Prentice Investment Management, LLC

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.