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Thomas Wayne Ulrich

Sprott Asset Management USA Inc.

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About Thomas Wayne Ulrich

Thomas Wayne Ulrich is a financial advisor with over 18 years of experience in the financial industry. Thomas is a registered representative with Sprott Asset Management USA Inc. and Resource Capital Investment Corp. Thomas is a licensed advisor in California, Connecticut and New York. Thomas's expertise is in portfolio management for businesses, individuals, investment companies and pooled investment vehicles.

Firm Information

Thomas Ulrich is currently registered with Sprott Asset Management USA Inc.. Sprott Asset Management USA Inc. is an investment adviser registered with the SEC and located in Darien, CT. The firm manages approximately $1 billion to $10 billion in assets and provides portfolio management services to individuals, businesses, pooled investment vehicles, and investment companies. They specialize in managing assets for clients in the following categories: high-net-worth individuals, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, and investment companies. The firm's regulatory assets under management are $4.6 billion.
Sprott Asset Management USA Inc.

320 POST ROAD

DARIEN, CT 06820

$4.60B

Assets Under Management

Not reported

Total Clients

20

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Thomas Ulrich’s Registration & Firm History

CT

03/06/2023 - Present

Sprott Asset Management USA Inc. (DARIEN CT)

CA

07/18/2011 - 10/05/2012

ALTEGRIS INVESTMENTS, INC. (LA JOLLA CA)

IL

12/04/2008 - 07/11/2011

GNV ADVISORS, LLC (CHICAGO IL)

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Licenses & Designations

BC

Issued 12/19/2008

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 04/28/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 03/06/2009

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/30/2011

Series 3 - National Commodity Futures Examination

BC

Issued 12/03/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Wayne Ulrich.
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