SEC-registered wealth management firm Broker-dealer affiliated
Vision Investment Advisors, LLC
As of its Form ADV filed May 12, 2026, Vision Investment Advisors, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in Stamford, Connecticut, reported $137.4 million in regulatory assets under management across 129 accounts, ranking #144 among all wealth firms in Connecticut by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 109621
- SEC file number
- 801-57975
- Registered since
- September 22, 2000
- Latest Form ADV filing
- May 12, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 4
Key figures
- Regulatory assets under management
- $137.4 million
- Discretionary
- $126.4 million (92.0%)
- Non-discretionary
- $11.0 million
- Accounts
- 129 (116 discretionary)
- Clients
- 129, approximate as reported
- Employees
- 9
- Advisory staff
- 4 performing investment advisory functions
- Average account
- $1.1 million
- Asset growth, 1 year
- 16.6% (from $117.9 million a year earlier)
- Asset growth, 3-year annual rate
- 14.3% (from $91.9 million three years earlier)
- Asset growth, 5-year annual rate
- 9.8% (from $86.2 million five years earlier)
- Client growth, 1 year
- 31.6% (from 98)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $377.0 million |
| October 3, 2011 | $416.7 million |
| October 1, 2012 | $416.6 million |
| October 1, 2013 | $614.4 million |
| October 1, 2014 | $424.2 million |
| October 1, 2015 | $62.8 million |
| October 3, 2016 | $61.2 million |
| October 2, 2017 | $68.3 million |
| October 1, 2018 | $72.7 million |
| October 1, 2019 | $71.4 million |
| October 1, 2020 | $84.5 million |
| October 4, 2021 | $86.2 million |
| October 3, 2022 | $100.5 million |
| October 5, 2023 | $91.9 million |
| October 1, 2024 | $106.4 million |
| September 2, 2025 | $117.9 million |
| October 2, 2026 | $137.4 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 54 clients | $114.4 million | |
| Individuals (other than high net worth) 73 clients | $20.5 million | |
| Pension and profit sharing plans fewer than 5 clients | $2.5 million |
How the firm is paid
- A percentage of assets under management
- Fixed fees
- Commissions
- Performance-based fees
Advisory services
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Selection of other advisers
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Commodity pool operator or commodity trading advisor
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Commodity pool operator or commodity trading advisor
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 9
- Also registered through a broker-dealer
- 7
- Employees who are IARs (Form ADV 5.B(3))
- 7
Between 3 and 9 of the firm's 9 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 5 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Connecticut
| Firm | City | RAUM |
|---|---|---|
| Plan First Wealth LLC | Greenwich | $140.3 million |
| Telos Partners LLC | Avon | $139.5 million |
| Springboard Asset Management LLC | Cheshire | $136.8 million |
| Loretta Nolan Associates, LLC | Old Greenwich | $135.8 million |
| Tumolo Wealth Management LLC | East Lyme | $134.0 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Vision Investment Advisors, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.advicewithvision.com
- Wealth management firms in Connecticut
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.