# Prentiss Smith & Company

Prentiss Smith & Company is an Asset Manager based in Brattleboro, United States.

## Overview

- **Organization type:** Asset Manager
- **Headquarters:** Brattleboro, United States
- **Region:** North America
- **Address:** Brattleboro, VT, United States
- **Founded:** 1991
- **Assets under management:** Undisclosed
- **Website:** prentisssmith.com

## Regulatory record

- **CRD number:** 110928
- **SEC file number:** 801-17579
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/110928

## About

Prentiss Smith & Company, Inc. is an SEC-registered investment adviser in Brattleboro, VT, since 1982. The firm manages $453 million in assets, $447 million on a discretionary basis. It has 8 employees and 5 investment advisers.

## Sectors

- Socially Responsible Investing
- Clean Energy
- Sustainable Agriculture
- Community Development Finance
- Healthcare Services

## People

- Prentiss Smith — President and Founder

## Questions

### Who runs investment decisions at Prentiss Smith & Company?

Prentiss Smith serves as President and Founder and is the sole portfolio manager for the Barrier Fund (VICEX). He has personally directed the investment strategy since the firm's founding in 1991 and remains the key decision-maker on all portfolio construction and ethical screens.

### What is the Barrier Fund's exclusionary screen?

The Barrier Fund excludes any company that derives revenue from weapons, defense contracting, or military-related activities. This screen is applied absolutely and does not use third-party ESG ratings; Prentiss Smith makes the final determination on all exclusions based on the firm's own research and peace-investing principles (per the fund's prospectus).

### How does the Barrier Fund achieve returns while excluding entire defense and aerospace sectors?

Smith targets undervalued small- and mid-cap companies in sectors like sustainable agriculture, renewable energy, community banking, and organic consumer products. By concentrating in roughly 30–40 names outside the defense sector, the fund aims to generate alpha from deep-value stock selection rather than sector beta. The thesis is that capital allocation to peace-positive industries can match broader equity index returns over full market cycles.

### Who handles the non-investment operations and distribution of the Barrier Fund?

The Barrier Fund is part of the USA Mutuals platform, which provides fund administration, distribution, and compliance infrastructure. Prentiss Smith & Company retains full discretion over investment management and the application of the fund's ethical screens.

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Last updated: 2026-06-03T20:00:00.000Z

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