Vision Investment Advisors, LLC

Registered investment adviser · Stamford, CT · CRD #109621

Form ADV data as of 2026-09-01

Regulatory assets

$137.4 million

Total accounts

129

Employees

Disclosure events

Firm details

Website: http://www.advicewithvision.com
Telephone: 203-388-2700
SEC file number: 801-57975
Most recent Form ADV filing: 2026-05-12
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 5 disclosure questions answered Yes, covering 15 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$126.4 million
Non-discretionary regulatory assets under management	$11.0 million
Total regulatory assets under management	$137.4 million
Discretionary accounts	116
Non-discretionary accounts	13
Total accounts	129
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	9
Employees performing investment advisory functions (including research)	4
Employees who are registered representatives of a broker-dealer	7
Employees registered as investment adviser representatives with a state	7
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	2
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$76.4 million
Clients for whom a related person has custody	63
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	Yes
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)CommissionsPerformance-based fees

Advisory services offered

Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)Commodity pool operator or commodity trading advisor

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerCommodity pool operator or commodity trading advisor

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Executes agency cross transactions involving advisory client securities
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	73	$20.5 million
High net worth individuals	54	$114.4 million
Pension and profit sharing plans (not the participants or government plans)	2	$2.5 million