# 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.

- CRD: 110928
- Filed as: PRENTISS SMITH & COMPANY, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Brattleboro, VT
- Filing period: October 2026
- Form ADV filing dated: June 18, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/110928
- AdvisorCensus page: https://advisorcensus.com/firm/prentiss-smith-and-company-inc-brattleboro-vt-110928

## Quick answers

**How 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

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated June 18, 2026)

- 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

> 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 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 brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Chevy Chase Trust

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.

### Regulatory assets under management (Item 5.F)
- Total: $453,050,280
- Discretionary: $447,130,478
- Non-discretionary: $5,919,802

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 290 | $258,122,883 |
| High net worth individuals | 10 | $152,354,349 |
| Banking or thrift institutions | Not reported | $0 |
| Investment companies | Not reported | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | Not reported | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Not reported | $0 |
| Charitable organizations | 10 | $7,643,958 |
| State or municipal government entities (including government pension plans) | Not reported | $0 |
| Other investment advisers | Not reported | $0 |
| Insurance companies | Not reported | $0 |
| Sovereign wealth funds and foreign official institutions | Not reported | $0 |
| Corporations or other businesses not listed above | 9 | $34,929,090 |
| Other | Not reported | $0 |

### 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

### Firm details
- Registered since: 1982 (44 years)
- Employees: 8 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, CT, DC, FL, IL, MA, ME, NH, NY, OH, PA, SC, TX, VT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [prentiss-smith.com](https://prentiss-smith.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $449,696,201 | 8 | April 13, 2021 |
| October 2022 | $473,019,293 | 9 | March 21, 2022 |
| October 2023 | $402,004,304 | 9 | March 27, 2023 |
| October 2024 | $439,065,707 | 9 | March 21, 2024 |
| October 2025 | $436,952,572 | 8 | May 9, 2025 |
| October 2026 | $453,050,280 | 8 | June 18, 2026 |

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.

## Changes in the filing (last 12 months)

### January 2026
- No longer registered or notice-filed in OR.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Prentiss Smith & Company, Inc. (CRD 110928): Form ADV filing data as of October 2026.