Thomas Wayne Ulrich

Current Employers

Employment History

• 10/2012 → Present
  Sprott Global Resource Investments Ltd
  Carlsbad, CA
• 10/2012 → Present
  Sprott Asset Management Usa
  Carlsbad, CA
• 05/2013 → Present
  Resource Capital Investment Corporation
  Carlsbad, CA

Previous Registrations

• 2012-04-12 → 2012-10-05
  Altegris Advisors, Llc
  San Juan Capistrano, CA
• 2010-06-02 → 2011-07-11
  Geneva Advisors, Llc
  Chicago, IL
• 2005-04-06 → 2010-06-02
  Geneva Advisors, Llc
  Chicago, IL
• 2004-07-20 → 2005-03-17
  Inview Investments
  Chicago, IL

Other Businesses

SPROTT ASSET MANAGEMENT USA INC.; 320 POST ROAD, SUITE 230, DARIEN, CT., GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER AND DIRECTOR OF SEC REGISTERED INVESTMENT ADVISER AND NFA MEMBER; INVESTMENT RELATED BEGINNING OCT 2012 AND DEVOTE APPROXIMATELY 10 OR MORE HOURS WEEKLY AS BOTH CCO AND GENERAL COUNSEL FOCUSING ON RIA COMPLIANCE. CORPORATE SECRETARY BEGINNING 1/2016, PREPARING MINUTE BOOKS, BOARD RESOLUTIONS; 1-2 HOURS ANNUALLY DURING TRADING HOURS. RESOURCE CAPITAL INVESTMENT PARTNERS 1910 PALOMAR POINT WAY, SUITE 200, CARLSBAD, CA, GENERAL COUNSEL, PRESIDENT, DIRECTOR AND CHIEF COMPLIANCE OFFICER OF SEC REGISTERED INVESTMENT ADVISER, INVESTMENT RELATED, BEGINNING JUNE 2013, DEVOTE APPROXIMATELY 10 OR MORE HOURS WEEKLY FOCUSING ON RIA COMPLIANCE. CORPORATE SECRETARY BEGINNING 1/2016, PREPARING MINUTE BOOKS, BOARD RESOLUTIONS; 1-2 HOURS ANNUALLY DURING TRADING HOURS. SPROTT FOCUS TRUST, INC.; 1910 PALOMAR POINT WAY STE 200, CARLSBAD CA 92008; START DATE: 3/6/2015; INVESTMENT RELATED; PRESIDENT (AS OF JUNE 2017), CHIEF COMPLIANCE OFFICER AND SECRETARY OF THE FUND BOARD; DUTIES: CCO OF CLOSED END FUND, OVERSIGHT, COMPLIANCE REVIEW AND ADMIN WORK FOR FUND BOARD; 5 HOURS PER MONTH DURING TRADING HOURS. SPROTT FUNDS TRUST; 1910 PALOMAR POINT WAY STE 200, CARLSBAD CA 92008; START DATE: 2018; INVESTMENT RELATED; PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY OF THE TRUST; PRESIDENT OF THE TRUST BEGINNING JUNE 2023: CCO OF THE ETF SUITE AND OPEN END MUTUAL FUND, OVERSIGHT, COMPLIANCE REVIEW AND ADMIN WORK FOR FUND BOARD; 5 HOURS PER MONTH DURING TRADING HOURS. SPROTT U.S. HOLDING INC., 1910 PALOMAR POINT WAY 200, CARLSBAD CA 92008; CORPORATE SECRETARY, GENERAL COUNSEL AND DIRECTOR; BEGINNING 1/1/2016; NON-INVESTMENT RELATED: ACT AS CORPORATE SECRETARY FOR HOLDING COMPANY; 1-2 HOURS ANNUALLY DURING TRADING HOURS. SGRIL HOLDING INC., 1910 PALOMAR POINT WAY 200, CARLSBAD CA 92008; CORPORATE SECRETARY, GENERAL COUNSEL AND DIRECTOR; BEGINNING 1/1/2016; NON-INVESTMENT RELATED; DUTIES: BOARD MEETINGS, BOARD RESOLUTIONS, 1-2 HOURS ANNUALLY DURING TRADING HOURS. SELF EMPLOYED, 72 WITCH LANE, NORWALK, CT, OWNER AND MANAGER OF RENTAL PROPERTY IN CALIFORNIA AND ILLINOIS BEGINNING 12/1/2017, NON-INVESTMENT RELATED, DEVOTE 3 HOURS A MONTH NOT DURING TRADING HOURS. SPROTT PRIVATE RESOURCE LENDING CORP., 200 BAY STREET, STE 2600, TORONTO ONTARIO, CANADA; BEGINNING 12/1/2018; NON-INVESTMENT RELATED DUTIES: OFFICER AND DIRECTOR FOR VARIOUS TAX BLOCKER ENTITIES SO AS TO OPTIMIZE U.S. AND CANADIAN TAX LAWS, DEVOTE 1 HOUR A QUARTER DURING TRADING HOURS. SPROTT PRIVATE RESOURCE STREAMING AND ROYALTY CORP., 200 BAY STREET, STE 2600, TORONTO ONTARIO, CANADA; BEGINNING 12/1/2020; NON-INVESTMENT RELATED DUTIES: OFFICER AND DIRECTOR FOR VARIOUS TAX BLOCKER ENTITIES SO AS TO OPTIMIZE U.S. AND CANADIAN TAX LAWS, DEVOTE 1 HOUR A QUARTER DURING TRADING HOURS.

Exams

• S63 Uniform Securities Agent State Law Examination
  2008-12-19
• S65 Uniform Investment Adviser Law Examination
  1999-04-28