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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 Oct 1, 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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 59 | 64 | increased by5 |
| Apr 1, 2026 | Clients | 2,613 | 3,362 | increased by749 |
| Apr 1, 2026 | AUM | $4,636,738,041 | $10,116,747,344 | increased by$5,480,009,303 |
| Apr 1, 2026 | Accounts | 2,613 | 3,362 | increased by749 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 45 | 59 | increased by14 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 2,537 | 2,613 | increased by76 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,030,845,889 | $4,636,738,041 | increased by$3,605,892,152 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,535 | 2,613 | increased by78 |
| Apr 1, 2022 | Employees | 38 | 45 | increased by7 |
| Apr 1, 2022 | Clients | 1,733 | 2,537 | increased by804 |
| Apr 1, 2022 | AUM | $754,552,879 | $1,030,845,889 | increased by$276,293,010 |
| Apr 1, 2022 | Accounts | 1,942 | 2,535 | increased by593 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SPROTT ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SPROTT ASSET” may also match similarly-named firms). Confirm identity against each filing.
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.