SEC Form ADV, by state
The largest investment adviser firms in Vermont
The current SEC Form ADV data lists 37 investment adviser firms headquartered in Vermont, of which 1 (2.7%) answered yes to at least one disciplinary or legal question on Form ADV Item 11. Below are the 50 largest by regulatory assets under management, a gross size measure each firm reports itself. Size is not a quality score, and no public record reports any firm's investment returns.
| Firm | City | Regulatory AUM | Fee methods | Item 11 disclosure |
|---|---|---|---|---|
| NLG CAPITAL LLC | MONTPELIER | $47B | % of AUMperformanceother | none reported |
| CHAMPLAIN INVESTMENT PARTNERS, LLC | BURLINGTON | $10B | % of AUMperformance | none reported |
| MANCHESTER CAPITAL MANAGEMENT LLC | MANCHESTER | $2.8B | % of AUMfixed | none reported |
| ESI FINANCIAL ADVISORS | MONTPELIER | $2.8B | % of AUMhourlyfixedcommissions | yes, reported |
| MAPLE CAPITAL MANAGEMENT, INC. | MONTPELIER | $2.6B | % of AUM | none reported |
| PATHWAY FINANCIAL ADVISORS, LLC | SOUTH BURLINGTON | $1.6B | % of AUMhourlyfixed | none reported |
| ONE DAY IN JULY LLC | BURLINGTON | $1.4B | % of AUMfixed | none reported |
| HANSON & DOREMUS INVESTMENT MANAGEMENT | BURLINGTON | $1.1B | % of AUMhourly | none reported |
| SILVERLAKE WEALTH MANAGEMENT LLC | WILLISTON | $849M | % of AUMhourlyfixed | none reported |
| ROCK POINT ADVISORS, LLC | BURLINGTON | $656M | % of AUM | none reported |
| MARBLE TRAIL ADVISORS | MIDDLEBURY | $583M | % of AUMfixedother | none reported |
| CLEAN YIELD ASSET MANAGEMENT | NORWICH | $571M | % of AUMfixedother | none reported |
| M. KRAUS & COMPANY | SHELBURNE | $559M | % of AUMhourlyfixed | none reported |
| PRENTISS SMITH & COMPANY, INC. | BRATTLEBORO | $453M | % of AUM | none reported |
| BROADLAKE FINANCIAL MANAGEMENT | SOUTH BURLINGTON | $410M | % of AUM | none reported |
| ANTOINE WILLIAMS & ASSOCIATES WEALTH MANAGEMENT, LLC | SHELBURNE | $319M | % of AUMhourlyfixed | none reported |
| OTTO & ASSOCIATES, INC. | NORWICH | $287M | % of AUMhourly | none reported |
| BENNINGTON FINANCIAL PLANNING GROUP | BENNINGTON | $281M | % of AUMhourly | none reported |
| FARROW FINANCIAL INC | SOUTH BURLINGTON | $280M | % of AUMhourlyfixed | none reported |
| TEUCRIUM INVESTMENT ADVISORS, LLC | BURLINGTON | $277M | % of AUM | none reported |
| INTRACK INVESTMENT MANAGEMENT, INC. | SOUTH BURLINGTON | $276M | % of AUMhourlyfixedperformanceother | none reported |
| HUTNER CAPITAL MANAGEMENT INC. | MANCHESTER | $271M | % of AUMfixedperformanceother | none reported |
| BIRCHVIEW CAPITAL, LP | BURLINGTON | $239M | % of AUMperformance | none reported |
| WESTVIEW INVESTMENT ADVISORS | BURLINGTON | $229M | % of AUMhourlyfixedother | none reported |
| COPPER LEAF FINANCIAL, LLC | WILLISTON | $220M | % of AUMhourlyfixed | none reported |
| WILLIAMS FINANCIAL, LLC | NORTH BENNINGTON | $210M | % of AUMhourlyfixed | none reported |
| DWV ADVISORS, LLC | ESSEX JUNCTION | $157M | % of AUM | none reported |
| POULOS ADVISORS, INC. | SOUTH BURLINGTON | $150M | % of AUMhourlyfixed | none reported |
| 44 NORTH CAPITAL, LLC | BURLINGTON | $125M | % of AUMfixed | none reported |
| QUANTUM LEAP CAPITAL, LLC | SOUTH BURLINGTON | $121M | % of AUMhourlyfixed | none reported |
| STAGE 2 PLANNING PARTNERS LLC | S BURLINGTON | $106M | % of AUMhourly | none reported |
Source: SEC Form ADV monthly data, firms reporting a Vermontheadquarters address. Fee-method chips are the compensation arrangements each firm checked on Item 5.E; the disclosure column is the firm's own answer to Item 11. Click through to any firm for the full record and a link to its SEC detail page.
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