Vision Investment Advisors

What Vision Investment Advisors does

Vision Investment Advisors, LLC is an SEC-registered investment advisory firm headquartered at 1010 Washington Blvd, Suite 300 in Stamford, Connecticut. Founded in 2014 and a member of the Vision diversified financial services group alongside Vision Financial Markets LLC (self-clearing broker/dealer, FINRA/SIPC member) and Vision Brokerage Services LLC, the firm provides discretionary money management to affluent individuals and their retirement accounts, family offices and family investment vehicles, and institutional investors such as corporate pension plans, trusts, endowments, and charitable organizations.

The firm offers seven portfolio strategies executed under a CIO-managed, covered-call overlay: the E-Portfolio (large-cap growth equities), D-Portfolio (mid/large-cap dividend payers with minimum 2.00% yield), B-Portfolio (balanced equity/fixed income), I-Portfolio (taxable or tax-exempt fixed income), T-Portfolio (aggressive, margin-using, naked-option strategies requiring Level 5 options approval), and two options programs (Stock Put Writing Program and Stock Put Credit-Spread Option Program). Investment selection is governed by proprietary trading methodologies developed by CIO Howard Rothman, who also serves as Managing Member and CEO. The firm operates a Wrap Fee Program and a Non-Wrap Fee Program, with all brokerage execution routed through affiliated Vision entities and IRA accounts custodied at STRATA Trust or Equity Institutional.

The business model is fee-based: advisory management fees are deducted quarterly in arrears under both the Wrap and Non-Wrap programs, with execution and transaction fees added separately under the Non-Wrap structure. The recommended minimum account size is $100,000 (with new accounts below $10,000 managed by an IAR not accepted), and margin access is available up to 50% (recommended 25–30%). Distribution is through independently operating Investment Adviser Representatives registered with the firm and direct client acquisition via the website advicewithvision.com and phone. As of July 2019, the firm reported approximately $71 million in assets under management; the firm has been operating for over ten years with no disclosed acquisitions, funding rounds, or external capital.

Name

Vision Investment Advisors

Legal name

Vision Investment Advisors, LLC

Website

https://advicewithvision.com

Company type

Private

Founded year

2014

Operating status

Operating

Headcount range

1–10 employees

Short description

Vision Investment Advisors is a Stamford, Connecticut-based SEC-registered investment advisor founded in 2014, offering discretionary managed portfolios and options strategies to affluent individuals, family offices, and institutional investors through independently registered Investment Adviser Representatives.

Ownership category

akta.pro rank

Product category

Investment Advisory Services

NAICS

Portfolio Management and Investment Advice (52394), Portfolio Management and Investment Advice (523940)

SIC

Investment Advice (6282)

akta.pro primary industry

Portfolio Construction & Asset Allocation Advisory (FSAEAAAC)

Keywords

• Discretionary investment management
• Portfolio advisory services
• Covered call strategies
• Wealth management advisory
• Asset management firm

Headquarters

HQ city

Stamford

HQ country

United States

HQ region

North America

Offices2 records

Markets served

GTM type

B2C

Offering type

Services

Cost components

Personnel, Operations, Technology or R&D, Marketing or Sales, Infrastructure, Others

Revenue model

1. Advisory Management Fees: Fees are charged for investment advisory services and are deducted from the client's account on a quarterly basis in arrears. The specific manner in which fees are charged is disclosed in the client's Investment Management Agreement with Vision Advisors.
2. Transaction and Execution Fees: In the Non-Wrap Fee Program, clients pay separate advisory and brokerage services. No commissions are charged but execution fees are incurred on each transaction placed in their account. Transaction fees are also charged by the broker/dealer where accounts are held.

Pricing tiers

Go-to-market motion1 record

Distribution channels2 records

Marketing channels2 records

Core offering

Vision Investment Advisors, LLC is an SEC-registered investment advisor providing discretionary investment management services across seven portfolio strategies: equity (E-Portfolio), dividend (D-Portfolio), balanced (B-Portfolio), fixed income (I-Portfolio), aggressive total return (T-Portfolio), and two options-based programs (Stock Put Writing Program and Stock Put Credit-Spread Option Program), plus a Wrap Fee Program. Accounts are executed and cleared through affiliated Vision Financial Markets LLC, with advisory fees deducted quarterly in arrears and a recommended minimum deposit of $100,000.

Product overview

Vision Investment Advisors is a SEC-registered investment advisory firm offering seven discretionary managed portfolio strategies: the Equity Portfolio (E-Portfolio) for growth-oriented investors, Dividend Portfolio (D-Portfolio) for income-focused investors, Balanced Portfolio (B-Portfolio) combining equity and fixed income, Fixed Income Portfolio (I-Portfolio) for conservative investors, Stock Put Writing Program and Stock Put Credit-Spread Option Program for aggressive option strategies, and the Total Portfolio (T-Portfolio) for speculative active traders. The firm also offers a Wrap Fee Program with bundled fee structures. All portfolios incorporate covered call option writing strategies and are managed with a focus on capital appreciation and risk management.

Differentiator

Problem solved

Functional benefit

Products and services

• E-Portfolio (Equity Portfolio) Flagship growth-oriented discretionary managed portfolio seeking returns from diversified large-cap U.S. equities with potential to outperform the S&P 500 Index; uses proprietary trading methods and covered call option writing for enhanced returns and downside protection. Aimed at growth-oriented individual and institutional investors.
• D-Portfolio (Dividend Portfolio) Equity-based discretionary portfolio targeting returns from diversified mid-cap and large-cap companies with attractive dividend rates (minimum 2.00% yield) while maintaining growth characteristics, utilizing covered call strategies. Aimed at income-focused equity investors.
• B-Portfolio (Balanced Portfolio) Discretionary portfolio combining stocks, bonds, fixed income instruments, cash equivalents, and option premium income to provide both income and capital gains, with the equity portion managed using Equity Portfolio methods. Aimed at investors seeking a balanced exposure to both equity and fixed income markets.
• I-Portfolio (Fixed Income Portfolio) Conservative discretionary portfolio offering taxable fixed income (U.S. government agency securities, corporate debt, preferred stocks) or non-taxable municipal bond strategies without direct equity market exposure. Aimed at conservative investors seeking income with lower equity-market correlation.
• Stock Put Writing Program (SPWP) Aggressive options strategy seeking returns by writing put options on common stocks, allowing investors to earn premium income with the obligation to purchase stock at the strike price if assigned. Aimed at investors comfortable with the risk of acquiring underlying equities at strike prices.
• Stock Put Credit-Spread Option Program (SPCSOP) Leveraged options strategy employing simultaneous short put and long put positions at different strike prices to limit losses while generating premium income from time decay. Aimed at investors seeking defined-risk options exposure.
• T-Portfolio (Total Portfolio) Highest-risk discretionary portfolio employing aggressive strategies including naked call writing, credit spreads, short positions, and margin use. Requires Level 5 options trading approval and is suitable for speculative investors comfortable with elevated risk.
• Wrap Fee Program Investment advisory program with bundled advisory and brokerage fees, available with program brochure and application forms for qualified investors. Aimed at clients who prefer an all-inclusive fee structure rather than separate advisory and execution charges.

Quantifiable outcome

• Accounts can be liquidated within five days

Segments3 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature1 record

Partnerships

Four partnerships are on record, tiered core and minor.

• Vision Financial Markets LLCcoreTechnology or IntegrationVision Financial Markets LLC is a self-clearing securities broker/dealer and affiliate of Vision Investment Advisors. It clears all brokerage transactions for Vision Advisors' client accounts and serves as the clearing firm. It is a member of FINRA and SIPC. Securities are held at Vision Financial Markets.
• Vision Brokerage Services, LLCcoreTechnology or IntegrationVision Brokerage Services, LLC is an affiliate broker/dealer of Vision Investment Advisors. It is a member of FINRA and SIPC. Vision Advisors intends to effect virtually all brokerage transactions through Vision Brokerage Services or Vision Financial Markets.
• STRATA Trust CompanyOthersSTRATA Trust Company serves as an IRA custodian for Vision Advisors' client retirement accounts. They offer Traditional IRA and ROTH IRA custodial accounts with associated disclosure documents and applications.
• Equity InstitutionalminorOthersEquity Institutional acts as an IRA custodian for certain IRA account holders. When accounts are set up as IRA accounts, Equity Institutional or another qualified custodian acts as the IRA Custodian and sends periodic statements.

Scale indicators1 record

Recent moves5 records

Expansion highlights4 records

Others

• Cetera Financial Group: Cetera is a large IBD/RIA support platform providing custody, technology, and compliance infrastructure to independent RIAs and their IARs — analogous to the broker-dealer infrastructure Vision accesses through its affiliate.

Direct peers

• Gateway Investment Advisers: Gateway Advisers manages options-based hedged equity and covered-call strategies for institutional and advisor clients, directly comparable to Vision's options-overlay portfolios and E-Portfolio methodology.
• Manning & Napier: Manning & Napier is a long-tenured, multi-strategy active equity and multi-asset RIA serving individuals and institutions — directly comparable to Vision's discretionary, multi-portfolio active equity model.
• Calamos Advisors: Calamos is an asset manager well known for equity income and covered-call / options-overlay strategies across mutual funds and separately managed accounts, with an HNW and institutional focus — directly overlapping Vision's options-overwriting and equity-income portfolios.
• Cboe Vest Financial: Cboe Vest specializes in options-based and target-outcome strategies (including covered call and buffer strategies) for advisors and institutions. Its options-overlay product set is highly comparable to Vision's Stock Put Writing and Stock Put Credit-Spread Option Programs.
• Harvest Volatility Management: Harvest Volatility is a specialist options-overlay manager running covered-call and option-income strategies — a tight strategic peer to Vision's covered-call-centric E- and D-Portfolios and the Stock Put Writing Program.

Broad incumbents

• Wealthfront: Wealthfront is a large digital advisor offering automated portfolio management with similar asset-allocation and tax-loss-harvesting capabilities. It competes for the same affluent, fee-sensitive clients at materially lower price points.
• Eaton Vance: Eaton Vance (now part of Morgan Stanley Investment Management) is a large, diversified asset manager with significant options-income and equity-income capabilities, competing with Vision in the covered-call/equity-income slice of the HNW market.
• Empower Personal Capital: Empower (formerly Personal Capital) is a large hybrid digital + human-advisor RIA serving HNW and mass-affluent clients with discretionary portfolio management, directly competing with Vision's affluent-individual segment.
• Fisher Investments: Fisher Investments is a very large private RIA focused on active global equity portfolio management for HNW and institutional clients. While much bigger, it competes for the same affluent and family-office client with a discretionary active-equity value proposition.

Market position

Weaknesses5 records

Competitive moat4 records

Key risks5 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/vision-investment-advisors-llc

Revenue estimate

Valuation estimate

Number of profiles

Profiles2 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Vision Investment Advisors