# SPROTT ASSET MANAGEMENT USA INC.

SPROTT ASSET MANAGEMENT USA INC. of DARIEN, CT is an SEC-registered investment adviser.

## Registration

- CRD: 139022
- Type: SEC-registered investment adviser
- SEC file number: 801-66131
- Location: 320 POST ROAD, SUITE 230, DARIEN, CT, 06820
- Phone: 203-656-2400
- Latest filing: 2026-03-30
- Regulatory AUM: $10.1B
- Discretionary AUM: $8.7B
- Non-discretionary AUM: $1.4B
- Clients: 64
- Accounts: 3,362

## Business model

- Compensation: % of AUM, Performance
- Clients served: Individuals, High net worth, Pooled vehicles, Investment cos

## Officers, owners & control persons (17)

| Name | Role | Location |
| --- | --- | --- |
| Howard Jeffrey | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER/CHIEF OPERATING OFFICER; DIRECTOR | San Antonio, TX |
| Thomas Wayne Ulrich | DIRECTOR; GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | — |
| Robert Virgil Villaflor | DIRECTOR; MANAGING PARTNER - SPROTT WEALTH MANAGEMENT; PRESIDENT | — |
| Varinder Kaur Bhathal | CHIEF FINANCIAL OFFICER; DIRECTOR | — |
| William Whitney George | CHIEF EXECUTIVE OFFICER & DIRECTOR; PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | — |
| ULRICH THOMAS WAYNE | DIRECTOR; GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER; IN-HOUSE COUNSEL & CHIEF COMPLIANCE OFFICER | — |
| RULE ARTHUR RICHARDS | CHAIRMAN/PRESIDENT; PRESIDENT; TRUSTEE | — |
| CARTER GRETCHEN MARIE | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER | — |
| GOST RIA MARLENE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER | — |
| RULE BONNIE MCGAUGH | TRUSTEE | — |
| VILLAFLOR ROBERT VIRGIL | CHIEF EXECUTIVE OFFICER; DIRECTOR; PRESIDENT | — |
| GEORGE WILLIAM WHITNEY | CHIEF EXECUTIVE OFFICER | — |
| CIAMPAGLIA JOHN ANTHONY | DIRECTOR | — |
| GROSSKOPF PETER FRITZ | DIRECTOR | — |
| ROSTOWSKY STEVEN PAUL | DIRECTOR | — |
| Hibbert Kevin | DIRECTOR | — |
| BHATHAL VARINDER KAUR | CHIEF FINANCIAL OFFICER; DIRECTOR | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| — | civil | 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 DE… | Final | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/139022/brochure
- Similar advisers: https://search.stillhousedata.com/firm/139022/similar
- Related entities: https://search.stillhousedata.com/firm/139022/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/139022

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.