Dedicated Partners with Global Equities & Investment Banking

In addition to working with many of the senior executives on holistic wealth management issues, Executive Consulting of Raymond James serves as the dedicated partner to the Raymond James Global Equities & Investment Banking division on two corporate solutions: Rule 10b5-1 plans and Directed Share Programs.

Executive Wealth Management: Our dedicated focus on the public company executive marketplace and unmatched technical expertise has positioned Executive Consulting of Raymond James as a leading partner with Global Equities & Investment Banking for providing holistic wealth management services to the senior executives at our corporate client relationships.

Rule 10b5-1 Plans: Executive Consulting of Raymond James has advised in the creation and execution of Rule 10b5-1 plans, helping to create over a thousand plans. This experience has resulted in our practice being chosen to serve as a trusted partner to our public company corporate clients in need of 10b5-1 assistance. Plans can be designed to buy or sell shares, exercise options, facilitate the sale of vested shares for tax withholding, convert Up-C/UPREIT units into common shares for sale, among other trading activities. Executive Consulting of Raymond James will work with each executive to determine the best trading strategy for accomplishing each client’s unique goals.

Directed Share Programs: as part of the Initial Public Offering (“IPO”) process, the issuer can choose to include a Directed Share Program (“DSP”) for a portion of the offering allocation. The issuer can then compile a list of employees, directors, family members, friends, clients, vendors and other corporate relationships who will be invited to purchase shares in the IPO should they choose to do so. Executive Consulting of Raymond James has administered all of the DSPs executed by Raymond James for several years. This experience is unmatched in the industry and ensures the issuer will have a successful DSP and their closest relationships will receive the best service possible.

Concentrations in Employer Stock
DOWNLOAD PDF

White Paper on 10b5-1 Plans
DOWNLOAD PDF