Sprott Asset Management Usa Inc.
- Regulatory AUM
- $10.1B
- Discretionary
- $8.7B
- Clients
- 3,362
- Avg AUM / client
- $3.0M
- Accounts
- 3,362
- Employees
- 64
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2,039 | $424M | 4.19% |
| High net worth individuals | 1,062 | $2.2B | 22.2% |
| Investment companies | 14 | $6.5B | 64.6% |
| Pooled investment vehicles (non-investment companies) | 4 | $377M | 3.73% |
| Pension and profit sharing plans | 54 | $89.7M | 0.89% |
| Charitable organizations | 5 | $125M | 1.24% |
| Corporations and other businesses | 184 | $326M | 3.22% |
Private funds (5)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $145M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Sprott Hathaway Special Situations Fund Master Fund, Lp master | Hedge Fund | Cayman Islands | $68.8M | 21 |
| Resource Exploration And Development Private Placement Qp, Lp | Hedge Fund | Delaware | $28.9M | 71 |
| Resource Exploration And Development Private Placement, Lp | Hedge Fund | Delaware | $19.6M | 67 |
| Sprott Physical Commodities Fund Lp master | Hedge Fund | Delaware | $15.9M | 4 |
| Sprott Energy Transition Materials Fund Lp | Hedge Fund | Delaware | $11.3M | 2 |
People (24)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Thomas Wayne Ulrich | General Counsel & Chief Compliance Officer | Oct 2012 (14y) | Less than 5% | |
| Robert Virgil Villaflor | President | Jul 2016 (10y) | Less than 5% | |
| Bhathal, Varinder, Kaur | Chief Financial Officer | Jan 2019 (8y) | Less than 5% | |
| George, William, Whitney | Chief Executive Officer | Mar 2021 (5y) | Less than 5% | |
| Mary Wheelock Goddard | Registered representative | Feb 2006 (20y) | ||
| Jason James Stevens | Registered representative | Apr 2015 (11y) | ||
| Edward C Coyne | Registered representative | Feb 2016 (10y) | ||
| Christian M Vom Dorp | Registered representative | Feb 2016 (10y) | ||
| John M Barker | Registered representative | May 2016 (10y) | ||
| Samuel John Broom | Registered representative | Mar 2017 (9y) | ||
| Robert John Waldie | Registered representative | CFA | Apr 2018 (8y) | |
| Anthony John Bevilaqua | Registered representative | Jan 2019 (8y) | ||
| Sergio Lujan | Registered representative | May 2019 (7y) | ||
| Steve L Todoruk | Registered representative | May 2020 (6y) | ||
| Victoria Lois Shorkey | Registered representative | Aug 2021 (5y) | ||
| Ryan Mcintyre | Registered representative | CFA | Mar 2023 (3y) | |
| Andrew Anthony Castro | Registered representative | Aug 2023 (3y) | ||
| Edward Phillip Bonner | Registered representative | Jun 2024 (2y) | ||
| Aida Argentina Laird | Registered representative | Aug 2024 (2y) | ||
| Michael Castaneda | Registered representative | Dec 2024 (2y) | ||
| Matthew Harrison | Registered representative | Jan 2025 (2y) | ||
| Mariah Anne Homick | Registered representative | May 2025 (1y) | ||
| Eric James Angeli | Registered representative | Jun 2025 (1y) | ||
| Anastasios N Thermos | Registered representative | May 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Sprott U.S. Holdings Inc. | Owner | Feb 2011 | A | 75% or more |
| Sprott Inc. | Shareholder | Feb 2011 | B | 75% or more of Sprott U.S. Holdings, Inc. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (5, $145M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Sprott Hathaway Special Situations Fund Master Fund, Lp | Hedge Fund | $68.8M | $1.0M | 21 |
| Resource Exploration And Development Private Placement Qp, Lp | Hedge Fund | $28.9M | $250K | 71 |
| Resource Exploration And Development Private Placement, Lp | Hedge Fund | $19.6M | $250K | 67 |
| Sprott Physical Commodities Fund Lp | Hedge Fund | $15.9M | $1.0M | 4 |
| Sprott Energy Transition Materials Fund Lp | Hedge Fund | $11.3M | $1.0M | 2 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 2.17 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Status: Final Summary: AN ADVISORY AFFILIATE IN CANADA, SPROTT ASSET MANAGEMENT LP ACQUIRED THE FLATIRON GROUP OF COMPANIES ("FLATIRON") ON OR ABOUT AUGUST 1, 2012. IN THE MONTHS FOLLOWING THE ACQUISITION, ONE OF THE FLATIRON HEDGE FUNDS, FLATIRON MARKET NEUTRAL LP ("FMNLP"), SUFFERED SIGNIFICANT DROP IN ITS VALUE. THE DECISION WAS MADE BY FLATIRON TO TERMINATE FMNLP AND LIQUIDATE ITS HOLDINGS. PERFORMANCE DIVERSIFIED FUND WAS A LIMITED PARTNER IN FMNLP AND BROUGHT THE ACTION ALLEGING MISMANAGEMENT OF FMNLP AS WELL AS THE TERMINATION AND LIQUIDATION OF FMNLP. THE MATTER WAS SETTLED IN NOVEMBER 2020.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- State Street $2.5B (24% of AUM) Mar 2026
- J.P. Morgan $1.2B (12% of AUM) Mar 2026
- U.S. Bank $862M (9% of AUM) Mar 2026
- RBC $691M (7% of AUM) Mar 2026
- Merrill Lynch $239M (2% of AUM) Mar 2026
- Interactive Brokers $140M (1% of AUM) Mar 2026
- Fidelity Brokerage Services $20.6M (0% of AUM) Mar 2026
- National Financial Services (Fidelity) $20.6M (0% of AUM) Mar 2026
- Charles Schwab & Co. $5.6M (0% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗