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SPROTT ASSET MANAGEMENT USA INC.
CRD 139022File 801-66131
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 30, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$10.12B
Top 10% of cohort (national)
Discretionary AUM
$8.70B
Non-discretionary $1.41B
Clients
3,362
3,362 accounts
Employees
64
Top 25% of cohort in CT
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Feb 1, 2006
- Principal office
- 320 POST ROAD, SUITE 230, DARIEN, CT, 06820
- Phone
- 203-656-2400
- Website
- HTTP://WWW.SPROTT.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $10.12B
- Discretionary AUM
- $8.70B
- Non-discretionary AUM
- $1.41B
- Discretionary accounts
- 2,012
- Non-discretionary accounts
- 1,350
- Total accounts
- 3,362
- AUM per client
- $3.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 184 | $326.1M |
| Investment companies | 14 | $6.53B |
| Charitable organizations | 5 | $125.3M |
| High net worth individuals | 1,062 | $2.24B |
| Pooled investment vehicles | 4 | $377.5M |
| Pension and profit sharing plans | 54 | $89.7M |
| Individuals (other than high net worth individuals) | 2,039 | $423.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11H2
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.