Unclaimed Profile

Thomas Wayne Ulrich

SPROTT ASSET MANAGEMENT USA INC.·DARIEN, Connecticut

SIE, Series 3, Series 7, Series 14, Series 24, Series 63, Series 65, Series 79TO, Series 99TOClean record22 years registeredSPROTT ASSET MANAGEMENT USA INC.

320 POST ROAD, DARIEN, CT 06820CRD# 3071768Firm CRD# 139022

Profile Verification

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

Identity

Thomas Wayne Ulrich · DARIEN, CT

Registration

CRD #3071768 · SPROTT ASSET MANAGEMENT USA INC. · 22 years registered

Brand Profile

Not yet started

Career History

RESOURCE CAPITAL INVESTMENT CORPORATION

Aug 2013 – present

SPROTT ASSET MANAGEMENT USA INC.

Oct 2012 – present

ALTEGRIS ADVISORS, LLC

Apr 2012 – Oct 2012

LA JOLLA, CA

GENEVA INVESTMENT MANAGEMENT OF CHICAGO, LLC

Jun 2010 – Jul 2011

CHICAGO, IL

GENEVA INVESTMENT MANAGEMENT OF CHICAGO, LLC

Apr 2005 – Jun 2010

CHICAGO, IL

INVIEW INVESTMENT MANAGEMENT, LLC

Jul 2004 – Mar 2005

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 14

Series 24

Series 63

Series 65

Series 79TO

Series 99TO

Registration record

First registered · July 20, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

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 Thomas Wayne Ulrich offer?

Thomas Wayne Ulrich specializes in Investment Management, Retirement Planning, Wealth Management. Contact their office in DARIEN, Connecticut for a consultation.

What are Thomas Wayne Ulrich's credentials?

Thomas Wayne Ulrich is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas Wayne Ulrich located?

Thomas Wayne Ulrich is based in DARIEN, Connecticut, working with SPROTT ASSET MANAGEMENT USA INC.. Their office serves clients in the DARIEN metropolitan area and surrounding communities.

How does Thomas Wayne Ulrich charge for services?

Thomas Wayne Ulrich'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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