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CRD 139022
DARIEN, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| MARY WHEELOCK GODDARD | n/a | DARIEN, CT | 20 | 31 | n/a | yes |
| THOMAS WAYNE ULRICH | n/a | CARLSBAD, CA | DARIEN, CT | Darien, CT | 13 | 27 | 4 | yes |
| JASON JAMES STEVENS | n/a | DARIEN, CT | 11 | 24 | n/a | yes |
| EDWARD C COYNE | n/a | Lake Wales, FL | DARIEN, CT | 10 | 31 | n/a | yes |
| CHRISTIAN M VOM DORP | n/a | DARIEN, CT | 10 | 17 | n/a | yes |
| JOHN M BARKER | n/a | DARIEN, CT | 10 | 11 | 1 | yes |
| Samuel John Broom | n/a | DARIEN, CT | 9 | 10 | n/a | yes |
| Robert John Waldie | Chartered Financial Analyst | DARIEN, CT | TORONTO, ON | 8 | 24 | n/a | yes |
| ANTHONY JOHN BEVILAQUA | n/a | DARIEN, CT | Darien, CT | 7 | 17 | 1 | yes |
| Sergio Lujan | n/a | TORONTO | DARIEN, CT | 7 | 10 | n/a | yes |
| STEVE L TODORUK | n/a | DARIEN, CT | 6 | 23 | 1 | yes |
| VICTORIA LOIS Shorkey | n/a | DARIEN, CT | 5 | 12 | n/a | yes |
| RYAN MCINTYRE | Chartered Financial Analyst | Darien, CT | DARIEN, CT | 3 | 18 | n/a | no |
| Andrew Anthony Castro | n/a | Carlsbad, CA | DARIEN, CT | 3 | 10 | n/a | yes |
| EDWARD PHILLIP BONNER | n/a | New York, NY | DARIEN, CT | 2 | 10 | n/a | yes |
| Aida Argentina Laird | n/a | DARIEN, CT | CARLSBAD, CA | 2 | 12 | n/a | yes |
| Michael Castaneda | n/a | CARLSBAD, CA | DARIEN, CT | 1 | 13 | n/a | yes |
| ROBERT VIRGIL VILLAFLOR | n/a | DARIEN, CT | 1 | 33 | 1 | yes |
| Matthew Harrison | n/a | TORONTO | DARIEN, CT | 1 | 10 | n/a | yes |
| Mariah Anne Homick | n/a | DARIEN, CT | 1 | 12 | n/a | yes |
| ERIC JAMES ANGELI | n/a | DARIEN, CT | 1 | 20 | n/a | yes |
| Anastasios N Thermos | n/a | DARIEN, CT | New York, NY | 0 | 12 | 1 | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| SPROTT HATHAWAY SPECIAL SITUATIONS FUND MASTER FUND, LP | Hedge Fund | $192M | Mar 30, 2026 | 21 | Mar 28, 2019 | reported | 021-334541 |
| RESOURCE EXPLORATION AND DEVELOPMENT PRIVATE PLACEMENT QP, LP | Hedge Fund | $76.8M | Mar 30, 2026 | 71 | Oct 10, 2022 | reported | 021-462174 |
| SPROTT PHYSICAL COMMODITIES FUND LP | Hedge Fund | $54.8M | Mar 30, 2026 | 4 | Mar 26, 2024 | reported | 021-497076 |
| RESOURCE EXPLORATION AND DEVELOPMENT PRIVATE PLACEMENT, LP | Hedge Fund | $53.5M | Mar 30, 2026 | 67 | Mar 31, 2022 | reported | 021-429341 |
| DRILL DRIVEN ALPHA FUND LP | Hedge Fund | $53.4M | Jul 31, 2023 | 113 | Mar 30, 2020 | dropped | 021-363780 |
| SPROTT ENERGY TRANSITION MATERIALS FUND LP | Hedge Fund | $11.3M | Mar 26, 2024 | 2 | Oct 10, 2022 | dropped | 021-462529 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BHATHAL, VARINDER, KAUR | Director | Na | yes | 03/2021 | Mar 30, 2026 | Mar 30, 2026 |
| GEORGE, WILLIAM, WHITNEY | PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | Na | yes | 03/2021 | Mar 30, 2026 | Mar 30, 2026 |
| SPROTT U.S. HOLDINGS INC. | Owner | E | yes | 02/2011 | Mar 30, 2026 | Mar 30, 2026 |
| ULRICH, THOMAS, WAYNE | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | Na | yes | 10/2012 | Mar 30, 2026 | Mar 30, 2026 |
| VILLAFLOR, ROBERT, VIRGIL | MANAGING PARTNER - SPROTT WEALTH MANAGEMENT | Na | yes | 06/2025 | Mar 30, 2026 | Mar 30, 2026 |
| SPROTT INC. | Shareholder | E | yes | 02/2011 | Mar 30, 2012 | Mar 26, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| RESOURCE CAPITAL INVESTMENT CORPORATION | n/a | Asset manager | $3.7B | N | yes | n/a |
| SPROTT ASSET MANAGEMENT LP | n/a | Former SEC adviser | $1.4B | N | yes | n/a |
| SPROTT GLOBAL RESOURCE INVESTMENTS LTD | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Carlsbad | CA | United States | 16 | yes |
| NEW YORK | NY | United States | 3 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $10B | $8.7B | 64 | 35 | 4 | 4 | n/a |
| 2024 | Mar 28, 2025 | $4.6B | $4.2B | 59 | 30 | 2 | 5 | n/a |
| 2023 | Mar 26, 2024 | $4.6B | $4.4B | 57 | 30 | 2 | 5 | $145M |
| 2022 | Mar 29, 2023 | $2.0B | $1.9B | 45 | 30 | 2 | 5 | $178M |
| 2021 | Mar 31, 2022 | $1.0B | $826M | 45 | 30 | 3 | 3 | $197M |
| 2020 | Mar 31, 2021 | $755M | $672M | 38 | 21 | 3 | 2 | $151M |
| 2019 | Mar 30, 2020 | $221M | $220M | 31 | 18 | 3 | 2 | $59.7M |
| 2018 | Mar 28, 2019 | $132M | $108M | 27 | 16 | 3 | 1 | $0 |
| 2017 | Mar 30, 2018 | $152M | $128M | 28 | 15 | 2 | n/a | n/a |
| 2016 | Mar 24, 2017 | $103M | $103M | 23 | 15 | n/a | n/a | n/a |
| 2015 | Mar 31, 2016 | $74.9M | $74.9M | 9 | 7 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $69.0M | $69.0M | 9 | 7 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $85.1M | $85.1M | 8 | 4 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $122M | $122M | 9 | 5 | n/a | 7 | $431M |
| 2011 | Mar 30, 2012 | $567M | $567M | n/a | n/a | n/a | 6 | $431M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 2 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $10B | $4.6B | 118.2% | $2.0B | 71.9% | 64 | 59 | 4 | 2 |