PRENTISS SMITH & COMPANY, INC.

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Adviser Profile
As of Date 03/21/2024
Adviser Type - Large advisory firm
Number of Employees 9
of those in investment advisory functions 7
Registration SEC, Approved, 9/10/1982
AUM* 439,065,707 9.22%
of that, discretionary 432,464,190 9.10%
Private Fund GAV* 0
Avg Account Size 670,329 5.22%
% High Net Worth 3.51% 20.44%
SMA’s Yes
Private Funds 0
Contact Info 802 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Publication of periodicals or newsletters

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Recent News

Reported AUM

Discretionary
Non-discretionary
470M 403M 336M 269M 202M 134M 67M
2015 2016 2017 2018 2019 2020 2021 2022 2023

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
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Stck Ticker02079K107 Stock NameALPHABET INC $ Position$8,242,300 % Position5.00% $ Change-9.00% # Change0.00%
Stck Ticker17275R102 Stock NameCISCO SYS INC $ Position$7,702,105 % Position5.00% $ Change13.00% # Change1.00%
Stck Ticker478160104 Stock NameJOHNSON & JOHNSON $ Position$7,752,950 % Position5.00% $ Change11.00% # Change0.00%
Stck Ticker66987V109 Stock NameNOVARTIS AG $ Position$5,562,022 % Position4.00% $ Change7.00% # Change-1.00%
Stck Ticker383082104 Stock NameGORMAN RUPP CO $ Position$6,649,349 % Position4.00% $ Change6.00% # Change0.00%
Stck Ticker427866108 Stock NameHERSHEY CO $ Position$5,498,141 % Position4.00% $ Change4.00% # Change0.00%
Stck Ticker002824100 Stock NameABBOTT LABS $ Position$6,576,325 % Position4.00% $ Change58.00% # Change44.00%
Stck Ticker075887109 Stock NameBECTON DICKINSON & CO $ Position$5,473,211 % Position4.00% $ Change4.00% # Change1.00%
Stck Ticker04956D107 Stock NameATMUS FILTRATION TECHNOLOGIE $ Position$4,043,858 % Position3.00% $ Change # Change

Brochure Summary

Overview

Prentiss Smith and Company, Inc. was founded in 1982 by Prentiss C. Smith, and incorporated in 1984 in Brattleboro, Vermont. The firm is 98% owned by Prentiss C. Smith and his immediate family, with 2% ownership by other individuals. The objective of our company is to provide individuals and institutions with socially responsible investment management services. As socially responsible investment managers, we take into consideration the societal impact of corporate operations as well as the profit generated for shareholders by corporations. Although Prentiss Smith and Company has discretion over the buying and selling of clients’ assets, in certain instances clients may place restrictions on specific securities in their account
as well as prohibiting the purchase of securities within a certain industry or asset class. These limitations may have an effect on the performance of the account. Prentiss Smith and Company currently does not provide portfolio management services to any accounts enrolled in a wrap fee program with their broker. We have done so in the past, and those accounts were not managed any differently than other accounts. Our management fee was calculated by us in the same manner as other accounts, and the wrap accounts were billed accordingly – we did not receive any portion of the wrap fee for our services. As of 12/31/2023 we managed $432.46 million on a discretionary basis and $6.60 million on a non‐discretionary basis.