FOR PROFESSIONALS, a strong financial partnership

As a business professional or executive, you spend your time and energy between the office and home, with little to spare. You know your personal portfolio deserves that same level of dedication and high-level thought, and with us as your partner, you can be confident that we are working proactively on your behalf.

We respect the value of your time, and we’re willing to go the extra mile in our service. For example, we provide thorough executive summaries of our meetings, and we’re happy to make as many calls as are needed to follow up with tax advisors, charitable organizations, or corporate benefit teams.

We understand the challenges you face, such as finding solutions for concentrated stock positions and strategies to protect your family and your legacy. 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 offer personalized guidance on these important issues and more – freeing you to focus on what matters most.

Our services include:

  • Executive Transactions
  • ESOPs
  • Cashless Stock Option Exercises
  • Rule 144 Executions
  • 10b5-1 Sales Plans
  • Hedging and Monetization for Concentrated Equity Positions
  • Personalized Wealth & Investment Management for Corporate Executives
  • Banking & Lending Solutions*
  • Risk Management

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER,  CFP Logo Flame Design and  CFP Logo Plaque Design in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.

An example of how we can help

Gary and Nancy were in their 40s and living busier lives than ever as their kids came into adolescence. Gary was excelling at his job in the finance industry and received several promotions. The couple’s portfolio had some solid positions in it, but also had significant concentration issues from Gary’s company stock and some inherited securities that didn’t quite fit their strategy.

Working in finance, Gary was knowledgeable about investments, but didn’t have the time he knew was necessary to commit to managing his investments on a full-time basis while also prioritizing time with his family. Since he understood the importance of having a comprehensive plan, Gary wanted to work with an advisor who could help him identify and achieve his financial goals. 

A hypothetical synopsis of how we may help

We got to know Gary and Nancy to determine their priorities and develop a financial plan tailored to their needs. Once they agreed to the plan, we helped them navigate the logistics of consolidating their accounts and reimbursed them for the transfer fees to bring their accounts to Raymond James. Gradually, we transitioned their portfolio toward a growth orientation with more diversification, helping them depend less on Gary’s company stock for their future. As Gary was awarded more stock options and executive benefits, we tracked each detail in their financial plan, helping them visualize their progress toward retirement.

After a couple of years, Gary’s company was acquired. Due to the international nature of this hypothetical acquisition, we carefully coordinated with their local tax advisor as well as specialists at the Raymond James headquarters. We mitigated the tax burden as much as possible and devised a plan for the cash influx.

Gary and Nancy were busier than ever, but were confident that their portfolio would now be proactively managed toward their goals.

This investment profile is hypothetical and not indicative of any specific situations or clients. It is presented only as an example and not intended as investment advice.