Vision Investment Advisors, Llc
- Regulatory AUM
- $137M
- Discretionary
- $126M
- Clients
- 129
- Avg AUM / client
- $1.1M
- Accounts
- 129
- Employees
- 9
AUM over time
Annual snapshots from Form ADV filings · as of May 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 73 | $20.5M | 14.9% |
| High net worth individuals | 54 | $114M | 83.3% |
| Pension and profit sharing plans | 2 | $2.5M | 1.85% |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Howard Martin Rothman | Manager, Ceo, And Owner | Jul 2000 (26y) | 25% – 50% | |
| Boshnack, Robert, Martin | Manager Of Boshnack Family Llc | Sep 2000 (26y) | GP / trustee / elected manager of Boshnack Family Llc (indirect) | |
| Rothman, Gayle, Hannah | Manager Of H. Rothman Family Llc | Sep 2000 (26y) | GP / trustee / elected manager of H. Rothman Family Llc (indirect) | |
| Hanko, Joan, Harriet | Owner | Jan 2001 (26y) | Less than 5% | |
| Siegel, Shirley, Barbara | Owner | Jan 2001 (26y) | Less than 5% | |
| John Michael Karafa | Chief Compliance Officer | Nov 2013 (13y) | Less than 5% | |
| Steven Edward Freed | Registered representative | Mar 2010 (16y) | ||
| Justin Everett Boshnack | Registered representative | Aug 2015 (11y) | ||
| Ana Martinez | Registered representative | Mar 2016 (10y) | ||
| Luke David Berte | Registered representative | Jun 2019 (7y) | ||
| Emanuel Andres Romero Vicini | Registered representative | Jan 2020 (7y) | ||
| Andrew K Ribbens | Registered representative | Apr 2025 (1y) | ||
| William Dean Katzelis | Registered representative | Feb 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Boshnack Family Llc | Owner | Sep 2000 | A | 25% – 50% |
| H. Rothman Family Llc | Owner | Sep 2000 | A | 10% – 25% |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/12/2026 | 2.2 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Summary: NFA: 13-BCC-018 SETTLEMENT: RESTITUTION, FINE, AND VOLUNTARY FCM REGISTRATION WITHDRAWAL. CHANGE SUPERVISORS DUE TO FAILURE TO SUPERVISE .
Summary: 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.
Summary: FINRA DOCKET 2010021330501 TRACE VIOLATION FINE $22,500
Summary: CFTC 13-36 CEASE AND DESIST VIOLATING REGULATION 166.3, 17 C.F.R § 166.3 (2013): PAY CIVIL MONETARY PENALTY $140,000
Summary: 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.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Commissions
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Vision Financial Markets Llc $48.6M (35% of AUM) May 2026
- Charles Schwab & Co. $37.5M (27% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 12, 2026.
View current Form ADV (SEC/IAPD) ↗