Data / Investment advisers / Connecticut / Sprott Asset Management USA Inc.
Sprott Asset Management USA Inc., Darien, CT: $10.1 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Sprott Asset Management USA Inc. is an SEC registered investment adviser with its main office in Darien, Connecticut and reports $10.1 billion in regulatory assets under management in its Form ADV filed March 30, 2026. Its clients include investment companies, high net worth individuals and individuals. It is paid through a percentage of assets under management and performance based fees. It advises 4 private funds.
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- Registration
- SEC registered investment adviser
- CRD number
- 139022
- SEC file number
- 801-66131
- SEC status
- Approved, effective February 1, 2006
- Main office
- 320 Post Road Suite 230, Darien, CT 06820
- Phone
- (203) 656-2400
- Website
- sprott.com
- Regulatory AUM
- $10,116,747,344 in the Form ADV filed March 30, 2026
- Discretionary AUM
- $8,701,981,949
- Non discretionary AUM
- $1,414,765,395
- Accounts
- 3,362
- Employees
- 64, of which 35 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, performance based fees
- Private funds
- 4: 4 hedge funds
- Gross assets of private funds
- $377,482,701
- Other offices
- 4
- Form ADV Item 11 disclosures
- Reported: civil court actions
- Latest Form ADV filing
- March 30, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 14 | $6.53 billion |
| High net worth individuals | 1,062 | $2.24 billion |
| Individuals (other than high net worth individuals) | 2,039 | $423.5 million |
| Pooled investment vehicles | 4 | $377.5 million |
| Corporations or other businesses | 184 | $326.1 million |
| Charitable organizations | 5 | $125.3 million |
| Pension and profit sharing plans | 54 | $89.7 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $10.12 billion | March 30, 2026 |
| December 1, 2025 | $4.64 billion | June 2, 2025 |
Other advisers in Darien
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Portfolio Advisors LLC | Darien | $47.84 billion | 92 | adviserinfo.sec.gov |
| Westport Capital Partners LLC | Darien | $8.92 billion | 33 | adviserinfo.sec.gov |
| Carronade Capital Management, LP | Darien | $4.82 billion | 2 | adviserinfo.sec.gov |
| Beirne. | Darien | $2.26 billion | Not listed | adviserinfo.sec.gov |
| Activant Capital Group LLC | Darien | $1.61 billion | 19 | adviserinfo.sec.gov |
| Private Capital Advisors, Inc. | Darien | $1.28 billion | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Darien, CT
- Investment advisers in Connecticut
- Advisers with $10 billion to $100 billion in AUM
- Advisers serving investment companies
- Advisers serving high net worth individuals
- Advisers that manage private funds
- Sprott Asset Management USA Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.