PRENTISS SMITH & CO INC

Registered adviser

CIK

1134687

Location

BRATTLEBORO, VT

Portfolio Value

Small $175,380,103

Diversification

Diversified

Filing Date

Global Rank

#6,808 / 8,827 ▼ 232 · as of Jun 2026

Top Industry

Specialty Industrial Machinery 10.0%

Period ended 38 days ago

Filed Oct 27, 2026 · 11d

27 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Nov 1, 2026

Form ADV adviser

CRD 110928

Roster of Nov 1, 2026

Regulatory AUM

$453,050,280

Main clients

Individuals and high net worth (91% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Nov 2026	$453,050,280	Individuals and high net worth (91%)
Apr 2025 to Mar 2026	$436,952,572	Individuals and high net worth (91%)
Apr 2024 to Mar 2025	$439,065,707	Individuals and high net worth (91%)
May 2023 to Mar 2024	$402,004,304	Individuals and high net worth (90%)
Apr 2023	$402,004,304	Individuals and high net worth (90%)
Apr 2022 to Mar 2023	$473,019,293	Individuals and high net worth (90%)

3 earlier changes not shown.

Stated strategy

Quantitative / systematic, Fundamental active, Value, Growth, Fixed income / rates, Multi-asset Form ADV Part 2A, Jun 18, 2026 · original

In the firm's words

Quantitative / systematic: The investment process begins with a quantitative approach that measures the relative valuation of a company against peers and its own growth profile.
Fundamental active: We then consider the market position of the underlying company, its balance sheet, free cash flow, and strategy for deployment of cash flow, economic sensitivity of the business, exposure to interest rate fluctuations, and management’s ability and integrity.
Value: growth at a reasonable price
Growth: We view our investment style as a long-term, GARP (growth at a reasonable price) approach that is often contrarian in nature.
Fixed income / rates: When making fixed income investments, the objective is to produce a return for clients that exceeds inflation on an after-tax basis.
Multi-asset: a total return approach that incorporates a mix of fixed income and equity investments with broad discretion granted to us over asset allocation

Stated strategy

Quantitative / systematic, Fundamental active, Value, Growth, Fixed income / rates, Multi-asset Form ADV Part 2A, Mar 27, 2026 · original

In the firm's words

Quantitative / systematic: The investment process begins with a quantitative approach that measures the relative valuation of a company against peers and its own growth profile.
Fundamental active: We then consider the market position of the underlying company, its balance sheet, free cash flow, and strategy for deployment of cash flow, economic sensitivity of the business, exposure to interest rate fluctuations, and management’s ability and integrity.
Value: Conversely, we reduce positions when the share price runs well ahead of progress at a given company.
Growth: capital appreciation through a GARP (growth at a reasonable price) investment style
Fixed income / rates: When making fixed income investments, the objective is to produce a return for clients that exceeds inflation on an after-tax basis.
Multi-asset: Finally, we employ two investment strategies for our clients: a total return approach that incorporates a mix of fixed income and equity investments with broad discretion granted to us over asset allocation, and a relative return approach that maintains strict asset allocations at the instruction of the client and references a specific benchmark.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Diversified active

Top 10 weight 47.8%, 28.1 effective positions, active share 76.1% against the S&P 500 as of 2026-06-30; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

12.1% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 18.3 quarters (12+), a floor since 50.3% of the book was already held when coverage starts

Closest benchmark: the S&P 500 as of 2026-06-30, active share 76.1%; sector active share 33.8% against the combined 13F book's sector weights.

Over time 26 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

70 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

7.7%

−0.9 pts

Top 5

30.3%

−0.3 pts

Top 10

47.8%

−0.1 pts

HHI

343

Diversified−13

Portfolio Trend

27 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Industrials	23.6%	$41,417,937	12
Healthcare	23.4%	$41,076,747	13
Technology	14.7%	$25,783,977	10
Financial Services	13.5%	$23,674,909	8
Communication Services	12.1%	$21,147,076	7
Consumer Cyclical	5.6%	$9,892,404	7
Consumer Defensive	3.6%	$6,372,147	4
Unclassified	2.4%	$4,248,581	8
Energy	1.0%	$1,766,325	1

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

4 positions

Ticker	Company	Δ Shares	Shares	Value
NYT	New York Times Co	+16,579	72,131	$4,594,744
IVV	iShares Core S&P 500 ETF	+1,000	2,977	$2,279,935
UBER	Uber Technologies, Inc	+83	11,870	$813,213
IBM	International Business Machines Corp	+30	1,608	$353,647
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
ONON	On Holding AG	−67,677	56,270	$1,666,154
UNP	Union Pacific Corp	−10,576	10,044	$2,733,273
GRC	Gorman Rupp Co	−10,000	160,715	$11,970,053
AAPL	Apple Inc.	−4,680	2,289	$762,282
QGEN	Qiagen N.V.	−4,541	127,055	$5,559,926
ATMU	Atmus Filtration Technologies Inc.	−3,555	116,931	$5,077,144
BSY	Bentley Systems Inc	−2,572	59,927	$1,914,667
COO	Cooper Companies, Inc.	−2,282	45,771	$2,587,434
CSCO	Cisco Systems, Inc.	−2,264	79,162	$8,520,206
SCHW	Schwab Charles Corp	−1,891	64,804	$6,333,942
A	Agilent Technologies, Inc.	−1,409	44,480	$7,664,348
CHWY	Chewy, Inc.	−1,365	32,483	$591,190
XYL	Xylem Inc.	−1,309	35,634	$3,608,655
WMS	Advanced Drainage Systems, Inc.	−1,272	41,935	$5,313,583
BRC	Brady Corp	−990	38,144	$3,184,642
MSA	MSA Safety Inc	−891	22,425	$3,988,959
ABT	Abbott Laboratories	−836	40,876	$4,039,775
PGR	Progressive Corp	−830	28,065	$5,818,155
ALGM	Allegro Microsystems, Inc.	−800	23,160	$841,866
WRBY	Warby Parker Inc.	−663	30,162	$837,900
ACI	Albertsons Companies, Inc.	−636	31,600	$366,876
JNJ	Johnson & Johnson	−475	35,720	$9,456,512
MSFT	Microsoft Corp	−446	18,645	$9,563,020
—		−319	7,901	$0
EME	EMCOR Group, Inc.	−291	3,988	$3,008,906
No positions match the current search.

New Positions

Positions the filer opened this quarter

4 positions

Ticker	Company	Shares	Value
CARR	CARRIER GLOBAL Corp	93,101	$5,107,520
MWA	Mueller Water Products, Inc.	45,227	$960,621
HUBB	Hubbell Inc	608	$275,788
SPY	Spdr S&P 500 ETF Trust	327	$249,380
No positions match the current search.

Sold Out

Positions the filer fully exited

1 positions

Ticker	Company	Shares	Value	Open
TY	TRI-CONTINENTAL Corp	6,400	$220,288
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

70 tracked positions · $175,380,103 total · filing declares 70 positions · $176,610,103 · as of Sep 30, 2026

All sectors Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Technology

Showing 1–50 of 70 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
GOOG	Alphabet Inc. Communication Services	Reduced	39,178	-271	$13,349,511	−4.2%	7.61%
GRC	Gorman Rupp Co Industrials	Reduced	160,715	-10,000	$11,970,053	−23.6%	6.83%
MSFT	Microsoft Corp Technology	Reduced	18,645	-446	$9,563,020	+34.3%	5.45%
JNJ	Johnson & Johnson Healthcare	Reduced	35,720	-475	$9,456,512	+2.9%	5.39%
CSCO	Cisco Systems, Inc. Technology	Reduced	79,162	-2,264	$8,520,206	−10.9%	4.86%
A	Agilent Technologies, Inc. Healthcare	Reduced	44,480	-1,409	$7,664,348	+25.7%	4.37%
SCHW	Schwab Charles Corp Financial Services	Reduced	64,804	-1,891	$6,333,942	+2.9%	3.61%
PGR	Progressive Corp Financial Services	Reduced	28,065	-830	$5,818,155	−7.8%	3.32%
QGEN	Qiagen N.V. Healthcare	Reduced	127,055	-4,541	$5,559,926	+8.1%	3.17%
WMS	Advanced Drainage Systems, Inc. Industrials	Reduced	41,935	-1,272	$5,313,583	−21.6%	3.03%
BLK	BlackRock, Inc. Financial Services	Reduced	4,909	-126	$5,195,145	+7.3%	2.96%
CARR	CARRIER GLOBAL Corp Industrials	NEW	93,101	NEW	$5,107,520	NEW	2.91%
ATMU	Atmus Filtration Technologies Inc. Consumer Cyclical	Reduced	116,931	-3,555	$5,077,144	−17.4%	2.89%
PG	PROCTER & GAMBLE Co Consumer Defensive	Reduced	33,797	-27	$4,910,028	−1.0%	2.80%
NYT	New York Times Co Communication Services	Added	72,131	+16,579	$4,594,744	+18.2%	2.62%
NVS	Novartis AG Healthcare	Reduced	28,939	-65	$4,125,833	−9.2%	2.35%
ABT	Abbott Laboratories Healthcare	Reduced	40,876	-836	$4,039,775	+6.7%	2.30%
MSA	MSA Safety Inc Industrials	Reduced	22,425	-891	$3,988,959	−2.0%	2.27%
XYL	Xylem Inc. Industrials	Reduced	35,634	-1,309	$3,608,655	−17.4%	2.06%
BRK-B	Berkshire Hathaway Inc Financial Services	Held	6,436	0	$3,204,806	−0.5%	1.83%
BRC	Brady Corp Industrials	Reduced	38,144	-990	$3,184,642	−11.1%	1.82%
SYK	Stryker Corp Healthcare	Reduced	11,228	-275	$3,092,078	−14.6%	1.76%
EME	EMCOR Group, Inc. Industrials	Reduced	3,988	-291	$3,008,906	−15.3%	1.72%
UNP	Union Pacific Corp Industrials	Reduced	10,044	-10,576	$2,733,273	−51.3%	1.56%
COO	Cooper Companies, Inc. Healthcare	Reduced	45,771	-2,282	$2,587,434	−24.9%	1.48%
ADP	Automatic Data Processing Inc Technology	Reduced	9,212	-225	$2,377,248	+12.5%	1.36%
IVV	iShares Core S&P 500 ETF	Added	2,977	+1,000	$2,279,935	+54.0%	1.30%
BSY	Bentley Systems Inc Technology	Reduced	59,927	-2,572	$1,914,667	+2.5%	1.09%
XOM	ExxonMobil Holdings Corp Energy	Held	10,853	0	$1,766,325	+19.0%	1.01%
ONON	On Holding AG Consumer Cyclical	Reduced	56,270	-67,677	$1,666,154	−62.0%	0.95%
REGN	Regeneron Pharmaceuticals, Inc. Healthcare	Reduced	2,022	-16	$1,533,221	+20.7%	0.87%
V	Visa Inc. Financial Services	Held	4,094	0	$1,471,097	+4.7%	0.84%
META	Meta Platforms, Inc. Communication Services	Held	1,796	0	$1,302,423	+28.7%	0.74%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	4,906	-80	$1,222,329	+2.9%	0.70%
TMUS	T-Mobile US, Inc. Communication Services	Held	6,394	0	$1,042,733	−2.8%	0.59%
ABBV	AbbVie Inc. Healthcare	Held	3,883	0	$1,015,753	+4.0%	0.58%
MWA	Mueller Water Products, Inc. Industrials	NEW	45,227	NEW	$960,621	NEW	0.55%
MA	Mastercard Inc Financial Services	Held	1,605	0	$885,109	+7.4%	0.50%
ALGM	Allegro Microsystems, Inc. Technology	Reduced	23,160	-800	$841,866	−49.5%	0.48%
WRBY	Warby Parker Inc. Healthcare	Reduced	30,162	-663	$837,900	−10.4%	0.48%
UBER	Uber Technologies, Inc Technology	Added	11,870	+83	$813,213	−4.4%	0.46%
AAPL	Apple Inc. Technology	Reduced	2,289	-4,680	$762,282	−62.2%	0.43%
GE	General Electric Co Industrials	Held	2,398	0	$748,871	−16.4%	0.43%
GPC	Genuine Parts Co Consumer Cyclical	Held	5,000	0	$628,700	+6.6%	0.36%
CHWY	Chewy, Inc. Consumer Cyclical	Reduced	32,483	-1,365	$591,190	−11.1%	0.34%
PEP	Pepsico Inc Consumer Defensive	Held	4,625	0	$586,080	−6.4%	0.33%
INTC	Intel Corp Technology	Held	4,510	0	$542,237	−13.9%	0.31%
GEV	GE Vernova Inc. Industrials	Reduced	544	-43	$517,066	−25.0%	0.29%
KO	Coca Cola Co Consumer Defensive	Held	5,915	0	$509,163	+5.9%	0.29%
PFE	Pfizer Inc Healthcare	Held	15,327	0	$437,126	+18.4%	0.25%

Showing the top 50 of 70 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.