CRD: 110928
Prentiss Smith & Company, Inc.
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- Custodian
- Charles Schwab & Company ยท Morgan Stanley
- Clients
- Retail and Institutional
- Platforms
- Available
- 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.
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CRM
Custodian
Investment Themes
Investment Vehicles
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Owner & Executives
AIDAN M. SMITH
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
Total SMA Asset: Available
| Asset class | Assets | Assets % |
|---|---|---|
| Equity - Exchange | Available | Available |
| Cash | Available | Available |
| U.S. Government/Agency | Available | Available |
| Municipal Bonds | Available | Available |
| Corporate - Investment Grade | Available | Available |
| Public Funds | Available | Available |
| Equity - OTC | Available | Available |
| Total | Available | Available |
13F Holdings | Q1 2026
| Issuer | Class | CUSIP | Ticker | % | Value |
|---|---|---|---|---|---|
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
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