Corporate Executives

As a corporate executive, you face unique investment challenges due to complex compensation packages and wealth concentration. Our team will work closely with you to review, develop and implement strategies to optimize your compensation structure, navigate complex federal securities laws, comply with internal company trading policies and manage personal tax liability as you monetize and diversify your holdings.

10b5 -1 Plans
  • Planned selling arrangements help provide flexibility in instituting a diversification plan
  • Execute a personal sales strategy regardless of company trading windows
  • Engages in purchases or option exercises in an orderly manner
  • Helps provide for an affirmative defense against insider-trading accusations
Equity-Based Benefits (stock options/RSU's)
  • Strategies to match future personal income needs
  • Manage income tax exposure, particularly AMT
  • Planning retirement and separation from service
  • Trade execution and monetization
Restricted & Control Stock
  • Ensure a smooth and efficient transaction working with our restricted stock experts
  • Actively communicate with your general counsel and/or human resource professional
Concentrated Positions
  • Strategies to manage your concentrated position
  • Diversification Planning