Prentice Investment Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$18,000,000
Total clients
32
100% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
32
Average account size
$562,500
About
Prentice Investment Management, LLC is a small, state‑registered independent investment adviser that provides discretionary individual portfolio management and occasional one‑time or periodic reviews of accounts held at other advisers. It serves a limited client base of roughly three dozen relationships, including individual investors (both standard and high‑net‑worth) and charitable organizations, and accepts only clients personally known to the firm rather than soliciting the public.
The firm follows a long‑only investment approach that combines fundamental analysis, point‑and‑figure technical analysis, qualitative review and asset allocation, implements diversification limits, and reviews accounts at least quarterly for rebalancing. Portfolios are managed on a discretionary basis, the firm avoids margin, short sales and most derivatives (using short‑term instruments only for liquidity), and trades are executed through an institutional platform while the adviser also subscribes to independent research services.
Distinctive for a single‑advisor firm, Prentice discloses a formal relationship with an institutional broker‑dealer platform that provides custody, trading, administrative support and research (and the brochure discusses the potential conflicts and the firm’s lack of ownership affiliation). The firm also offers negotiated evaluations of outside managers’ accounts, does not accept solicitor‑referrals or third‑party compensation for client introductions, and does not vote client proxies — clients retain proxy‑voting responsibility.
Client services
Expertise
Fee options
$0 - $1,000,000: 1.00% per annum $1,000,001 - $5,000,000: 0.75% per annum $5,000,001 - $10,000,000: 0.50% per annum $10,000,001+: Per individual agreement
Fees for one-time or periodic review of other managers are negotiable, based on complexity and frequency
Account minimum: $1,000,000 Fee-only: Annual fees based on assets under management, charged quarterly in arrears, ranging generally from 0.5% to 1.0% per annum
Main office location
Prentice Investment Management, LLC
848 Route 9 D
Garrison NY 10524, United States
Number of offices
1
Most active in
New York
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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