DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Prentiss Smith & Company, Inc.
Latest filing Jun 18, 2026
First filing on the tape Mar 14, 2012 · 33 filings
SEC status approved since Sep 10, 1982
RAUM
$453M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
91%
$410M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$90.6M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$453M as of Jun 18, 2026
Mar 14, 2012$473M then
HNW client RAUM$152M as of Jun 18, 2026
Mar 29, 2018$109M then
State-registered IARs (5.B.3)5 as of Jun 18, 2026
Mar 14, 20120 then
Employees (5.A)8 as of Jun 18, 2026
Feb 25, 20139 then
Private funds: no history
RAUM +3.7% over the last fiscal year+4.1% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Jun 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $90.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15.2MderivedHNW RAUM over HNW clients
- Average account
- $728,377derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$258M57%
- High-net-worth individuals$152M34%
- Corporations and businesses$34.9M7.7%
- Charitable organizations$7.6M1.7%
- Individual clients
- 290reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 622reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Prentiss Charles Smith | Brattleboro, Vt | Nov 14, 1994 | 44 y | 0 |
| Penelope Jayne Kaufman | Brattleboro, Vt | Apr 19, 2007 | 27 y | 0 |
| Prentiss Richardson Smith | Philadelphia, Pa | Oct 15, 2012 | 24 y | 0 |
| Frederick A BrubakerChartered Financial Analyst | Brattleboro, Vt | Sep 27, 2021 | 19 y | 0 |
| Gertrude W. Saville | Brattleboro, Vt | Oct 6, 2025 | 38 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Laurie Barrett to Seascape Capital Management,LLCMar 21, 2019 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Packard Karlie Borst · Secretary, Vice President And Chief Compliance Officercontrolsince 07/1993 · owns less than 5%
- Mcmahon Martha Richardson · Directorcontrolsince 08/2005 · owns less than 5%
- Charles Prentiss Smith · Director/Treasurer/Ownercontrolsince 09/1982 · owns 10% to 25%
- Richardson Prentiss Smith · President/Director/Ownercontrolsince 08/2005 · owns 10% to 25%
- Aldis Richard Epstein · Trusteesince 12/2006 · owns 10% to 25%
- Richardson Elizabeth Smith · Ownersince 01/2006 · owns 10% to 25%
- P Whitney Smith · Ownersince 02/2006 · owns 10% to 25%
Entity owners
- Aidan M. Smith · Ownerdirect · owns 10% to 25%
- Jazmin E. Smith Trust · Ownerdirect · owns 10% to 25%
- Noah R. Smith · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brattleboro, Vt · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Philadelphia, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 638 to 622May 9, 2025 to Mar 27, 2026
- Individual clients · 301 to 290May 9, 2025 to Mar 27, 2026
- Financial planning clients · to 0May 9, 2025 to Mar 27, 2026
- State-registered IARs · 6 to 5May 9, 2025 to Mar 27, 2026
- Discretionary RAUM · $431M to $447MMay 9, 2025 to Mar 27, 2026
- HNW RAUM · $144M to $152MMay 9, 2025 to Mar 27, 2026
- Individual RAUM · $252M to $258MMay 9, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $6.0M to $5.9MMay 9, 2025 to Mar 27, 2026
- RAUM · $437M to $453MMay 9, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 21, 2025 to May 9, 2025
- Accounts · 655 to 638Mar 21, 2024 to Mar 21, 2025
- Advisory employees · 7 to 5Mar 21, 2024 to Mar 21, 2025
- Advisory activities · 4 to 3Mar 21, 2024 to Mar 21, 2025
- Charity clients · 16 to 10Mar 21, 2024 to Mar 21, 2025
- Corporate clients · 15 to 9Mar 21, 2024 to Mar 21, 2025
- HNW clients · 23 to 10Mar 21, 2024 to Mar 21, 2025
- Individual clients · 601 to 301Mar 21, 2024 to Mar 21, 2025
- Employees · 9 to 8Mar 21, 2024 to Mar 21, 2025
- Discretionary RAUM · $432M to $431MMar 21, 2024 to Mar 21, 2025
- HNW RAUM · $141M to $144MMar 21, 2024 to Mar 21, 2025
- Individual RAUM · $258M to $252MMar 21, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $6.6M to $6.0MMar 21, 2024 to Mar 21, 2025
- RAUM · $439M to $437MMar 21, 2024 to Mar 21, 2025
- Accounts · 631 to 655Mar 27, 2023 to Mar 21, 2024
- Charity clients · 9 to 16Mar 27, 2023 to Mar 21, 2024
- Corporate clients · 7 to 15Mar 27, 2023 to Mar 21, 2024
- HNW clients · 10 to 23Mar 27, 2023 to Mar 21, 2024
- Individual clients · 317 to 601Mar 27, 2023 to Mar 21, 2024
- State-registered IARs · 5 to 6Mar 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $396M to $432MMar 27, 2023 to Mar 21, 2024
- HNW RAUM · $123M to $141MMar 27, 2023 to Mar 21, 2024
- Individual RAUM · $240M to $258MMar 27, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $5.6M to $6.6MMar 27, 2023 to Mar 21, 2024
- RAUM · $402M to $439MMar 27, 2023 to Mar 21, 2024
- Accounts · 434 to 631Nov 16, 2022 to Mar 27, 2023
- Charity clients · 11 to 9Nov 16, 2022 to Mar 27, 2023
- Corporate clients · 2 to 7Nov 16, 2022 to Mar 27, 2023
- HNW clients · 92 to 10Nov 16, 2022 to Mar 27, 2023
- Individual clients · 329 to 317Nov 16, 2022 to Mar 27, 2023
- Discretionary RAUM · $470M to $396MNov 16, 2022 to Mar 27, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@prentiss-smith.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-223-7351reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-223-7851reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- PRENTISS-SMITH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 802-254-2913reportedpublic record, Form ADV, Jun 18, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $90.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026