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.

Former SEC-registered adviser

Prentice Investment Management, LLC

Former SEC-registered adviserGarrison, New YorkCRD 293723SEC 801-112942IAPD
Latest filing Oct 17, 2018
First filing on the tape Mar 24, 2018 · 6 filings
RAUM
$24.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$24.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$24.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$24.4M as of Oct 17, 2018
Mar 24, 2018$25.6M then
HNW client RAUM$16.6M as of Oct 17, 2018
Mar 24, 2018$16.6M then
State-registered IARs (5.B.3)0 as of Oct 17, 2018
Mar 24, 20180 then
Employees (5.A)1 as of Oct 17, 2018
Mar 24, 20180 then
Private funds: no history
Practice profile
derived from the filing of Oct 17, 2018; every figure names its basis
RAUM per advisor
$24.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$739,394derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$16.6M68%
  • Individuals$7.7M32%
  • Charitable organizations$100,0000.4%
Individual clients
28reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
33reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Nathaniel Sartell PrenticeChartered Financial AnalystGarrison, Ny Mar 18, 202231 y3
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
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Sartell Nathaniel Prentice · Ceo, Ccocontrol
      since 02/2018 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 1 to 3
      Sep 4, 2018 to Oct 17, 2018
    • Advisory employees · 0 to 1
      Aug 2, 2018 to Sep 4, 2018
    • Employees · 0 to 1
      Aug 2, 2018 to Sep 4, 2018
    • Discretionary RAUM · $25.6M to $24.4M
      Mar 26, 2018 to Aug 2, 2018
    • Individual RAUM · $8.9M to $7.7M
      Mar 26, 2018 to Aug 2, 2018
    • RAUM · $25.6M to $24.4M
      Mar 26, 2018 to Aug 2, 2018
    Signals
    1 dated events
    • Prentice Investment Management, Llc filed its initial SEC registration (Form ADV)
      Mar 24, 2018 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $24.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026