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Executive Services

Effective and efficient diversification

We offer tax-efficient diversification strategies to address the unique challenges of corporate executives.

Corporate executives often hold a substantial portion of their wealth in the equity of their own company. Concentrated investment portfolios have higher volatility and greater associated risks, but regulatory restrictions and contractual obligations for insiders and affiliates can make diversifying a challenge.

We understand these challenges and can help you develop a tax-efficient exercise and diversification plan in accordance with company policy and regulatory restrictions.

We help company officers and business owners with:

10B51-1 Plans

10b5-1 Selling plans that adhere to Rule 10b5-1 can be an effective means of executing your diversification strategy. The rule was designed as a safe harbor for control persons and affiliates interested in diversifying their holdings over time without the stress and risks of timing sales given trading windows and blackout periods.

Rule 144 Sales

If a selling plan isn’t the right fit, we can help insiders and affiliates diversify their restricted and control positions inside Rule 144 restrictions.

Trust Structures

We can help you explore options to transfer wealth to the next generation or minimize income and estate taxes on highly appreciated stock.

Let us help you get the most out of your equity-based compensation.

Tax Minimization

We structure tax-efficient diversification strategies according to your vesting schedule, ranked in order of most avoidable costs. This modeling often instructs the rank order of sales in a 10b5-1 plan or outright sale.


The proceeds from the diversification plan are then modeled into your broader investment plan using various pricing scenarios and probabilities of success.

Banking and Lending

  • Cash Management Accounts
  • Margin and Lines of Credit
  • Mortgage and Home Equity Consulting
  • Family Office Services

Let’s get started.

It all starts with a conversation. We advise on and are able to implement the appropriate strategy for addressing specialized compensation. Liquidity is often an outcome and we can help you get invested in a way that’s sensitive to your current holdings, current situation, and the specific time you enter the market.

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