# Financial advisors in Vermont

> AdvisorCensus lists 73 investment advisory firms with a principal office in Vermont, drawn from Form ADV filings as of October 2026. Metro areas in the state are listed first; firms are listed alphabetically, and you can sort by years registered or assets band using the controls below. Firms may request removal from the directory, so this count can differ from the number of firms that file Form ADV.

Source: Form ADV filings as of October 2026. Rebuilt monthly. HTML page: https://advisorcensus.com/advisors/vt/page/2

## At a glance

- Investment advisory firms: 73
- Registration: SEC-registered investment adviser: 33, State-registered investment adviser: 30, Exempt reporting adviser: 10
- How firms are compensated (Form ADV Item 5.E; shares of the firms that file it): Fee-only (AdvisorCensus test) 33 (52%); Percentage of assets 59 (94%); Hourly charges 35 (56%); Fixed fees 33 (52%); Commissions 2 (3%); Performance-based fees 8 (13%); Other 11 (17%); No compensation arrangements reported 10
- Regulatory assets under management (Item 5.F): Under $25 million 20 (27%); $25 million to $100 million 7 (10%); $100 million to $500 million 20 (27%); $500 million to $1 billion 5 (7%); $1 billion to $5 billion 6 (8%); Over $5 billion 2 (3%); Not reported 13 (18%)
- Years registered: Under 5 years 32 (44%); 5 to 9 years 10 (14%); 10 to 19 years 12 (16%); 20 years or more 18 (25%); Not reported 1 (1%)

## Firms (page 2 of 2, 51 to 73 of 73, sorted by name)

| Firm | CRD | City | Registration | Assets band | Years registered | Compensation |
| --- | --- | --- | --- | --- | --- | --- |
| [Otto & Associates, Inc.](https://advisorcensus.com/firm/otto-and-associates-inc-norwich-vt-109493) ([md](https://advisorcensus.com/firm/otto-and-associates-inc-norwich-vt-109493.md)) | 109493 | Norwich, VT | SEC-registered investment adviser | $100 million to $500 million | 25 | % of assets, Hourly |
| [OX Lux Advisory LLC](https://advisorcensus.com/firm/ox-lux-advisory-llc-338878) ([md](https://advisorcensus.com/firm/ox-lux-advisory-llc-338878.md)) | 338878 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 0 | % of assets |
| [Pathway Financial Advisors, LLC](https://advisorcensus.com/firm/pathway-financial-advisors-llc-south-burlington-vt-124801) ([md](https://advisorcensus.com/firm/pathway-financial-advisors-llc-south-burlington-vt-124801.md)) | 124801 | South Burlington, VT | SEC-registered investment adviser | $1 billion to $5 billion | 21 | % of assets, Hourly, Fixed fee |
| [Pochop Financial Management, Inc.](https://advisorcensus.com/firm/pochop-financial-management-inc-south-burlington-vt-141397) ([md](https://advisorcensus.com/firm/pochop-financial-management-inc-south-burlington-vt-141397.md)) | 141397 | South Burlington, VT | State-registered investment adviser | $25 million to $100 million | 20 | % of assets, Hourly |
| [Poulos Advisors, Inc.](https://advisorcensus.com/firm/poulos-advisors-inc-south-burlington-vt-141905) ([md](https://advisorcensus.com/firm/poulos-advisors-inc-south-burlington-vt-141905.md)) | 141905 | South Burlington, VT | SEC-registered investment adviser | $100 million to $500 million | 1 | % of assets, Hourly, Fixed fee |
| [Prentiss Smith & Company, Inc.](https://advisorcensus.com/firm/prentiss-smith-and-company-inc-brattleboro-vt-110928) ([md](https://advisorcensus.com/firm/prentiss-smith-and-company-inc-brattleboro-vt-110928.md)) | 110928 | Brattleboro, VT | SEC-registered investment adviser | $100 million to $500 million | 44 | % of assets |
| [Quantum Leap Capital, LLC](https://advisorcensus.com/firm/quantum-leap-capital-llc-south-burlington-vt-165310) ([md](https://advisorcensus.com/firm/quantum-leap-capital-llc-south-burlington-vt-165310.md)) | 165310 | South Burlington, VT | SEC-registered investment adviser | $100 million to $500 million | 2 | % of assets, Hourly, Fixed fee |
| [Rock Point Advisors, LLC](https://advisorcensus.com/firm/rock-point-advisors-llc-burlington-vt-130825) ([md](https://advisorcensus.com/firm/rock-point-advisors-llc-burlington-vt-130825.md)) | 130825 | Burlington, VT | SEC-registered investment adviser | $500 million to $1 billion | 22 | % of assets |
| [Roots & Sparrow](https://advisorcensus.com/firm/roots-and-sparrow-343384) ([md](https://advisorcensus.com/firm/roots-and-sparrow-343384.md)) | 343384 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 0 | % of assets, Fixed fee |
| [Shipwright Advisors](https://advisorcensus.com/firm/shipwright-advisors-burlington-vt-329816) ([md](https://advisorcensus.com/firm/shipwright-advisors-burlington-vt-329816.md)) | 329816 | Burlington, VT | State-registered investment adviser | Under $25 million | 2 | % of assets, Fixed fee |
| [Silverlake Wealth Management LLC](https://advisorcensus.com/firm/silverlake-wealth-management-llc-williston-vt-165525) ([md](https://advisorcensus.com/firm/silverlake-wealth-management-llc-williston-vt-165525.md)) | 165525 | Williston, VT | SEC-registered investment adviser | $500 million to $1 billion | 11 | % of assets, Hourly, Fixed fee |
| [Soaring Wealth LLC](https://advisorcensus.com/firm/soaring-wealth-llc-299867) ([md](https://advisorcensus.com/firm/soaring-wealth-llc-299867.md)) | 299867 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 7 | % of assets, Hourly, Fixed fee |
| [Stage 2 Planning Partners LLC](https://advisorcensus.com/firm/stage-2-planning-partners-llc-s-burlington-vt-323281) ([md](https://advisorcensus.com/firm/stage-2-planning-partners-llc-s-burlington-vt-323281.md)) | 323281 | S Burlington, VT | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets, Hourly |
| [Tack Wealth](https://advisorcensus.com/firm/tack-wealth-338489) ([md](https://advisorcensus.com/firm/tack-wealth-338489.md)) | 338489 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 0 | % of assets, Hourly, Fixed fee |
| [Teucrium Investment Advisors, LLC](https://advisorcensus.com/firm/teucrium-investment-advisors-llc-burlington-vt-318799) ([md](https://advisorcensus.com/firm/teucrium-investment-advisors-llc-burlington-vt-318799.md)) | 318799 | Burlington, VT | SEC-registered investment adviser | $100 million to $500 million | 4 | % of assets |
| [The Alchemist Fund](https://advisorcensus.com/firm/the-alchemist-fund-172299) ([md](https://advisorcensus.com/firm/the-alchemist-fund-172299.md)) | 172299 | Not reported, Not reported | State-registered investment adviser | $25 million to $100 million | 12 | % of assets, Performance fee |
| [Tres Palmas Ventures](https://advisorcensus.com/firm/tres-palmas-ventures-burlington-vt-323597) ([md](https://advisorcensus.com/firm/tres-palmas-ventures-burlington-vt-323597.md)) | 323597 | Burlington, VT | Exempt reporting adviser | Not reported | 1 | Not reported |
| [True North Financial Planning, LLC](https://advisorcensus.com/firm/true-north-financial-planning-llc-south-burlington-vt-170555) ([md](https://advisorcensus.com/firm/true-north-financial-planning-llc-south-burlington-vt-170555.md)) | 170555 | South Burlington, VT | State-registered investment adviser | Under $25 million | 12 | Hourly, Fixed fee |
| [Veteran Wealth Planning](https://advisorcensus.com/firm/veteran-wealth-planning-329756) ([md](https://advisorcensus.com/firm/veteran-wealth-planning-329756.md)) | 329756 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 2 | % of assets, Hourly, Fixed fee |
| [Wealth Management Partners, LLC](https://advisorcensus.com/firm/wealth-management-partners-llc-manchester-center-vt-142223) ([md](https://advisorcensus.com/firm/wealth-management-partners-llc-manchester-center-vt-142223.md)) | 142223 | Manchester Center, VT | State-registered investment adviser | Not reported | 19 | Other |
| [Westview Investment Advisors](https://advisorcensus.com/firm/westview-investment-advisors-burlington-vt-305655) ([md](https://advisorcensus.com/firm/westview-investment-advisors-burlington-vt-305655.md)) | 305655 | Burlington, VT | SEC-registered investment adviser | $100 million to $500 million | 6 | % of assets, Hourly, Fixed fee, Other |
| [Williams Financial, LLC](https://advisorcensus.com/firm/williams-financial-llc-north-bennington-vt-137038) ([md](https://advisorcensus.com/firm/williams-financial-llc-north-bennington-vt-137038.md)) | 137038 | North Bennington, VT | SEC-registered investment adviser | $100 million to $500 million | 6 | % of assets, Hourly, Fixed fee |
| [XLCR Capital LLC](https://advisorcensus.com/firm/xlcr-capital-llc-burlington-vt-162874) ([md](https://advisorcensus.com/firm/xlcr-capital-llc-burlington-vt-162874.md)) | 162874 | Burlington, VT | Exempt reporting adviser | Not reported | Not reported | Not reported |

- Previous page: https://advisorcensus.com/advisors/vt.md

## Questions people ask

**How many financial advisory firms are there in Vermont?**
AdvisorCensus lists 73 investment advisory firms with a principal office in Vermont, from Form ADV filings as of October 2026: 33 SEC-registered, 30 state-registered, and 10 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV.

**How many fee-only financial advisors are in Vermont?**
33 of the 73 firms meet AdvisorCensus's fee-only test: paid only by a percentage of assets, hourly charges, fixed fees, or subscription fees on Form ADV Item 5.E (no commissions, performance-based fees, or other compensation), with no sales-related compensation ties in the same filing: no employee registered with a broker-dealer or licensed as an insurance agent (Item 5.B), no brokerage, insurance, real estate, or other product sales business (Item 6.A), no related broker-dealer, insurance company, real estate broker, or futures commission merchant (Item 7.A), and no referral fees from others or other sales interest (Item 8). Form ADV has no fee-only box, so this is derived from the filing; it is not a fee-only certification, and a firm's own page lists its compensation arrangements as filed.

**How many financial advisors in Vermont offer financial planning?**
43 of the 63 firms in Vermont that answer Form ADV Item 5.G, which asks what advisory services a firm provides, report financial planning services, as of October 2026. Exempt reporting advisers do not answer Item 5.G. Each firm page lists every advisory service the firm reports.

**Are the financial advisors in Vermont fiduciaries?**
Every firm on this page is an investment adviser that files Form ADV, and an investment adviser owes its clients a fiduciary duty under federal law, made up of a duty of care and a duty of loyalty: it must act in the client's best interest and not put its own interests ahead of the client's, and must eliminate its conflicts of interest or disclose them fully and fairly. Form ADV has no fiduciary box because the duty comes with being an investment adviser. The duty covers the firm's advice; a firm or its people may also sell securities through a broker-dealer or insurance as licensed agents, roles held to other standards. The 33 firms that meet AdvisorCensus's fee-only test report none of those sales ties.

**How do I check whether a financial advisor has disciplinary disclosures?**
Each firm page shows how many Form ADV Item 11 disciplinary questions the firm answered yes and links to the firm's record on the SEC's Investment Adviser Public Disclosure site (adviserinfo.sec.gov), where the detail of each disclosure is public. Individual advisers' records are on the same site and on FINRA BrokerCheck.

**Does AdvisorCensus rate, verify, or recommend these firms?**
No. The directory shows what each firm filed, in alphabetical order unless you choose another sort, and no firm's position depends on payment. Firms that claim their page can add a description and links, marked as provided by the firm; the filed facts are never changed by that content.

**What does regulatory assets under management mean?**
Regulatory assets under management (RAUM) is the figure a firm reports on Form ADV Item 5.F: the securities portfolios it provides continuous and regular supervisory or management services for, at market value, including assets managed without discretion. It measures scale, not performance or quality.

## Related pages

- [Financial advisors in Vermont](https://advisorcensus.com/advisors/vt) (https://advisorcensus.com/advisors/vt.md)
- [Fee-only financial advisors in Vermont](https://advisorcensus.com/advisors/vt/fee-only) (https://advisorcensus.com/advisors/vt/fee-only.md)
- [Flat-fee financial advisors in Vermont](https://advisorcensus.com/advisors/vt/flat-fee) (https://advisorcensus.com/advisors/vt/flat-fee.md)
- [Hourly financial advisors in Vermont](https://advisorcensus.com/advisors/vt/hourly) (https://advisorcensus.com/advisors/vt/hourly.md)

Every firm in this list as CSV: https://advisorcensus.com/advisors/vt.csv

Cite as: AdvisorCensus. Financial advisors in Vermont: 73 firms from Form ADV filings as of October 2026.