AdFi
SA

SPROTT ASSET MANAGEMENT USA INC.

SEC Registered
DARIEN, CThttps://sprott.com203-656-2400
Assets Under Management
$5B–$25B
Employees
64
Office Locations
3 offices
Total Accounts
3362

About the firm

Firm Focus

Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.

IndividualsHigh Net WorthInvestment CompaniesPooled VehiclesPension/Profit Sharing

Services

Private funds / alternatives
Hedge

Who they serve

Client segmentClientsAssets managed
Individuals (Non-HNW)2,039$424M
High Net Worth Individuals1,062$2.2B
Pension/Profit Sharing Plans4$377M
Charitable Organizations54$90M
State/Municipal Entities5

0 total clients reported on Form ADV.

Leadership

Arthur Richards Rule
PRESIDENT
Jeffrey Howard
CHIEF EXECUTIVE OFFICER
Gretchen Marie Carter
CHIEF FINANCIAL OFFICER
Sprott Inc.
SHAREHOLDER
Sprott U.s. Holdings Inc.
OWNER
Thomas Wayne Ulrich
IN-HOUSE COUNSEL & CHIEF COMPLIANCE OFFICER

Office locations

3 offices in 3 states
CT
DARIENHQ
CA
CARLSBAD
NY
NEW YORK

Advisors at this firm

18 advisors in the directory

Regulatory & compliance

CRD number
#139022
SEC Number
801-66131
Disciplinary History
No
Fee Model & Minimums
Model: AUM / Performance-based

Data as of March 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Contact Information

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Editorial disclosure

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. SPROTT ASSET MANAGEMENT USA INC. has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.