Puplava Financial Services Inc (San Diego)

Name: Puplava Financial Services Inc
Address: 10809 Thornmint Road, San Diego, CA, 92127
Telephone: 858-487-3939

Puplava Financial Services Inc is a large advisory firm based in San Diego. It manages $394.55 million of regulatory assets for 782 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Arizona, California, and 29 other states.

Puplava Financial Services provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Puplava Financial Services: assets under management

The assets under management (AUM) of Puplava Financial Services Inc is $394.55 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 688% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $394.55 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $504.54 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Puplava Financial Services Inc for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Puplava Financial Services Inc

The company employs 8 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

James Joseph Puplava has been acting as President since 1 Mar 1985. Abdiel Alan Valenzuela joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Joseph Puplava	President	1 Mar 1985	75% - 100%	736091
Scott Allen Middleton	Chief compliance officer	1 Jan 2001	Other	2167873
Sandra Ann Pappalardo	Chief compliance officer	1 Jan 2007	Other	1295983
Scott Allen Middleton	Chief compliance officer	1 May 2012	Other	2167873
Sandra Ann Pappalardo	Chief operating officer	1 Jun 2013	Other	1295983
James Joseph Puplava	Chief compliance officer	1 Jun 2015	75% - 100%	736091
Abdiel Alan Valenzuela	Chief compliance officer	1 Jul 2017	Other	1986132

Based in San Diego

The principal office where Puplava Financial Services Inc performs its advisory services is located at 10809 Thornmint Road, San Diego, CA 92127 The mailing address of the firm is Po Box 503147, San Diego, CA 92150 3147. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 858-487-3939 or by fax 858-487-3969. The normal business hours are 6:30am to 4:00pm on Monday - Friday. You can find more information about the New York firm at puplava.com/.