CRD: 110928
Prentiss Smith & Company, Inc.
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Request a Free TrialFirm Details
- Custodian
- Charles Schwab & Company ยท Morgan Stanley
- Clients
- Retail and Institutional
- Platforms
- Available in AdvizorPro
- Established Date
- 09-10-1982
- Office Locations
- 3
Office Locations
About Prentiss Smith & Company, Inc.
Prentiss Smith & Company is a Vermont-based investment management firm, family owned and operated since 1982. The firm serves both retail and institutional clients and focuses on portfolio construction and asset allocation, with meaningful use of ETFs and fixed income (including U.S. government and municipal bonds). Key distribution-relevant detail: relationships include custody through Charles Schwab.
Reported data analysis
What the numbers show
Between May 9, 2025 and June 18, 2026, reported AUM increased 3.7%, from $437.0M to $453.1M.
Across 5 reported observations, AUM decreased 4.2% between November 16, 2022 and June 18, 2026, from $473.0M to $453.1M.
Of the latest reported AUM, 98.7% is discretionary and 1.3% is non-discretionary.
The firm reports 5 advisory representatives and 319 clients, or 63.8 clients per representative. That equates to $1.4M in reported AUM per client.
The profile lists 3 reported office locations and 43 years in operation. The source data was last updated on June 18, 2026. Figures reflect reported regulatory data and may not include subsequent changes.
Team overview
Additional firm insights
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Available data coverage
- Asset Classes
- Client Personas
- CRM
- Custodian
- Investment Themes
- Investment Vehicles
- Platform
- Services
- Technology
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The full Prentiss Smith & Company, Inc. record includes the detailed values behind these data categories, along with filters and export-ready prospecting fields.
Owner & Executives
AIDAN M. SMITH
Financial Services Professional, Owner
- CRD
- --
- Ownership
- 10% but less than 25%
ELIZABETH RICHARDSON SMITH
Owner
- CRD
- --
- Ownership
- 10% but less than 25%
Showing 2 of 8 owners & executives
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Frederick A Brubaker Jr.
Investment Advisor
- CRD
- #7429297
PENELOPE JAYNE KAUFMAN
--
- CRD
- #1922598
Showing 2 of 11 contacts
Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $447,130,478 | $733,001 |
| Non-Discretionary | $5,919,802 | $493,317 |
| Total | $453,050,280 | $728,377 |
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Separately Managed Accounts
SMA allocation detail is available
Prentiss Smith & Company, Inc. has reported separately managed account data across 7 asset classes. AdvizorPro provides the associated asset values, allocation percentages, and exportable breakdown.
13F Holdings | Q2 2026
Review the latest reported holdings
Prentiss Smith & Company, Inc.'s 13F holdings detail is available for Q2 2026, including issuer, security class, CUSIP, ticker, portfolio weight, and reported value.