{
  "crd_number": 110928,
  "slug": "prentiss-smith-and-company-inc-brattleboro-vt-110928",
  "primary_business_name": "PRENTISS SMITH & COMPANY, INC.",
  "legal_name": "PRENTISS SMITH & COMPANY, INC.",
  "dbas": [],
  "city": "Brattleboro",
  "state": "VT",
  "country": "United States",
  "cbsa_code": "14710",
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1982-09-10",
  "years_registered": 44,
  "period": "2026-10-01",
  "filing_date": "2026-06-18",
  "carried_forward": false,
  "raum_total": 453050280.0,
  "raum_discretionary": 447130478.0,
  "raum_non_discretionary": 5919802.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 8,
  "advisory_employees": 5,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": null
    },
    "charitable": {
      "raum": 7643958.0,
      "count": 10
    },
    "individuals": {
      "raum": 258122883.0,
      "count": 290
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": null
    },
    "state_municipal": {
      "raum": 0.0,
      "count": null
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": null
    },
    "investment_companies": {
      "raum": 0.0,
      "count": null
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": null
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": null
    },
    "high_net_worth_individuals": {
      "raum": 152354349.0,
      "count": 10
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": null
    },
    "corporations_other_businesses": {
      "raum": 34929090.0,
      "count": 9
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": null
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": null
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "periodicals_newsletters",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "CT",
    "DC",
    "FL",
    "IL",
    "MA",
    "ME",
    "NH",
    "NY",
    "OH",
    "PA",
    "SC",
    "TX",
    "VT"
  ],
  "websites": [
    "https://prentiss-smith.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110928",
  "city_as_filed": "BRATTLEBORO",
  "url": "https://advisorcensus.com/firm/prentiss-smith-and-company-inc-brattleboro-vt-110928",
  "display_name": "Prentiss Smith & Company, Inc.",
  "summary": "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.",
  "citation": "AdvisorCensus. Prentiss Smith & Company, Inc. (CRD 110928): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Publication of periodicals or newsletters"
  ],
  "quick_answers": [
    {
      "q": "How is Prentiss Smith & Company, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Prentiss Smith & Company, Inc. reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does Prentiss Smith & Company, Inc. charge?",
      "a": "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."
    },
    {
      "q": "Where is Prentiss Smith & Company, Inc. located?",
      "a": "Prentiss Smith & Company, Inc.'s principal office is in Brattleboro, VT, according to its Form ADV."
    },
    {
      "q": "Is Prentiss Smith & Company, Inc. registered with the SEC or a state?",
      "a": "Prentiss Smith & Company, Inc. is an SEC-registered investment advisory firm, registered since 1982. Status as filed: Approved. CRD 110928."
    },
    {
      "q": "How much does Prentiss Smith & Company, Inc. manage?",
      "a": "Prentiss Smith & Company, Inc. reports $453,050,280 in regulatory assets under management in its Form ADV filing dated June 18, 2026 (99% discretionary)."
    },
    {
      "q": "How have Prentiss Smith & Company, Inc.'s assets and staff changed since 2021?",
      "a": "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."
    },
    {
      "q": "What types of clients does Prentiss Smith & Company, Inc. serve?",
      "a": "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)."
    },
    {
      "q": "Which custodians does Prentiss Smith & Company, Inc. use?",
      "a": "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."
    },
    {
      "q": "Does Prentiss Smith & Company, Inc. report any disciplinary disclosures?",
      "a": "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"
    },
    {
      "q": "Does Prentiss Smith & Company, Inc. state an account minimum?",
      "a": "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.\""
    },
    {
      "q": "What changed in Prentiss Smith & Company, Inc.'s recent Form ADV filings?",
      "a": "In the January 2026 filing data: No longer registered or notice-filed in OR."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 449696201.0,
      "total_employees": 8,
      "filing_date": "2021-04-13"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 473019293.0,
      "total_employees": 9,
      "filing_date": "2022-03-21"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 402004304.0,
      "total_employees": 9,
      "filing_date": "2023-03-27"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 439065707.0,
      "total_employees": 9,
      "filing_date": "2024-03-21"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 436952572.0,
      "total_employees": 8,
      "filing_date": "2025-05-09"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 453050280.0,
      "total_employees": 8,
      "filing_date": "2026-06-18"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in OR."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated June 18, 2026",
    "provided_by_the_firm": false,
    "tiers": [
      {
        "band": "Up to $5,000,000",
        "rate": "0.75%"
      },
      {
        "band": "$5,000,000 to $10,000,000",
        "rate": "0.65%"
      },
      {
        "band": "Above $10,000,000",
        "rate": "0.55%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$250,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "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"
        ],
        "quotes": [
          "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."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $250,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "The minimum beginning account value is $250,000.00. This minimum may be waived on new accounts referred by current clients."
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": 0.0,
          "max": 5000000.0,
          "rate_pct": 0.75
        },
        {
          "min": 5000000.0,
          "max": 10000000.0,
          "rate_pct": 0.65
        },
        {
          "min": 10000000.0,
          "max": null,
          "rate_pct": 0.55
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 250000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "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.",
      "The minimum beginning account value is $250,000.00. This minimum may be waived on new accounts referred by current clients."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Chevy Chase Trust",
      "name_as_filed": "CHEVY CHASE TRUST",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/prentiss-smith-and-company-inc-brattleboro-vt-110928.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 290,
      "fewer_than_5": false,
      "raum": 258122883.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 10,
      "fewer_than_5": false,
      "raum": 152354349.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 10,
      "fewer_than_5": false,
      "raum": 7643958.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 9,
      "fewer_than_5": false,
      "raum": 34929090.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110928",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}