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| Happy Holidays!! thanks for using AUM13F!! |
| Sprott Asset Management USA Inc
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| CRD # | 139022 |
| SEC # | 801-66131 |
| CIK # | 0001277006, 0001728686 |
| AUM | $4.6 B (2025-06-02) |
| Employees | 59 (51% Investors, 54% Brokers) |
| Phone | 203-656-2400 |
| Address | 320 Post Road Darien, CT 06820 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($B) |
|---|
| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| HF | Sprott Physical Commodities Fund LP | [2024-03-26] | 13.0 | 30.5 |
| HF | Resource Exploration and Development Private Placement QP LP | [2022-10-10] | 13.6 | 31.7 |
| HF | Sprott Critical Materials Fund LP | [2022-10-10] | 10.0 | 9.6 |
| HF | Resource Exploration and Development Private Placement LP | [2022-03-31] | 38.2 | 22.0 |
| HF | Drill Driven Alpha Fund LP | [2020-03-30] | 11.4 | 53.4 |
| HF | Sprott Hathaway Special Situations Fund LP | [2019-03-28] | 62.3 | 74.9 |
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 2,266 | 0.4 |
| (b) Individuals (high net worth individuals) | 129 | 0.6 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 11 | 3.2 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 5 | 0.2 |
| (g) Pension and profit sharing plans | 43 | 0.0 |
| (h) Charitable organizations | 3 | 0.1 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 156 | 0.1 |
| (n) Other | 0 | 0.0 |
| Total | 2,613 | 4.6 |
| By Discretionary | ||
| Discretionary | 1,904 | 4.2 |
| Non-Discretionary | 709 | 0.4 |
| Total | 2,613 | 4.6 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 4.6 | |
| Total | 2,613 | 4.6 |
| Form D Directors | # Filings | # Firms | 2011 - 2025 |
|---|---|---|---|
| Varinder Bhathal | 13 | ||
| Thomas Ulrich | 5 | ||
| Brandon Hamada | 3 | ||
| Sprott US GenPar LLC | 8 | ||
| Eric Angeli | 4 | ||
| Sprott Asset Management USA Inc | 3 | ||
| Neil Adshead | 3 | ||
| Samay Bhachech | 2 | ||
| Momina Walli | 2 |
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MA | 3.9 |
|
East Rock Capital LLC
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NY | 3.9 |