Broker Check

Corporate Executives

Tailored Advice For Executives

Your compensation plan as a corporate executive represents both a wealth of opportunity and a web of complexity. With your focus on the business, you need a partner to help you make the most of your benefits and pursue your personal financial goals. As your trusted guide, we will help you make informed decisions regarding deferred compensation plans and restricted stock. We can also design a tax-efficient, stress-tested portfolio for you that is not overly weighted toward your own company’s securities – so you can focus on living your life and leading with confidence.

Explore Strategies For Concentrated Equity

We can assess your concentrated equity holdings, develop a risk-mitigation strategy, and recommend diversification techniques for your specific situation. For more insight, see the guide.


Manage risk through a variety of customized strategies


Generate cash from the position through alternatives to an outright sale


Limit tax liabilities through equity exchange funds, securities-based lending, borrowing on margin and net unrealized appreciation


Create cash flows through covered calls


Leave a long-standing legacy via charitable remainder trusts, pooled income funds and charitable gift annuities

Case Study

Carefully Managing A Windfall

Things were going well for Peter in his professional life. A busy executive, he had just received a hefty performance-based bonus – money that could go a long way in helping his old high school renovate its aging buildings and expand its arts programs. Making a large donation to the school with part of his bonus had been on his mind for a while, and now that the timing was right, he wanted to make the most of the funds. To manage the complex issues that come with such a windfall, we would coordinate with Peter’s tax advisor on a strategy designed to make a significant charitable impact while mitigating taxes. We would also recommend the use of a deferred compensation plan for the remainder of his bonus, allowing him to spread out the tax liability.

The hypothetical example above is for illustrative purposes and is not representative of any actual experience. Individual results will vary.

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