AdvisorCensus / Financial advisors / Vermont / Prentiss Smith & Company, Inc.
Prentiss Smith & Company, Inc. is an SEC-registered investment advisory firm in Brattleboro, VT, registered since 1982, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 18, 2026.
Quick answers
From the filingHow is Prentiss Smith & Company, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Prentiss Smith & Company, Inc. reports these compensation arrangements: a percentage of assets under its management.
How much does Prentiss Smith & Company, Inc. charge?
Its Form ADV Part 2A brochure dated June 18, 2026 states: Up to $5,000,000: 0.75% a year; $5,000,000 to $10,000,000: 0.65% a year; Above $10,000,000: 0.55% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Prentiss Smith & Company, Inc. located?
Prentiss Smith & Company, Inc.'s principal office is in Brattleboro, VT, according to its Form ADV.
Is Prentiss Smith & Company, Inc. registered with the SEC or a state?
Prentiss Smith & Company, Inc. is an SEC-registered investment advisory firm, registered since 1982. Status as filed: Approved. CRD 110928.
How much does Prentiss Smith & Company, Inc. manage?
Prentiss Smith & Company, Inc. reports $453,050,280 in regulatory assets under management in its Form ADV filing dated June 18, 2026 (99% discretionary).
How have Prentiss Smith & Company, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Prentiss Smith & Company, Inc.: Regulatory assets under management: $449,696,201 in the October 2021 data and $453,050,280 in the October 2026 data, up 1%. Total employees: 8 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Prentiss Smith & Company, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (290); high net worth individuals (10); charitable organizations (10).
Which custodians does Prentiss Smith & Company, Inc. use?
Prentiss Smith & Company, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Chevy Chase Trust as custodians holding 10% or more of its separately managed account assets.
Does Prentiss Smith & Company, Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/110928
Does Prentiss Smith & Company, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated June 18, 2026 says: "The minimum beginning account value is $250,000.00. This minimum may be waived on new accounts referred by current clients."
What changed in Prentiss Smith & Company, Inc.'s recent Form ADV filings?
In the January 2026 filing data: No longer registered or notice-filed in OR.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $5,000,000 | 0.75% |
| $5,000,000 to $10,000,000 | 0.65% |
| Above $10,000,000 | 0.55% |
The brochure's wording
The standard account fee schedule is 0.75% per annum on amounts up to $5 million; 0.65% on the next $5 million; and 0.55% on assets over $10 million.
Account minimum: $250,000 (the brochure says it may be waived or negotiated)
The brochure's wording
The minimum beginning account value is $250,000.00. This minimum may be waived on new accounts referred by current clients.
As stated in the firm's Form ADV Part 2A brochure dated June 18, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$453,050,280 as of October 2026, filing dated June 18, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Publication of periodicals or newsletters
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1982 (44 years)
- Employees
- Total: 8. Performing investment advisory functions: 5.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
14 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $453,050,280 | 8 | June 18, 2026 |
| October 2025 | $436,952,572 | 8 | May 9, 2025 |
| October 2024 | $439,065,707 | 9 | March 21, 2024 |
| October 2023 | $402,004,304 | 9 | March 27, 2023 |
| October 2022 | $473,019,293 | 9 | March 21, 2022 |
| October 2021 | $449,696,201 | 8 | April 13, 2021 |
Regulatory assets under management: $449,696,201 in the October 2021 data and $453,050,280 in the October 2026 data, up 1%.
Total employees: 8 in October 2021 and 8 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- January 2026
- No longer registered or notice-filed in OR.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Prentiss Smith & Company, Inc. (CRD 110928): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/prentiss-smith-and-company-inc-brattleboro-vt-110928