SPROTT ASSET MANAGEMENT USA INC. of DARIEN, CT is an SEC-registered investment adviser (CRD 139022). Regulatory assets under management: $10.1B.
Compensation: % of AUM, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Investment cos.
| 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 | — |
| 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 | — |