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320 Post Road Suite 230, Darien, CT 06820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-05-15 |
| CT | RA | APPROVED | 2024-08-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sprott Global Resource Investments Ltd | Carlsbad | CA | 05/2018 | 04/2023 |
| Rd Capital Us, Llc | San Diego | CA | 09/2017 | Present |
| Hill Top Security Inc | Herndon | VA | 07/2017 | 09/2017 |
| Tsang & Associates | Artesia | CA | 06/2016 | 09/2016 |
| Biola University | La Mirada | CA | 08/2013 | 05/2017 |
| Sprott Global Resource Investments Ltd | Darien | CT | 05/2023 | Present |
| Sprott Asset Management Usa, Inc. | Darien | CT | 02/2019 | Present |
SPROTT ASSET MANAGEMENT USA INC.; INVESTMENT RELATED, WHOLLY OWNED SUBSIDIARY OF SPROTT U.S. HOLDINGS, INC.; 1910 PALOMAR AIRPORT WAY, SUITE 200, CARLSBAD, CA 92008; SEC REGISTERED INVESTMENT ADVISOR; EFFECTIVE FEB 2019; AROUND 20-25 HOURS DEVOTED MONTHLY; HOURS DEVOTED FLUCTUATE DURING TRADING HOURS AS NEEDED; STRATEGIC PLANNING AND EXECUTION OF ADVISORY SERVICES. RD CAPITAL US LLC; NOT INVESTMENT RELATED, 144 N HOTEL CIRCLE STE 120, SAN DIEGO, CA 92108; HOLDING COMPANY, NO ACTIVE BUSINESS DEALINGS, ADMINISTRATIVE ROLE, EFFECTIVE 9/2017, AVERAGE HOURS/MONTH - 10; NO BUSINESS CONDUCTED DURING TRADING HOURS, CLIENTS NOT INVOLVED IN OBA, FILES WITH STATE REGISTRAR, ENSURES TAXES ARE PAID, ACTS AS AGENT OF PROCESS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-02-01 |
| S63 | Uniform Securities Agent State Law Examination | 2018-09-28 |
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