Premier Gold Global Wealth LLC (“PGGW” or the “Investment Adviser”) is an alternative asset
manager headquartered in London, United Kingdom. Founded in 2014, PGGW was established
with a vision to pursue investment opportunities globally. PGGW forges financial acumen,
independent analysis with hands-on operational expertise to deliver investment returns. PGGW
prides itself by taking an active approach to investing. PGGW’s investment strategies include a
broad range of various types of investments in global markets.
Premier Gold Holdings LP (the “Partnership”) The Partnership was formed to pool investment
funds of its investors to hold, own, invest in and trade equity or debt securities, interests,
participations and instruments of all kinds, or convertible securities, notes, interest-bearing or
interest rate sensitive marketable securities (including those issued or guaranteed by the United
States government or agencies or instrumentalities thereof), currency, dollars, American
Depository Receipts, exchange traded funds, publicly traded securities related to real estate,
foreign debt, equity and governmental instruments and obligations, indirect securities positions
and rights of beneficial interest or ownership of all kinds, whether or not divisible, options, futures,
participation agreements, swaps and other derivative agreements and forward contracts regarding
any of the foregoing or otherwise, or any securities, agreements, rights, obligations or instruments
that are assignable or are traded in channels of commerce (all of the foregoing sometimes referred
to herein as “Securities”); to sell Securities, as principal or agent, maintain custody of Securities
for itself or others, and to vote such Securities, solicit the voting of such Securities and to otherwise
engage in transactions in connection with mergers, consolidations, acquisitions, transfers of assets,
tender offers, exchange offers, recapitalizations, real estate investments, liquidations or other
similar transactions; and to engage in any and all types of investment and business activity as the
Investment Adviser shall determine from time to time to be in the best interests of the Partnership.
Managed Account Services PGGW offers portfolio management services based on the individual
goals, objectives, time horizon, and risk tolerance of each Client. PGGW requires discretionary
authority from Clients in order to select securities and execute transactions without permission
from the Client prior to each transaction. PGGW seeks to provide that investment decisions are
made in accordance with its fiduciary obligations owed to its Clients and without consideration of
PGGW’s economic, investment or other financial interests. To meet its fiduciary obligations,
PGGW attempts to avoid, among other things, investment or trading practices that systematically
advantage or disadvantage any Client portfolios. It is PGGW’s policy to allocate investment
opportunities and transactions it identifies as being appropriate and prudent among all of its Clients
on a fair and equitable basis over time.
Each Client is required to enter into an Investment PGGW Contract (“IAC”) with PGGW that
defines the terms, conditions, authority and responsibilities of PGGW and the Client. Client
authorizes PGGW to respond to inquiries from, communicate and share information with Client’s
accountants, attorneys, advisors and other consultants or professionals as deemed necessary by
PGGW to provide its services to Client and/or as requested by Client. No services other than those
discussed in the IAC, such as financial planning, are implied or guaranteed, except as individually
negotiated and confirmed in writing. PGGW is responsible only for the assets over which Client
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has provided PGGW discretionary authority and not for the diversification or prudent investment
of any other assets of Client.
PGGW acts as a fiduciary regarding its investment advisory services for each Client and must put
the Client’s interests above its own in managing a Client’s account. PGGW agrees to provide
these services to a Client in a manner consistent with its fiduciary duty to Clients and the provisions
of all applicable laws, including the Investment Advisers Act of 1940.
Before signing the IAC and periodically during the parties’ advisory relationship, PGGW will
provide Client written disclosures of any conflicts of interest that might reasonably compromise
PGGW’s impartiality or independence. PGGW represents and warrants that PGGW does not
receive compensation or other remuneration that is contingent on any client’s purchase or sale of
a financial product. PGGW does not receive a fee or other compensation from another party based
on the referral of a client or client’s business. PGGW may refrain from rendering any advice or
services concerning securities of companies in which PGGW may have substantial economic
interest or other conflict, unless PGGW discloses such conflict to Client before providing such
advice or services with respect to Client’s account. These services include the following:
• Establishing an Investment Policy Statement – PGGW, in connection with the Client,
will develop a statement that summarizes the Client’s investment goals and objectives
along with the strategy[ies] to be employed to meet the objectives. PGGW then creates
an Investment Policy Statement (“IPS”) for each Client. PGGW may invest Client’s
account in securities of any kind, including but not limited to, common or preferred
stock, warrants, rights, corporate, municipal or U.S. Treasury bonds or notes, and
mortgage-backed securities, so long as such investments are consistent with the
investment objectives set forth in the incorporated Statement of Investment Policy.
PGGW may hold all or a portion of Client’s account in cash.
• Risk tolerance levels are documented in the IPS, which is given to each Client. An IPS
generally includes specific information on the Client’s stated goals, time horizon for
achieving the goals, investment strategies, Client risk tolerance and any restrictions
imposed by the Client.
• Asset Allocation – PGGW will develop a strategic asset allocation that is targeted to
meet the Client’s investment objectives, time horizon, financial situation and risk
tolerance.
• Portfolio Construction – PGGW will construct a portfolio for the Client that is intended
to meet the stated goals and objectives of the Client.
• Investment Management and Supervision – PGGW will provide investment
management and ongoing oversight of the Client’s investment portfolio. PGGW will
monitor Client’s account on an ongoing basis and conduct periodic portfolio reviews
with Client. PGGW will generally be available to discuss Client’s account during
normal business hours and will contact Client periodically. PGGW will attempt to meet
with Client at least annually to discuss Client’s investment needs, goals and objectives.
PGGW will also review Client’s account performance and the continued suitability of
investments recommended by PGGW for Client at least quarterly.
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Clients may terminate the IAC at any time and immediately upon written notice to PGGW.