Unclaimed Profile

Arthur Richards Rule

SPROTT ASSET MANAGEMENT USA INC.·CARLSBAD, California

SIE, Series 7, Series 24, Series 63, Series 66, Series 79TO23 years registeredSPROTT ASSET MANAGEMENT USA INC.

1910 PALOMAR POINT WAY, CARLSBAD, CA 92008CRD# 1441130Firm CRD# 139022

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Arthur Richards Rule · CARLSBAD, CA

Registration

CRD #1441130 · SPROTT ASSET MANAGEMENT USA INC. · 23 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SPROTT ASSET MANAGEMENT USA INC.

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RULE ADVISORS, LLC

May 2021 – Dec 2022

ANACORTES, WA

RESOURCE CAPITAL INVESTMENT CORPORATION

Aug 2013 – Mar 2021

CARLSBAD, CA

SPROTT ASSET MANAGEMENT USA INC.

Feb 2006 – Mar 2021

CARLSBAD, CA

RESOURCE CAPITAL INVESTMENT CORPORATION

Oct 2002 – Jul 2003

LAS VEGAS, NV

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 66

Series 79TO

Registration record

First registered · October 31, 2002

Years registered · 23

Disclosure History

2005Customer Dispute·Settled

1998Customer Dispute·Settled

1989Regulatory·Final

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SPROTT ASSET MANAGEMENT USA INC.

CRD 139022 · SEC 801-66131

AUM

$4.6B

Regulatory assets under management

Employees

2,678 client accounts

Services offered by SPROTT ASSET MANAGEMENT USA INC.

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

Pension & Retirement Plans

View all advisors at SPROTT ASSET MANAGEMENT USA INC. →

Introduction

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Frequently Asked Questions

What services does Arthur Richards Rule offer?

Arthur Richards Rule specializes in Investment Management, Retirement Planning, Wealth Management.

What are Arthur Richards Rule's credentials?

Arthur Richards Rule is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Arthur Richards Rule located?

Arthur Richards Rule is based in CARLSBAD, California, last registered with SPROTT ASSET MANAGEMENT USA INC..

How does Arthur Richards Rule charge for services?

Arthur Richards Rule's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SPROTT ASSET MANAGEMENT USA INC.?

SPROTT ASSET MANAGEMENT USA INC. has approximately 57 employees and manages $4.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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