Concentrated and Restricted Stock

Concentrated equity and restricted stock positions are typically accumulated over time and provide magnified risk and opportunity. SOUND Wealth Management Group’s knowledge and expertise can assist in analyzing, planning, and managing these complex situations.

Concentrated Positions

The sale of a closely held business, stock or option incentives from an employer, a large single security inheritance, or long-term investing may lead to monetary concentration in a single equity position – the very asset that represents significant wealth may pose the biggest risk to your future financial security.

There are myriad issues to consider: taxes triggered by a sale, emotional attachment to a stock, fear of making a mistake, or the perception that your actions can create with company employees or the marketplace – these issues have been known to immobilize investors.

SOUND Wealth Management Group utilizes multiple strategies including; hedging, monetization, tax efficient diversification and tax efficient gifting to protect the wealth you have accumulated and allow you to make the best personal decisions.

Restricted Securities

Federal securities laws strictly govern transactions involving restricted securities. However, if you qualify, you can sell all or a portion of these securities under Securities and Exchange Commission (SEC) Rules 144, 145 or 701, which provide exemptions from registration under the federal securities laws. The regulations may seem overwhelming and complicated, but with the help of SOUND Wealth Management Group and the expert support provided by Raymond James, these transactions can be completed smoothly and in a timely manner.