Creating custom wealth strategies for the C-suite

Guiding you, we help ensure your personal portfolio receives the same high level of dedication and thought that you give your career. With our efficient, consultative process and tailored strategies for your specific circumstances, we provide solutions for nuanced and high level needs, from diversifying concentrated stock positions to creating strategies designed to protect your family and your legacy.

We provide personalized guidance on a breadth of important planning and investing issues – freeing you to focus on what matters most to you.

Raymond James does not provide tax or accounting services. You should discuss any tax matters with the appropriate professional.

Financial planning

Succeeding in business means you know what it takes to get things done and know the value of sticking to a well-thought-out plan. As your financial partner, we offer these same qualities when it comes to creating and helping manage your financial future.

We understand the nuances of the financial services industry as well as you know your business. From handling equity-based compensation and creating liquidity to hedging and diversifying assets, we can create strategies based on your needs now and in the future. We’re here to take you and your financial future to the next level – serving as your trusted partner to help manage your investments, and mitigate your tax burden, while addressing key issues such as education and estate planning, generational wealth transfer and charitable giving.

Risk management and diversification

For executives with stock options and restricted stock, creating a balanced portfolio takes persistence and expertise. Our thorough analysis helps you navigate decisions about asset allocation and diversification quickly to save valuable time. We also offer investment alternatives, which can help mitigate undue portfolio risk.

Our expertise extends to all types of executive transactions, equity-based compensation, company trading policies, and regulatory requirements that impact transactions in company stock. We help with stock option planning, cashless stock option exercises, rule 144 executions, 10b5-1 sales plans and hedging and monetization for concentrated equity positions.

Diversification and asset allocation do not ensure a profit or protect against a loss.

Investment banking capabilities

In addition to our own experience and financial knowledge, as a Raymond James client you have access to all the resources of one of the country’s leading financial services firms. This includes investment banking, where Raymond James is one of the most highly regarded middle-market equity offering and advisory practices in the industry. Comprised of more than 500 capital markets professionals, the investment banking team provides all the services of a full-service investment bank with national and international capabilities. Through this team, we can assist with investment banking solutions such as share repurchase programs, corporate cash management, executive benefit platforms and retirement programs.

Diversification and asset allocation do not ensure a profit or protect against a loss.

Retirement planning

Making sure your money supports your lifestyle once you’ve stepped away from the pressures of executive leadership is a top priority. Generating dependable income from your investments takes a thoughtful approach, one that factors in taxes and the effects of inflation and uses strategies to mitigate risk. We persistently monitor your portfolio and manage your overall risks as you near retirement to keep your financial matters in order and under control.

Protecting your legacy

Safeguarding your loved ones for the long term is important, and with a comprehensive estate plan in place you can make this a reality. We work with your tax and legal advisors to create or update your estate plan documents and ensure beneficiary information lines up with your wishes. Through periodic reviews of your assets and accounts, we ensure your plan remains in step with your life.