General Counsel & Chief Compliance Officer · Sprott Asset Management USA Inc.
Thomas W. Ulrich
CRD 3071768 · Named on Form ADV at 2 SEC-registered advisers
At a glance
Sprott Asset Management USA Inc., an SEC-registered asset manager based in Darien, CT with $10.1 billion in regulatory assets, lists Thomas W. Ulrich on its Form ADV as General Counsel & Chief Compliance Officer, a control person. The SEC filings also name Thomas at 1 other registered adviser.
Firms and roles
- Sprott Asset Management USA Inc.General Counsel & Chief Compliance OfficerAsset manager · Darien, CT · $10B in regulatory assets
- Resource Capital Investment CorporationPresident, Secretary, Chief Compliance Officer and DirectorPrivate fund adviser · Carlsbad, CA · $3.7B in regulatory assets
AtlasMembers
Thomas’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- 2 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Robert V. VillaflorManaging Partner - Sprott Wealth Management, Sprott Asset Management USA Inc.
- Varinder K. BhathalChief Financial Officer, Sprott Asset Management USA Inc.
- William W. GeorgePresident, Chief Executive Officer & Director, Sprott Asset Management USA Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Thomas’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.