Data / Investment advisers / Vermont / Prentiss Smith & Company, Inc.
Prentiss Smith & Company, Inc., Brattleboro, VT: $453 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Prentiss Smith & Company, Inc. is an SEC registered investment adviser with its main office in Brattleboro, Vermont and reports $453 million in regulatory assets under management in its Form ADV filed October 26, 2026. Its clients include individuals, high net worth individuals and corporations and other businesses. It is paid through a percentage of assets under management.
The request: Watch Prentiss Smith & Company, Inc. (CRD number 110928): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 110928
- SEC file number
- 801-17579
- SEC status
- Approved, effective September 10, 1982
- Main office
- 950 Western Avenue, Brattleboro, VT 05301
- Phone
- (802) 254-2913
- Website
- prentiss-smith.com
- Regulatory AUM
- $453,050,280 in the Form ADV filed October 26, 2026
- Discretionary AUM
- $447,130,478
- Non discretionary AUM
- $5,919,802
- Accounts
- 622
- Employees
- 8, of which 5 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- October 26, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 290 | $258.1 million |
| High net worth individuals | 10 | $152.4 million |
| Corporations or other businesses | 9 | $34.9 million |
| Charitable organizations | 10 | $7.6 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $453.1 million | March 27, 2026 |
| December 1, 2025 | $437 million | May 9, 2025 |
Other advisers in Vermont
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Silverlake Wealth Management LLC | Williston | $849.1 million | Not listed | adviserinfo.sec.gov |
| Rock Point Advisors, LLC | Burlington | $655.7 million | Not listed | adviserinfo.sec.gov |
| Marble Trail Advisors | Middlebury | $582.7 million | Not listed | adviserinfo.sec.gov |
| Clean Yield Asset Management | Norwich | $571.2 million | Not listed | adviserinfo.sec.gov |
| M. Kraus & Company | Shelburne | $559.3 million | Not listed | adviserinfo.sec.gov |
| Broadlake Financial Management | South Burlington | $409.6 million | Not listed | adviserinfo.sec.gov |
| Antoine Williams & Associates Wealth Management, LLC | Shelburne | $318.9 million | Not listed | adviserinfo.sec.gov |
| Otto & Associates, Inc. | Norwich | $286.6 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Vermont
- Advisers with $100 million to $500 million in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Prentiss Smith & Company, Inc. on the SEC's adviser search
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.