Data / Investment advisers / $100 million to $500 million in AUM / Vermont
Investment advisers in Vermont with $100 million to $500 million in AUM: 20 firms
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
20 SEC registered investment advisers in Vermont report between $100 million and $500 million in regulatory assets under management, $4.6 billion in all, in the SEC's Form ADV file of November 2, 2026. The largest is Prentiss Smith & Company, Inc. with $453 million.
The request: Every investment adviser in Vermont with AUM in the range $100 million to $500 million, with phone and website. $10 of work on sign-up, no card.
SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.
- 20Advisers
- 20SEC registered
- $4.6 billionTotal AUM
- 20Advisers over $100 million
- 3Manage private funds
- November 2, 2026File date
Largest advisers by AUM
Ranked by regulatory AUM, then by private funds. Each row links to the firm page where it has one, and to its SEC record.
| Adviser | City | AUM | Accounts | Employees | Private funds | Phone | Website | Source |
|---|---|---|---|---|---|---|---|---|
| Prentiss Smith & Company, Inc. | Brattleboro | $453.1 million | 622 | 8 | Not listed | (802) 254-2913 | prentiss-smith.com | adviserinfo.sec.gov |
| Broadlake Financial Management | South Burlington | $409.6 million | 1,166 | 5 | Not listed | (802) 863-4463 | broadlakefinancial.com | adviserinfo.sec.gov |
| Antoine Williams & Associates Wealth Management, LLC | Shelburne | $318.9 million | 993 | 3 | Not listed | (802) 985-8808 | antoinewilliamsandassoc.com | adviserinfo.sec.gov |
| Otto & Associates, Inc. | Norwich | $286.6 million | 629 | 6 | Not listed | (802) 649-1946 | ottoandassociates.com | adviserinfo.sec.gov |
| Bennington Financial Planning Group | Bennington | $281.5 million | 758 | 3 | Not listed | (802) 447-1530 | adviserinfo.sec.gov | |
| Farrow Financial Inc | South Burlington | $280.1 million | 573 | 4 | Not listed | (802) 728-4287 | farrowfinancial.com | adviserinfo.sec.gov |
| Teucrium Investment Advisors, LLC | Burlington | $277.4 million | 13 | 12 | Not listed | (802) 540-0019 | insights.teucrium.com | adviserinfo.sec.gov |
| Intrack Investment Management, Inc. | South Burlington | $275.7 million | 590 | 4 | Not listed | (802) 658-0625 | intrackinvest.com | adviserinfo.sec.gov |
| Hutner Capital Management Inc. | Manchester | $271.2 million | 122 | 4 | 3 | (802) 366-8157 | hutnercapital.com | adviserinfo.sec.gov |
| Birchview Capital, LP | Burlington | $239.1 million | 16 | 6 | 2 | (802) 923-3826 | birchviewcapital.com | adviserinfo.sec.gov |
| Westview Investment Advisors | Burlington | $228.6 million | 476 | 5 | Not listed | (802) 489-5342 | westviewinvest.com | adviserinfo.sec.gov |
| Copper Leaf Financial, LLC | Williston | $219.6 million | 552 | 4 | Not listed | (802) 878-2731 | adviserinfo.sec.gov | |
| Williams Financial, LLC | North Bennington | $209.9 million | 837 | 7 | Not listed | (866) 986-4469 | williamsfinancial.net | adviserinfo.sec.gov |
| DWV Advisors, LLC | Essex Junction | $156.6 million | 55 | 1 | Not listed | (802) 879-3766 | dwvadvisors.com | adviserinfo.sec.gov |
| Poulos Advisors, Inc. | South Burlington | $150.4 million | 319 | 3 | Not listed | (802) 862-7361 | adviserinfo.sec.gov | |
| 44 North Capital, LLC | Burlington | $125.1 million | 438 | 3 | Not listed | (802) 300-0614 | 44ncap.com | adviserinfo.sec.gov |
| Quantum Leap Capital, LLC | South Burlington | $120.5 million | 575 | 5 | 1 | (802) 448-2882 | adviserinfo.sec.gov | |
| Milne Financial Planning, Inc. | Saint Johnsbury | $111.3 million | 376 | 3 | Not listed | (802) 249-7107 | milnefeeonly.com | adviserinfo.sec.gov |
| Equinox Financial Advisors, Inc. | Manchester Center | $110.9 million | 595 | 2 | Not listed | (802) 367-7750 | adviserinfo.sec.gov | |
| Stage 2 Planning Partners LLC | S Burlington | $106.5 million | 573 | 2 | Not listed | (802) 846-1264 | stage2planning.com | adviserinfo.sec.gov |
Also on SpecStream
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.