“Prosperity across generations”

Diversified Wealth Strategies

Offering executives tailored financial options, strategies and techniques

Manage your variable compensation, diversify your holdings and ensure compliance with securities laws

Public Company Executives

Consider the situation faced by the CEO of a newly-public company. For years she’s enjoyed a comfortable salary but the majority of her wealth was tied up in restricted shares and options. After a successful IPO she holds company shares and vested options and expects to receive a stream of new option grants in years to come. This CEO now faces a delicate dance as she literally, “weighs her options.” She deserves to extract tremendous value from these assets but will face extreme volatility, public scrutiny of every sale, and high taxes along the way.

Does this sound familiar? Do you wish to participate in your company’s bright future but at the same time secure the financial future for yourself and your family?

We can show you how divesting a portion of your insider assets will affect your financial plan. We create financial models to help identify opportunities for share sales or option exercise. Perhaps most importantly, we understand there is a personal—even emotional—component to this decision and our role is to help you make the right decision, for you. If the time is right, we help formulate and implement Rule 10(b)5-1 plans or directed option exercises or share sales.


Please contact Kevin Schwall, CFA or Gary Lutes, CFA to arrange a discussion about our corporate executive solutions


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