Robust capabilities to
support corporate clients

Corporate Wealth Management Topics

We offer the services to help corporate executives grow, attract and retain good people and compensate key employees, including yourself.

A well-constructed corporate retirement plan is an ideal way for businesses to attract and retain quality employees, as well as help owners plan and save for their own futures. We can help you establish, manage and run the plan that is right for you and your company. We’ll also help you understand and address your fiduciary responsibilities as a plan sponsor, and help educate your plan participants about the benefits and procedures. We are familiar with a wide range of qualified retirement plans and nonqualified deferred compensation plans.

We currently manage 401(k) plans and defined benefit pension plans from $1 million to over $40 million. We have no proprietary 401(k) product. Rather, we offer and have broad experience with dozens of independent platforms including American Funds, Fidelity, Great West, Hancock, ING, Mass Mutual, Nationwide, Principal, Securian, Transamerica and Vanguard. We coordinate the following plan functions:
  • Fee transparency and full disclosure under ERISA
  • Regular employee education and enrollment meetings
  • Assisting third party administrator (TPA) with plan design, installation and implementation
  • Ongoing monitoring of investments, expenses and legislative issues
  • Traditional open architecture and/or guaranteed retirement income programs
  • Working on either a commission or fee basis (RIA)
  • Four dedicated licensed advisors to serve your employees

Our mission is to get retirees prepared for retirement, and to position them – and their finances – to carry them through retirement.

As a fiduciary, you seek to continue the success of your business while fostering a professional culture that both attracts and retains quality employees. Selecting and implementing the right retirement plan can go a long way in helping you achieve those objectives. Our team extends the capabilities and bandwidth of your management team to administer and manage retirement plans that support the needs of both your institution and workforce.

Whether you’re in search of a new sponsor or need assistance reviewing your current plan, our advisors offer comprehensive guidance, conducting thorough vendor searches, monitoring plans and providing quality support, as well as independent investment consulting. We have extensive experience working with providers, and seek to both maximize tax efficiency for your business, as well as participants’ benefits.

As your business evolves, we provide flexible support where it’s needed. We understand the complexities of managing a business, and staying abreast of regulations and the latest investment trends. We take our role seriously as an extension of your own team, so you can devote your focus where it’s needed most.

We offer guidance and support in the following areas:
  • Provider search, analysis and selection
  • Fee and service analysis and negotiation
  • Documentation and record management
  • Leadership training
  • Employee education

Often, the very asset that helped create significant wealth is the one that poses the biggest risk to future financial security. We can help manage highly concentrated positions as a result of the sale of a closely held business for shares of a publicly traded company, stock and option incentives from an employer, a large inheritance comprised of a significant position in a single security or long-term fundamental investing.

By selling your restricted securities you can begin enjoying the fruits of your labor. We’re thoroughly familiar with restricted securities rules and can offer experience and expertise to assist in the selling and margining of your restricted or control securities.

We help you through the paperwork that may slow down the transaction process. Regulations may seem overwhelming and complicated at first, but with the help of our experts the transaction can be completed smoothly and in a timely manner. Then, after your assets are free, we have a myriad of services you can utilize such as retirement planning, trust services, estate and tax planning, asset allocation and a variety of asset managers, plus much more. It’s part of our service to help you create a comprehensive financial plan once we have completed the restricted or control securities transaction for you.

Your firm has recognized the contributions you have made to its performance and success by granting you options to purchase company stock. Representing more than your company’s respect for you as a valued employee, stock options can help you develop a meaningful investment portfolio quickly ... often with substantial gain.

That is why the decisions you make regarding your stock options – such as timing the exercise, how to complete the transaction and choosing to hold or sell the acquired shares – should be considered carefully. And since each decision can significantly affect your long-term financial situation, we are here to guide you. We can provide advice designed to help you maximize the benefit of your options, simplify the process by collaborating with stock option experts, and provide choices to exercise your stock options that include purchasing the options using your own cash, initiating a cashless option exercise, cashless alternatives or stock swapping. No matter what choice is best for you, we help make the final decision based on your overall financial picture and tax implications.

Highly sought company benefits such as retirement plans, flex-savings plans, and group health plans and voluntary insurance plans are a good way for you to attract and retain quality employees, help you plan and save for your own future and even save money by reducing your company’s payroll taxes and taxable income. We have the knowledge and expertise to navigate the countless choices of plans, and help handle the many responsibilities that come with running them.

Companies can purchase shares in their stock under the Rule 10b-18 safe harbor. This strategy is often used to create earnings accretion, offset dilution from equity compensation awards, or serve as another means for returning capital to shareholders. Raymond James executes share repurchases for companies spanning the market capitalization and liquidity spectrum. Repurchases can be done tactically while in open trading windows or through a predetermined formula through a 10b5-1 plan.

Our team is available to assist with the sale of large blocks of stock for company insiders or other shareholders. Raymond James’ access to dark pools, algorithms and electronic trading systems allows our team to source a variety of liquidity pools. In addition, our institutional intelligence systems quickly determine which institutional accounts have indicated a recent interest to buy, sell or hold a stock at any given time.

Structured products are becoming increasingly attractive; they can complement a well-diversified portfolio by potentially providing efficient market exposure. When aligned with investor goals, we strive to construct and deliver products capable of meeting defined objectives, which may include risk reduction, return enhancement and market access.

If you’re a business owner or executive looking to explore new arrangements for your company, we can help guide you with comprehensive investment banking services including:

Public Offerings – Leveraging the expertise of our investment bankers to develop a focused plan of action to achieve financial rewards, then providing services for equity offerings as a principal way to raise funds while attracting new investors.

Mergers and Acquisitions – Helping companies identify strategic merger and acquisition opportunities and execute related transactions.

Restructuring – Building flexible teams of restructuring specialists and industry experts to assist companies facing challenging financial changes.

In addition, we can help you address issues such as acquisitions or buyouts, additional equity capital and the real market value of your company.

We can provide access to Raymond James’ merchant banking subsidiary, Raymond James Capital – the private equity and merchant banking subsidiary of Raymond James Financial, Inc. Our relationship with Raymond James Financial allows flexibility in deploying capital and brings the advantage of access to a broad range of services from a leading global financial institution to portfolio companies.

*Margin or a Securities Based Line of Credit may not be suitable for all clients. The proceeds from a Securities Based Line of Credit cannot be used to purchase or carry margin securities. Borrowing on securities based lending products and using securities as collateral may involve a high degree of risk. Market conditions can magnify any potential for loss. If the market turns against the client, he or she may be required to deposit additional securities and/or cash in the account(s) or pay down the loan. The securities in the pledged account(s) may be sold to meet the margin call, and the firm can sell the client’s securities without contacting them. The interest rates charged for a Securities Based Line of Credit are determined by the market value of pledged assets and the net value of the client’s Capital Access account. The interest rates charged for Margin are determined by the amount borrowed. For additional information on margin, visit http://sec.gov/investor/pubs/margin.htm.

No matter where a business stands in its lifecycle, our results-driven team stands ready to help you move it forward – with deep industry expertise driven by senior bankers. Behind our full-service investment banking capabilities are hundreds of specialized experts in strategically located offices throughout the U.S., Canada and Europe within nine growth-oriented industry practices to serve you.

In addition to introducing you to experienced industry bankers and advisory and capital markets services, we can connect you to the specific support and resources you need for continued success.

Full-Service Expertise

You can expect strength and support from one of the largest diversified financial services firms with market-leading investment banking. With a personal approach and international access, we bring together strategic solutions from industry renowned teams who provide proficiency and quality service to those who matter most – clients like you.

  • Mergers and acquisitions
  • European advisory
  • Public offerings
  • Private placements
  • Debt origination
  • Restructuring
Industries of Focus

Our deals speak for themselves. In the past few years, they’ve been respected and recognized as highly specialized in their industries. This thoughtful and deep approach has helped us become the number one full-service investment banking firm in the U.S. catering to middle-market growth companies.

  • Consumer & retail
  • Energy
  • Financial services
  • Health care
  • Industrials
  • Real estate
  • Security, defense & government services
  • Technology & services
  • Transport & infrastructure
Coverage Areas

With high-level attention on every transaction, we consistently provide you with compelling ideas, investment opportunities and creative solutions through industry insight, execution expertise and dedication to the middle market.

      Financial sponsor coverage - Private equity and venture capital firms, family offices and pension funds turn to us to deliver the full benefits of the Alex. Brown platform. Look to our team for high-quality deal flow and an unwavering focus.
      Professional partners - Our partnerships go far beyond the deal, since strong relationships form the foundation of our team.

We focus on cultivating business opportunities through strong ties with attorneys, accountants and consultants, providing each partner with investment banking advice designed for their clients’ long-term success. Our coverage universe includes law, accounting and financial consulting firms.

Please note: changes in tax laws or regulations may occur at any time and as financial advisors of Raymond James, we do not render advice on tax or legal matters. You should discuss any tax or legal matters with the appropriate professional.


You want your money to work as hard as you do, and you deserve a team who can help make sure it does.

Green Wealth Management Group