As an executive, you spend your time and energy between the office and home, with little to spare. You know your personal portfolio deserves that same level of dedication and high-level thought. As your partner, our goal is to guide you – confidently – along the most direct path to your financial objectives.

Between the demands of leading your company and the complex nature of your personal finances, it’s only natural to want to ensure your assets are in order and working as hard as you do. So we’ve created an efficient, consultative process to evaluate your case individually and tailor holistic strategies around your specific circumstances. 

We understand the challenges you face, such as finding solutions for concentrated stock positions and strategies designed to protect your family and your legacy. Our experience extends to all types of executive transactions, equity-based compensation, company trading policies, and regulatory requirements that impact transactions in company stock. We offer personalized guidance on these important issues and more – allowing you to focus on what matters most.

Services Include

  • Executive Transactions
  • Employee Stock Ownership Plans (ESOPs)
  • Cashless Stock Option Exercises
  • Rule 144 Executions
  • 10b5-1 Sales Plans
  • Hedging and Monetization for Concentrated Equity Positions
  • Banking & Lending Solutions1
  • Insurance & Annuities2
  • Tax Planning
  • Estate Planning
  • Charitable Giving
  • Risk Management

1Lending solutions offered by Raymond James Bank, an affiliate of Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James & Associates, Inc., Raymond James Financial Services, Inc., and your Raymond James Financial Advisor do not solicit or offer residential mortgage products and are unable to accept any residential mortgage loan applications or to offer or negotiate terms of any such loan. You will be put into contact with a Raymond James Bank employee for your residential mortgage needs.

2Insurance and annuities offered through Raymond James Insurance Group. Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. are affiliated with Raymond James Insurance Group.

Raymond James and its advisors do not offer tax advice. You should discuss any tax matters with the appropriate professional.

You have attained success that few others can claim, and with this success you have specific needs such as effective planning for:

  • Stock options
  • Restricted stock
  • Bonus money
  • Collar programs – concentrated wealth positions (too much in company stock, how can you protect it)
  • Supplemental disability income programs and insurance.
  • 401k allocation planning

You also receive the following:

  • An assessment of what you can expect for your retirement income, matching up your must have expenses and your discretionary expenses to guaranteed sources of income and variable sources of income.
  • Asset allocation review and management of your current IRA, Roth IRA and company retirement plan accounts with an emphasis toward drawing income from the accounts.
  • Estimation of secure retirement income sources like social security, pensions and annuities.
  • Projection of funds to supplement your secure retirement income plans for your discretionary expenses.
  • Compete analysis on setting beneficiaries for each account, what could be owned in a trust, what could have direct beneficiaries, what are the tax implications of all the strategies.
  • Insurance analysis.
  • Assessment of other goals like saving for children’s or grandchildren’s education.

Using our experience since 1992 in working with legal professionals may be beneficial to you in accumulating, managing, preserving and finally distributing the wealth you build. Call us at 480-503-1084 to schedule your complimentary, no obligation consultation.
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Find the straightest path toward your goals with strategies custom-made for executives.

Related Resources

Banking and lending solutions provided by Raymond James Bank. Raymond James Bank, member FDIC, affiliated with Raymond James Financial Services and Raymond James & Associates, Inc.