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Services for Executives
Restricted Stock: Rule 144 Sales including calculating volume restrictions, interfacing with corporate legal counsel, timely filing of appropriate forms, working with transfer agents to effect an efficient transaction, advising the client on strategy and timing of sales, restricted stock loans and hedging strategies and risk management.
Stock Option Exercise: Services include cashless exercise, preparing and filing appropriate forms and interfacing with corporate legal counsel and human resources
Executive Wealth Management: Services include the investment of proceeds from Rule 144 sales and/or stock option exercises including personal investments, 401K plans and retirement accounts/estate planning
10b51: This is one of the newest vehicles for executives. The 10b51 program allows the executive to establish a liquidation program for their equity position whether or not they are in an open trading window
Equity Risk Management: Services for Corporations Equity risk management programs offer the executive a variety of ways to help eliminate some of their equity risk. Some of the methods available are collars and variable forwards. These transactions are complex and should be reviewed by your advisor and CPA.
Services for Corporations
Corporate Stock Buy Back (Rule 10b-18): Services include the financial advice regarding volume restrictions and the myriad of complex trading restrictions.
Corporate Cash Management: Services include Commercial Paper, Certificates of Deposit, Bankers Acceptances, U.S. Government and Agency Bills and Notes, Municipal Notes, Variable Rate Demand Notes, Cash Management, and Repurchase Agreements.
Retirement Plans: Services include 401K Plans, Profit Sharing, Defined Benefit, ESOP, SEP, and Money Purchase Plans.
Pension Plan Consulting:
Financial Planning:
Concierge Services:
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