# VISION INVESTMENT ADVISORS, LLC

VISION INVESTMENT ADVISORS, LLC of STAMFORD, CT is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 109621
- Type: SEC-registered investment adviser
- SEC file number: 801-57975
- Location: 1010 WASHINGTON BLVD, SUITE 300, STAMFORD, CT, 06901
- Phone: 203-388-2700
- Latest filing: 2026-05-12
- Regulatory AUM: $137.4M
- Discretionary AUM: $126.4M
- Non-discretionary AUM: $11.0M
- Clients: 9
- Accounts: 129

## Business model

- Compensation: % of AUM, Fixed, Performance, Commissions
- Clients served: High net worth, Pooled vehicles, Charities

## Officers, owners & control persons (18)

| Name | Role | Location |
| --- | --- | --- |
| King George | CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT | New York, NY |
| Howard Martin Rothman | MANAGER, CEO, AND OWNER | — |
| Gayle Hannah Rothman | MANAGER OF H. ROTHMAN FAMILY LLC | — |
| Robert Martin Boshnack | MANAGER OF BOSHNACK FAMILY LLC | — |
| Shirley Barbara Siegel | OWNER | — |
| Joan Harriet Hanko | OWNER | — |
| John Michael Karafa | AML COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER | — |
| ROTHMAN HOWARD MARTIN | MANAGER, CEO, ACTING CCO AND OWNER; MANAGER, CEO AND OWNER; MANAGER, CEO, AND OWNER | — |
| SIEGEL SHIRLEY BARBARA | OWNER | — |
| HANKO JOAN HARRIET | OWNER | — |
| ROTHMAN GAYLE HANNAH | MANAGER OF H. ROTHMAN FAMILY LLC | — |
| BOSHNACK ROBERT MARTIN | DIRECTOR; MANAGER OF BOSHNACK FAMILY LLC; PRINCIPAL | — |
| STEIN DAVID SETH | AML COMPLIANCE OFFICER, GENERAL COUNSEL; CHIEF LEGAL OFFICER | — |
| SILVER STEVEN MITCHELL | CHIEF MARKETING OFFICER, CHIEF COMPLIANCE OFFICER; CHIEF MARKETING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER; CHIEF MARKETING OFFICER,  CHIEF OPERATING OFFICER (+2 more) | — |
| ACHZET DAVID EDWARD | CHIEF COMPLIANCE OFFICER | — |
| Bova Victoria | GENERAL COUNSEL/AML COMPLIANCE OFFICER | — |
| KARAFA JOHN MICHAEL | AML COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | — |
| Lurie Keith | GENERAL COUNSEL | — |


## Disclosures (42)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-07-15 | regulatory | DURING ALL RELEVANT PERIODS HEREIN, THE FOLLOWING LAWS AND RULES WERE IN FULL FORCE AND EFFECT: EXCHANGE RULES 5.1 - WRITTEN PROCEDURES, 16.1 - DEFINITIONS (AS FURTHER DESCRIBED IN SR-BATS-2011-041 ), 18.1 - ADHERENCE TO LAW, 18.2 - CONDUCT AND COMPLIANCE WITH THE RULES, 20. 7 - AUDIT TRAIL, AND 24.… | Final | $63K |
| 2025-07-15 | regulatory | DURING ALL RELEVANT PERIODS HEREIN, THE FOLLOWING LAWS AND RULES WERE IN FULL FORCE AND EFFECT: EXCHANGE RULES 5.1 -WRITTEN PROCEDURES, 16.1 -DEFINITIONS (AS FURTHER DESCRIBED IN SR-BATS-2011-041 ), 18.1 -ADHERENCE TO LAW, 18.2 -CONDUCT AND COMPLIANCE WITH THE RULES, 20.7 -AUDIT TRAIL, AND 24.1 -MAI… | Final | $11K |
| — | regulatory | — | — | — |
| — | regulatory | NFA: 13-BCC-018 SETTLEMENT: RESTITUTION, FINE, AND VOLUNTARY FCM REGISTRATION WITHDRAWAL. CHANGE SUPERVISORS DUE TO FAILURE TO SUPERVISE . | — | — |
| — | regulatory | 14-0029 AND 14-0119 SRO (CHICAGO BOARD OPTION EXCHANGE) MONETARY/FINE AND CENSURE : UNDERTAKING TO ENHANCE RISK CONTROLS AND PROCEDURES RELATING TO DIRECT MARKET ACCESS. | — | — |
| — | regulatory | FINRA DOCKET 2010021330501 TRACE VIOLATION FINE $22,500 | — | — |
| — | regulatory | CFTC 13-36 CEASE AND DESIST VIOLATING REGULATION 166.3, 17 C.F.R § 166.3 (2013): PAY CIVIL MONETARY PENALTY $140,000 | — | — |
| — | regulatory | CFTC 13-39 CEASE AND DESIST FROM VIOLATING SECTION 4D(A)(2) OF 7 U.S.C. § 6 6D(A)(2), 17 C.F.R. §§ 1.10(D)(1)(V) AND (VI), 1.12(H), 1.20 AND 1.26. CIVIL MONETARY PENALTY $525,000. | — | — |
| — | regulatory | CFTC 13-36 CEASE AND DESIST VIOLATING REGULATION 166.3, 17 C.F.R ? 166.3 (2013): PAY CIVIL MONETARY PENALTY $140,000 | — | — |
| — | regulatory | CFTC 13-39 CEASE AND DESIST FROM VIOLATING SECTION 4D(A)(2) OF 7 U.S.C. ? 6 6D(A)(2), 17 C.F.R. ?? 1.10(D)(1)(V) AND (VI), 1.12(H), 1.20 AND 1.26. CIVIL MONETARY PENALTY $525,000. | — | — |


## Branch offices (4)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| — | — | 1 | 7868375616 |
| NEW YORK | NY | 1 | 2128590290 |
| LAGUNA BEACH | CA | 1 | 2033882678 |
| FALLSBROOK | CA | 1 | 9496332856 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/109621/brochure
- Similar advisers: https://search.stillhousedata.com/firm/109621/similar
- Related entities: https://search.stillhousedata.com/firm/109621/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/109621

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.