ribbens | Stamford, Ct | Apr 7, 2025 | 14 y | 0 |
| William Dean Katzelis | Fallbrook, Ca | Feb 4, 2026 | 31 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Steven Ulbrich to Gyl Financial Synergies, LLCJul 9, 2021 · RIA to RIA
- David Edward Achzet to Dominari Securities LLCJul 23, 2019 · RIA to RIA
- Jeffrey Gene Engelman to Prism Financial Strategies, LLCAug 24, 2017 · Other
- Stephen Andrew Conte to Allstate Financial Advisors, LLCFeb 29, 2016 · Other
- Lisa Mari Snyderman to Westport Capital Markets, LLCDec 31, 2015 · Other
- Marni Handel to Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 28, 2015 · Other
- Laurie Ann Pallas to UBS Financial Services Inc.Aug 31, 2012 · Other
Joined, latest
- William Dean Katzelis from Divergent Capital Asset Management LLCFeb 4, 2026 · Other
- Emanuel Andres Romero-Vicini from Essex Financial Services, Inc.Jan 22, 2020 · RIA to RIA
- David Edward Achzet from Source Capital Group, Inc.Aug 11, 2015 · Other
- John Michael Karafa from Source Capital Group, Inc.Nov 13, 2013 · Other
- Jeffrey Gene Engelman from Bancwest Investment Services, Inc. (Bwis)Apr 23, 2013 · Other
- Laurie Ann Pallas from Credit Suisse Securities (USA) LLCMar 22, 2012 · Other
- Stephen Andrew Conte from American Portfolios Advisors, IncMar 1, 2011 · Other
- Lisa Mari Snyderman from Banc Of America Investment Services, Inc.Apr 11, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Martin Howard Rothman · Manager, Ceo, And Ownercontrolsince 07/2000 · owns 25% to 50%
- Martin Robert Boshnack · Manager Of Boshnack Family LLCcontrolsince 09/2000 · owns F of Boshnack Family LLC
- Hannah Gayle Rothman · Manager Of H. Rothman Family LLCcontrolsince 09/2000 · owns F of H. Rothman Family LLC
- Harriet Joan Hanko · Ownersince 01/2001 · owns less than 5%
- Michael John Karafa · Aml Compliance Officersince 04/2017 · owns less than 5%
- Barbara Shirley Siegel · Ownersince 01/2001 · owns less than 5%
Entity owners
- Boshnack Family LLC · Ownerdirect · owns 25% to 50%
- H. Rothman Family LLC · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Vision Brokerage Services, LLCbroker-dealern
- Vision Financial Markets LLCbroker-dealercustodiann
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
- New York, NY1 employees
- Laguna Beach, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 98 to 129Apr 23, 2025 to Feb 27, 2026
- Individual clients · 43 to 73Apr 23, 2025 to Feb 27, 2026
- Pension plan clients · 1 to 2Apr 23, 2025 to Feb 27, 2026
- Discretionary RAUM · $109M to $126MApr 23, 2025 to Feb 27, 2026
- HNW RAUM · $104M to $114MApr 23, 2025 to Feb 27, 2026
- Individual RAUM · $12.2M to $20.5MApr 23, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $9.3M to $11.0MApr 23, 2025 to Feb 27, 2026
- Pension RAUM · $1.6M to $2.5MApr 23, 2025 to Feb 27, 2026
- RAUM · $118M to $137MApr 23, 2025 to Feb 27, 2026
- Advisory employees · 3 to 4Mar 4, 2025 to Apr 23, 2025
- BD registered reps · 6 to 7Mar 4, 2025 to Apr 23, 2025
- Employees · 7 to 9Mar 4, 2025 to Apr 23, 2025
- Financial planning clients · 0 to 0Mar 4, 2025 to Apr 23, 2025
- Other offices · 3 to 4Mar 4, 2025 to Apr 23, 2025
- Accounts · 110 to 98Dec 16, 2024 to Mar 4, 2025
- HNW clients · 49 to 54Dec 16, 2024 to Mar 4, 2025
- Individual clients · 60 to 43Dec 16, 2024 to Mar 4, 2025
- Discretionary RAUM · $104M to $109MDec 16, 2024 to Mar 4, 2025
- HNW RAUM · $92.0M to $104MDec 16, 2024 to Mar 4, 2025
- Individual RAUM · $13.0M to $12.2MDec 16, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $2.7M to $9.3MDec 16, 2024 to Mar 4, 2025
- Pension RAUM · $1.3M to $1.6MDec 16, 2024 to Mar 4, 2025
- RAUM · $106M to $118MDec 16, 2024 to Mar 4, 2025
- Wrap assets (manager) · $21.0M to $23.6MDec 16, 2024 to Mar 4, 2025
- Other offices · 4 to 3Feb 21, 2024 to Mar 11, 2024
- Accounts · 125 to 110Mar 21, 2023 to Feb 21, 2024
- Advisory employees · 4 to 3Mar 21, 2023 to Feb 21, 2024
- BD registered reps · 10 to 6Mar 21, 2023 to Feb 21, 2024
- Corporate clients · 1.0 to unsetMar 21, 2023 to Feb 21, 2024
- HNW clients · 45 to 49Mar 21, 2023 to Feb 21, 2024
- Individual clients · 78 to 60Mar 21, 2023 to Feb 21, 2024
- Employees · 11 to 7Mar 21, 2023 to Feb 21, 2024
- State-registered IARs · 8 to 7Mar 21, 2023 to Feb 21, 2024
- Discretionary RAUM · $88.7M to $104MMar 21, 2023 to Feb 21, 2024
- HNW RAUM · $75.7M to $92.0MMar 21, 2023 to Feb 21, 2024
- Individual RAUM · $15.0M to $13.0MMar 21, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $3.2M to $2.7MMar 21, 2023 to Feb 21, 2024
- Pension RAUM · $1.1M to $1.3MMar 21, 2023 to Feb 21, 2024
- RAUM · $91.9M to $106MMar 21, 2023 to Feb 21, 2024
- Wrap assets (manager) · $24.3M to $21.0MMar 21, 2023 to Feb 21, 2024
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- inquire@advicewithvision.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-388-2700reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-517-9710reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-836-3949reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ADVICEWITHVISION.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203-388-2700reportedpublic record, Form ADV, May 12, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $15.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026