Hedge Fund Database

PRENTISS SMITH & COMPANY, INC.

Adviser information for PRENTISS SMITH & COMPANY, INC. last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Vermont, United States

Employees

Total Number of Employees 9
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 6
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 642 $432.5M
Non-Discretionary 13 $6.6M
Total 655 $439.1M

Clients

Type Number RAUM
Individuals 601 $258.4M
HNW Individuals 23 $141.2M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 16 $7.1M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 15 $32.3M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 2

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersFINANCIAL ANALYSIS CONSULTING
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-17579
SEC ERA File Number 801-17579
SEC CIK Numbers 1134687
SEC CRD Numbers 110928
Legal Entity Identifier None

Principal Office

950 WESTERN AVENUE
BRATTLEBORO
VT
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 802-254-2913, Fax: 802-257-7638

Websites

www.socialinvesting.com www.prentiss-smith.com

Chief Compliance Officer

KARLIE BORST
VICE PRESIDENT, SECRETARY
950 WESTERN AVENUE
BRATTLEBORO
VT
United States
Tel: 802-254-2913
Fax: 802-257-7638
(Full email address available in API data)

Regulatory Contact

PRENTISS C. SMITH
CHAIRMAN
950 WESTERN AVENUE
BRATTLEBORO
VT
United States
Tel: (802)254-2913
Fax: (802)257-7638
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
SMITH, PRENTISS, CHARLES Individual – DIRECTOR/TREASURER/OWNER 09/1982 10-25%
BORST, KARLIE, PACKARD Individual – SECRETARY, VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER 07/1993 < 5%
RICHARDSON, MARTHA, MCMAHON Individual – DIRECTOR 08/2005 < 5%
SMITH, PRENTISS, RICHARDSON Individual – PRESIDENT/DIRECTOR/OWNER 08/2005 10-25%
SMITH, ELIZABETH, RICHARDSON Individual – OWNER 01/2006 10-25%
NOAH R. SMITH Domestic Entity – OWNER 12/2006 10-25%
AIDAN M. SMITH Domestic Entity – OWNER 12/2006 10-25%
JAZMIN E. SMITH TRUST Domestic Entity – OWNER 12/2006 10-25%
Smith, Whitney, P Individual – OWNER 02/2006 10-25%
EPSTEIN, RICHARD, ALDIS Individual – TRUSTEE 12/2006 10-25%

No. Employees, Historic

105020192020202120222023202420258 on 11/6/20199 on 3/23/20209 on 5/11/20209 on 11/3/20208 on 3/25/20218 on 4/13/20218 on 11/4/20219 on 3/18/20229 on 3/21/20229 on 11/16/20229 on 3/27/20239 on 3/21/2024

RAUM, Historic

500M250M02019202020212022202320242025395858409 on 11/6/2019420536161 on 3/23/2020420536161 on 5/11/2020420536161 on 11/3/2020449696201 on 3/25/2021449696201 on 4/13/2021449696201 on 11/4/2021473019293 on 3/18/2022473019293 on 3/21/2022473019293 on 11/16/2022402004304 on 3/27/2023439065707 on 3/21/2024

No. Clients, Historic

70035002019202020212022202320242025571 on 11/6/2019572 on 3/23/2020572 on 5/11/2020572 on 11/3/2020568 on 3/25/2021568 on 4/13/2021568 on 11/4/2021434 on 3/18/2022434 on 3/21/2022434 on 11/16/2022343 on 3/27/2023655 on 3/21/2024

Holdings

From latest 13F, filed July 17th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 4M 40K –
AIR PRODS & CHEMS INC COM 6M 23K –
ALBERTSONS COS INC COMMON STOCK 717K 36K –
AMAZON COM INC COM 964K 5K –
APPLE INC COM 2M 7K –
AUTOMATIC DATA PROCESSING IN COM 818K 3K –
BECTON DICKINSON & CO COM 5M 22K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 3M 7K –
BRADY CORP CL A 2M 36K –
COCA COLA CO COM 424K 7K –
DISNEY WALT CO COM 365K 4K –
FISERV INC COM 888K 6K –
FIVE9 INC COM 2M 36K –
GE AEROSPACE COM NEW 533K 3K –
GENERAL MLS INC COM 350K 6K –
GENUINE PARTS CO COM 692K 5K –
GORMAN RUPP CO COM 6M 171K –
HERSHEY CO COM 5M 29K –
HOLOGIC INC COM 4M 49K –
INTEL CORP COM 370K 12K –
INTERNATIONAL BUSINESS MACHS COM 339K 2K –
ISHARES GOLD TR ISHARES NEW 238K 5K –
ISHARES TR TIPS BD ETF 388K 4K –
ISHARES TR CORE S&P500 ETF 1M 3K –
ISHARES TR MSCI KLD400 SOC 225K 2K –
ISHARES TR MSCI USA ESG SLC 886K 8K –
JOHNSON & JOHNSON COM 7M 48K –
LINDSAY CORP COM 906K 7K –
MSC INDL DIRECT INC CL A 3M 33K –
MICROSOFT CORP COM 4M 8K –
NEW YORK TIMES CO CL A 5M 95K –
PEPSICO INC COM 779K 5K –
REVVITY INC COM 211K 2K –
PFIZER INC COM 443K 16K –
PROCTER AND GAMBLE CO COM 5M 31K –
PROGRESSIVE CORP COM 712K 3K –
SCHWAB CHARLES CORP COM 4M 57K –
T-MOBILE US INC COM 1M 8K –
TENNANT CO COM 4M 38K –
TRI CONTL CORP COM 238K 8K –
UNILEVER PLC SPON ADR NEW 3M 57K –
UNION PAC CORP COM 379K 2K –
WELLS FARGO CO NEW COM 271K 5K –
AT&T INC COM 302K 16K –
ABBVIE INC COM 772K 5K –
ADVANCED DRAIN SYS INC DEL COM 1M 7K –
AGILENT TECHNOLOGIES INC COM 2M 17K –
ALLBIRDS INC COM CL A 13K 25K –
ALPHABET INC CAP STK CL C 9M 49K –
BIO-TECHNE CORP COM 1M 21K –
BOOKING HOLDINGS INC COM 396K 100 –
CISCO SYS INC COM 7M 144K –
EMCOR GROUP INC COM 2M 7K –
EXXON MOBIL CORP COM 1M 11K –
META PLATFORMS INC CL A 913K 2K –
JPMORGAN CHASE & CO. COM 257K 1K –
MASTERCARD INCORPORATED CL A 708K 2K –
MERCK & CO INC COM 438K 4K –
NOVARTIS AG SPONSORED ADR 5M 49K –
REGENERON PHARMACEUTICALS COM 2M 2K –
SALESFORCE INC COM 4M 17K –
VERIZON COMMUNICATIONS INC COM 289K 7K –
VISA INC COM CL A 1M 4K –
XYLEM INC COM 2M 14K –
ALCON AG ORD SHS 6M 72K –
ON HLDG AG NAMEN AKT A 5M 140K –
CAMTEK LTD ORD 315K 3K –