Prentiss Smith & Company, Inc.
Registered investment adviser · Brattleboro, VT · CRD #110928
Form ADV data as of 2026-09-01Regulatory assets
$453.1 million
Total accounts
622
Employees
8
Disclosure events
0
Firm details
- Website: https://www.prentiss-smith.com
- Telephone: 802-254-2913
- SEC file number: 801-17579
- Most recent Form ADV filing: 2026-06-18
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $447.1 million |
| Non-discretionary regulatory assets under management | $5.9 million |
| Total regulatory assets under management | $453.1 million |
| Discretionary accounts | 610 |
| Non-discretionary accounts | 12 |
| Total accounts | 622 |
| Regulatory assets under management attributable to non-U.S. persons | $4.1 million |
People
| Total employees (excluding clerical) | 8 |
| Employees performing investment advisory functions (including research) | 5 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 5 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 290 | $258.1 million |
| High net worth individuals | 10 | $152.4 million |
| Charitable organizations | 10 | $7.6 million |
| Corporations or other businesses not listed above | 9 | $34.9 million |