ACCOUNTS OFFERED
- Commission-based Standard Brokerage Account, and
- Fee-based Premier Asset Management Account
COMMISSION-BASED STANDARD BROKERAGE ACCOUNT (PSC)
- Initial investment minimum: $100,000
- Commission is typically 1% to 5% of the total trade (including transaction costs) and varies according to the cost and number of shares purchased
- Investment objectives include Preservation of Capital, Income, Growth with Income, Growth, and Aggressive Growth
- Portfolio holdings vary according to investment objective
- More information
FEE-BASED PREMIER ASSET MANAGEMENT ACCOUNT (PAM)
- Initial investment minimum: $200,000 or $250,000 based on chosen portfolio
- Account management fees vary from between 1.00% and 2.00% for various investment objectives and chosen portfolios
- Transaction costs charged in addition to management fees (contact us for a schedule of fees)
- No commissions are charged
- Jim Puplava has discretion over all trading
- More information
DIVERSIFED PAM PORTFOLIOS
- Initial investment minimum: $250,000
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Portfolio holdings may include—but are not limited to—Precious Metals, Oil and Gas, Alternative Fuel, Food, Agriculture, Water, Utilities, Infrastructure, Consumer Staples, Technology, Medical, and Pharmaceutical equities, among others. Allocations to sectors and sector selections are subject to change as we try to respond to current (or perceived future) market conditions.
Growth with Income Portfolio
- Initial investment minimum: $250,000
- Annual management fee of 1.00% advance-billed quarterly
- Moderate risk investment objective
- Holdings typically in large-cap stocks with a focus on dividend-paying stocks
- More information
Growth Portfolio
- Initial investment minimum: $250,000
- Annual management fee of 1.25% advance-billed quarterly
- Moderate to high risk investment objective
- Holdings typically in companies experiencing accelerating sales and earnings
- This portfolio is likely to contain "penny stocks," which involve unique risks
- More information
Aggressive Growth
- Initial investment minimum: $250,000
- Annual management fee of 1.50% advance-billed quarterly
- High risk investment objective
- Holdings typically in higher-risk companies experiencing accelerating sales and earnings
- This portfolio is likely to contain "penny stocks," which involve unique risks
- More information
SECTOR-SPECIFIC PAM PORTFOLIOS
- Initial investment minimum: $200,000
- Portfolio holdings focus on a specific sector
Energy Managed Account (EMA)
- Initial investment minimum $200,000
- Annual management fee of 1.50% advance-billed quarterly
- Extremely aggressive risk investment objective
- Holdings typically include an assortment of energy production, service, research, and infrastructure companies and other energy-related investment instruments. Company market capitalization may range from small to large.
- This portfolio is likely to contain "penny stocks," which involve unique risks.
- This portfolio is suitable for sophisticated investors with significant net worth.
- More information
Precious Metals Managed Account
- Initial investment minimum $200,000
- Annual management fee of 2.00% advance-billed quarterly
- Extremely aggressive risk investment objective
- Holdings typically in junior exploration, development and producer companies with a lesser portion of mid-tier and large producers, as well as other precious metals-related investment instruments.
- This portfolio is likely to contain "penny stocks," which involve unique risks.
- This portfolio is suitable for sophisticated investors with significant net worth.
- More information
ACCOUNT DETAILS
PORTFOLIO TURNOVER
Portfolio turnover is directly linked to market conditions. Difficult market conditions may result in a higher number of trades; smooth market conditions may result in fewer trades. Due to our investment philosophy, we typically tend to hold positions for the intermediate to long-term, although there are occasional short-term trades. However, for accounts over which we have discretion, we reserve the right to pull out of the markets and hold a partial or full cash position, should we feel market conditions warrant such a move. Similarly, we may hold positions we consider to be “core positions” to the portfolio regardless of market conditions.
REPORTING
We keep our transactions in your portfolio as transparent as possible. As a client, you will be kept up-to-date on your investments via:
- Online access to your account holdings, monthly statements, trade confirmations, tax documentation, and select Fidelity research through our clearing firm’s (National Financial Services, LLC) client website, www.myStreetscape.com.
- Monthly statements and confirmations of trades mailed to you by our clearing firm.
- Our weekly client-only “In the Know” newsletter. (Clients with discretionary accounts not only receive information when a buy, sell, or wait is decided, but also an explanation of the why behind the trading decision as well. However, in specialty accounts, such as the Precious Metals Managed Account or the Energy Managed Account, trading coverage is limited.)
- Semi-annual performance updates for fee-based PAM accounts only.
- Staff accessibility for questions about your investments.
INVESTMENT CLASSES
Puplava Securities, Inc. primarily transacts business in stocks, bonds, cash instruments and (occasionally) options, although other investment products may be considered to be appropriate investment vehicles under specific situations.
CLEARING SERVICES
Puplava Securities utilizes the clearing and custodial services of National Financial Services LLC (NFS), member NYSE/SIPC, a Fidelity Investments Company. Please note that National Financial Services LLC and its affiliates may charge annual fees or interest to act as custodian/trustee/provider of certain types of accounts, such as Keogh, IRA, margin, or check writing/credit card accounts.
CONTACT US
If you are interested in opening an account, please complete our Contact Form or call us directly at (888) 486-3939 or (858) 487-3939.
