DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Sprott Asset Management USA Inc.
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Feb 1, 2006
RAUM
$10B
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
26%
$2.7B individuals and HNW
Advisors
22
registered through the firm on IAPD
RAUM per advisor
$460M
derived; firm RAUM over IAPD count
Employees
64
35 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
4
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$10B as of Mar 30, 2026
Mar 30, 2012$567M then
HNW client RAUM$2.2B as of Mar 30, 2026
Mar 30, 2018$61.4M then
State-registered IARs (5.B.3)30 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)64 as of Mar 30, 2026
Mar 28, 20139 then
Private funds4 as of Mar 30, 2026
Mar 30, 20126 then
RAUM +118% over the last fiscal year+72% a year over threeIARs 23 to 30offices 2 to 4
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $460MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 141derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.9derivedItem 5.A over advisors
- Advisors per office
- 4.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +118%derivedbetween the last two annual amendments
- Advisor growth, one year
- +30%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +29%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $377M, 4 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$6.5B65%
- High-net-worth individuals$2.2B22%
- Individuals$424M4.2%
- Pooled investment vehicles$377M3.7%
- Corporations and businesses$326M3.2%
- Charitable organizations$125M1.2%
- Pension and profit-sharing plans$89.7M0.9%
- Individual clients
- 2,039reported
- HNW clients
- 1,062reported
- Pension plan clients
- 54reported
- Charitable clients
- 5reported
- Accounts
- 3,362reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $377M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.26 fund_share=0.68 institutional_share=0.02 related_bd=true related_bank=false bd_reps=34.0derived
Advisors registered through the firm
22 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mary Wheelock Goddard | Darien, Ct | Feb 28, 2006 | 31 y | 0 |
| Thomas Wayne Ulrich | Carlsbad, Ca | Oct 25, 2012 | 27 y | 4 |
| Jason James Stevens | Darien, Ct | Apr 23, 2015 | 24 y | 0 |
| Edward C Coyne | Lake Wales, Fl | Feb 2, 2016 | 31 y | 0 |
| Christian M Vom Dorp | Darien, Ct | Feb 24, 2016 | 17 y | 0 |
| John M Barker | Darien, Ct | May 10, 2016 | 11 y | 1 |
| Samuel John Broom | Darien, Ct | Mar 9, 2017 | 10 y | 0 |
| Robert John WaldieChartered Financial Analyst | Darien, Ct | Apr 10, 2018 | 24 y | 0 |
| Anthony John Bevilaqua | Darien, Ct | Jan 4, 2019 | 17 y | 1 |
| Sergio Lujan | Toronto | May 24, 2019 | 10 y | 0 |
| Steve L Todoruk | Darien, Ct | May 13, 2020 | 23 y | 1 |
| Victoria Lois Shorkey | Darien, Ct | Aug 18, 2021 | 12 y | 0 |
| Ryan McintyreChartered Financial Analyst | Darien, Ct | Mar 16, 2023 | 18 y | 0 |
| Andrew Anthony Castro | Carlsbad, Ca | Aug 7, 2023 | 10 y | 0 |
| Edward Phillip Bonner | New York, Ny | Jun 18, 2024 | 10 y | 0 |
| Aida Argentina Laird | Darien, Ct | Aug 6, 2024 | 12 y | 0 |
| Michael Castaneda | Carlsbad, Ca | Dec 5, 2024 | 13 y | 0 |
| Matthew Harrison | Toronto | Jan 1, 2025 | 10 y | 0 |
| Robert Virgil Villaflor | Darien, Ct | Jan 1, 2025 | 33 y | 1 |
| Mariah Anne Homick | Darien, Ct | May 15, 2025 | 12 y | 0 |
| Eric James Angeli | Darien, Ct | Jun 4, 2025 | 20 y | 0 |
| Anastasios N Thermos | Darien, Ct | May 6, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Blake Austin Soto to Stifel, Nicolaus & Company, IncorporatedApr 29, 2024 · RIA to affiliated broker-dealer or bank
- Timothy Joseph Taschler to Regal Advisory Services, Inc.Oct 4, 2022 · RIA to RIA
- Albert Keishi Lu to Luma FinancialJul 12, 2021 · RIA to a state-registered adviser
- Cameron Christopher Wadsworth to Assetmark, Inc.Nov 10, 2020 · RIA to affiliated broker-dealer or bank
- William James Reik to WealthionOct 16, 2019 · RIA to a newly registered adviser
- Marisa Ford to Lucia Capital GroupJul 9, 2019 · RIA to RIA
- Ria Gost to Cuso Financial Services, L.P.Dec 17, 2012 · Other
Joined, latest
- Anastasios N Thermos from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 6, 2026 · Wirehouse to independent RIA
- Robert Virgil Villaflor from Regal Advisory Services, Inc.Jan 1, 2025 · Other
- Anthony John Bevilaqua from Zacks Investment Management, Inc.Jan 4, 2019 · Other
- Albert Keishi Lu from Wb Wealth ManagementFeb 16, 2017 · Other
- Timothy Joseph Taschler from Stifel, Nicolaus & Company, IncorporatedAug 12, 2016 · Other
- John M Barker from A.G.P / Alliance Global PartnersMay 10, 2016 · Other
- Thomas Wayne Ulrich from Altegris Advisors, LLCOct 25, 2012 · Other
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Sprott Hathaway Special Situations Fund Master Fund, LP | Hedge Fund | $192M | 21 | Mar 28, 2019 |
| Resource Exploration And Development Private Placement Qp, LP | Hedge Fund | $76.8M | 71 | Oct 10, 2022 |
| Sprott Physical Commodities Fund LP | Hedge Fund | $54.8M | 4 | Mar 26, 2024 |
| Resource Exploration And Development Private Placement, LP | Hedge Fund | $53.5M | 67 | Mar 31, 2022 |
| Drill Driven Alpha Fund LPno longer reported | Hedge Fund | $53.4M | 113 | Mar 30, 2020 |
| Sprott Energy Transition Materials Fund LPno longer reported | Hedge Fund | $11.3M | 2 | Oct 10, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Kaur Varinder Bhathal · Directorcontrolsince 03/2021 · owns less than 5%
- Whitney William George · President, Chief Executive Officer & Directorcontrolsince 03/2021 · owns less than 5%
- Wayne Thomas Ulrich · General Counsel & Chief Compliance Officercontrolsince 10/2012 · owns less than 5%
- Virgil Robert Villaflor · Managing Partner - Sprott Wealth Managementcontrolsince 06/2025 · owns less than 5%
Entity owners
- Sprott U.S. Holdings Inc. · Ownerdirect · owns 75% or more
- Sprott Inc. · Shareholderindirect · owns 75% or more of Sprott U.S. Holdings, Inc.
Related persons
Schedule D 7.A
- Resource Capital Investment Corporationinvestment adviserpooled vehicle sponsornRAUM $3.7B
- Sprott Asset Management LPinvestment adviserpooled vehicle sponsornRAUM $1.4B
- Sprott Global Resource Investments Ltdbroker-dealern
Advisers that list Sprott Asset Management USA Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Darien, Ct · principal | 22 | 1 | 0 | ||
| Carlsbad, Ca | 3 | 0 | 0 | ||
| New York, Ny | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Carlsbad, CA16 employees
- New York, NY3 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- growth on all axesCombination · filing Mar 30, 2026RAUM, offices and advisors all grew 25 percent or more in one year: a platform in expansion or an acquisition. RAUM $4,636,738,041 to $10,116,747,344, advisors 23 to 30, private clients 2395 to 3101, offices 2 to 4 (2025-03-28 to 2026-03-30)peers: independent wealth managers, $5B to $20B (289)
- business activity changedChange between filings · filing Mar 30, 2026financial planning (Item 5.G.1): no on the filing of 2025-06-02, yes on the filing of 2026-03-30peers: independent wealth managers, $5B to $20B (289)
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $4,636,738,041 to $10,116,747,344 (+118.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +18.0% (271 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $5B to $20B (271) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 2,613 to 3,362Jun 2, 2025 to Mar 30, 2026
- Advisory employees · 30 to 35Jun 2, 2025 to Mar 30, 2026
- Advisory activities · 4 to 5Jun 2, 2025 to Mar 30, 2026
- BD registered reps · 32 to 34Jun 2, 2025 to Mar 30, 2026
- Charity clients · 3 to 5Jun 2, 2025 to Mar 30, 2026
- Corporate clients · 156 to 184Jun 2, 2025 to Mar 30, 2026
- HNW clients · 129 to 1,062Jun 2, 2025 to Mar 30, 2026
- Individual clients · 2,266 to 2,039Jun 2, 2025 to Mar 30, 2026
- Pension plan clients · 43 to 54Jun 2, 2025 to Mar 30, 2026
- Pooled vehicle clients · 5 to 4Jun 2, 2025 to Mar 30, 2026
- Assets in custody · $169M to $377MJun 2, 2025 to Mar 30, 2026
- Employees · 59 to 64Jun 2, 2025 to Mar 30, 2026
- State-registered IARs · 23 to 30Jun 2, 2025 to Mar 30, 2026
- Other offices · 2 to 4Jun 2, 2025 to Mar 30, 2026
- Private funds · 5 to 4Jun 2, 2025 to Mar 30, 2026
- Discretionary RAUM · $4.2B to $8.7BJun 2, 2025 to Mar 30, 2026
- HNW RAUM · $604M to $2.2BJun 2, 2025 to Mar 30, 2026
- Individual RAUM · $404M to $424MJun 2, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $425M to $1.4BJun 2, 2025 to Mar 30, 2026
- Pension RAUM · $37.5M to $89.7MJun 2, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $169M to $377MJun 2, 2025 to Mar 30, 2026
- RAUM · $4.6B to $10BJun 2, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 1-10Mar 28, 2025 to Jun 2, 2025
- Accounts · 2,678 to 2,613Mar 26, 2024 to Mar 28, 2025
- Charity clients · 8 to 3Mar 26, 2024 to Mar 28, 2025
- Corporate clients · 145 to 156Mar 26, 2024 to Mar 28, 2025
- HNW clients · 210 to 129Mar 26, 2024 to Mar 28, 2025
- Individual clients · 2,264 to 2,266Mar 26, 2024 to Mar 28, 2025
- Pension plan clients · 36 to 43Mar 26, 2024 to Mar 28, 2025
- Assets in custody · $145M to $169MMar 26, 2024 to Mar 28, 2025
- Employees · 57 to 59Mar 26, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 1-10Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $4.4B to $4.2BMar 26, 2024 to Mar 28, 2025
- HNW RAUM · $621M to $604MMar 26, 2024 to Mar 28, 2025
- Individual RAUM · $336M to $404MMar 26, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $227M to $425MMar 26, 2024 to Mar 28, 2025
- Pension RAUM · $35.9M to $37.5MMar 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $145M to $169MMar 26, 2024 to Mar 28, 2025
- RAUM · $4.6B to $4.6BMar 26, 2024 to Mar 28, 2025
- Accounts · 2,680 to 2,678Jul 31, 2023 to Mar 26, 2024
Signals
17 dated events
- Sprott Asset Management Usa Inc. reported RAUM $10.1B, up 118% from $4.6B (2025-06-02 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Blake Austin Soto left Sprott Asset Management Usa Inc. for Stifel, Nicolaus & Company, Incorporated (registered 2024-05-02)Apr 29, 2024 · Advisor changed firm · fact
- Sprott Asset Management Usa Inc. reported RAUM $4.6B, up 32% from $3.5B (2023-07-31 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Sprott Asset Management Usa Inc. reported RAUM $3.5B, up 75% from $2.0B (2023-03-29 to 2023-07-31)Jul 31, 2023 · RAUM change · derived
- Sprott Asset Management Usa Inc. reported RAUM $2.0B, up 93% from $1.0B (2022-11-07 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Fritz Peter Grosskopf (Director) no longer on Schedule A of Sprott Asset Management Usa Inc. (listed 2022-03-31, absent 2022-10-10)Oct 10, 2022 · Control person left · inference
- Timothy Joseph Taschler left Sprott Asset Management Usa Inc. for Regal Advisory Services, Inc. (registered 2022-10-12)Oct 4, 2022 · Advisor changed firm · fact
- Sprott Asset Management Usa Inc. reported RAUM $1.0B, up 37% from $754.6M (2021-11-01 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Sprott Asset Management Usa Inc. reported RAUM $754.6M, up 242% from $220.9M (2020-10-09 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Kevin Hibbert (Director) no longer on Schedule A of Sprott Asset Management Usa Inc. (listed 2020-10-09, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Jeffrey Howard (Director) no longer on Schedule A of Sprott Asset Management Usa Inc. (listed 2020-10-09, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Whitney William George (Chief Executive Officer) appeared on Schedule A of Sprott Asset Management Usa Inc.Mar 31, 2021 · Control person joined · fact
- Richards Arthur Rule (President) no longer on Schedule A of Sprott Asset Management Usa Inc. (listed 2020-10-09, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Anthony John Ciampaglia (Director) no longer on Schedule A of Sprott Asset Management Usa Inc. (listed 2020-10-09, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Marie Gretchen Carter (Chief Financial Officer) no longer on Schedule A of Sprott Asset Management Usa Inc. (listed 2018-04-02, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Jeffrey Howard (Director) appeared on Schedule A of Sprott Asset Management Usa Inc.Mar 28, 2019 · Control person joined · fact
- Kaur Varinder Bhathal (Chief Financial Officer) appeared on Schedule A of Sprott Asset Management Usa Inc.Mar 28, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Sprott Asset Management USA Inc. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- mferreira@sprott.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- wealthmanagement@sprott.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- cstrasser@sprott.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- gwilliams@sprott.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 416-943-8099reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-996-2244reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 416-943-4394reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- SPROTT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203-656-2400reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $460Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026