Prentiss Smith & Company, Inc.
- Regulatory AUM
- $453M
- Discretionary
- $447M
- Clients
- 319
- Avg AUM / client
- $1.4M
- Accounts
- 622
- Employees
- 8
AUM over time
Annual snapshots from Form ADV filings · as of Jun 18, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 290 | $258M | 57.0% |
| High net worth individuals | 10 | $152M | 33.6% |
| Charitable organizations | 10 | $7.6M | 1.69% |
| Corporations and other businesses | 9 | $34.9M | 7.71% |
People (10)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Prentiss Charles Smith | Director/Treasurer/Owner | Sep 1982 (44y) | 10% – 25% | |
| Borst, Karlie, Packard | Secretary, Vice President And Chief Compliance Officer | Jul 1993 (33y) | Less than 5% | |
| Prentiss Richardson Smith | President/Director/Owner | Aug 2005 (21y) | 10% – 25% | |
| Richardson, Martha, Mcmahon | Director | Aug 2005 (21y) | Less than 5% | |
| Smith, Elizabeth, Richardson | Owner | Jan 2006 (21y) | 10% – 25% | |
| Smith, Whitney, P | Owner | Feb 2006 (21y) | 10% – 25% | |
| Epstein, Richard, Aldis | Trustee | Dec 2006 (20y) | 10% – 25% | |
| Penelope Jayne Kaufman | Registered representative | Apr 2007 (19y) | ||
| Frederick A Brubaker | Registered representative | CFA | Sep 2021 (5y) | |
| Gertrude W. Saville | Registered representative | Oct 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Noah R. Smith | Owner | Dec 2006 | A | 10% – 25% |
| Aidan M. Smith | Owner | Dec 2006 | A | 10% – 25% |
| Jazmin E. Smith Trust | Owner | Dec 2006 | A | 10% – 25% |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/18/2026 | 957 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Publication of periodicals or newsletters
Custody
Reported custodians
- Charles Schwab & Co. $353M (78% of AUM) Jun 2026
- Chevy Chase Trust Company $69.8M (15% of AUM) Jun 2026
- U.S. Bancorp Investments, Inc. $5.9M (1% of AUM) Mar 2024
- U.S. Bank $1.8M (0% of AUM) Nov 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 18, 2026.
View current Form ADV (SEC/IAPD) ↗