If you are an entrepreneur, executive, board member or high-tech worker then you are familiar with the challenges of managing a substantial holding of stock or stock options in a single company.  We understand your situation. We have a background in high-tech and were one of the founders of a software company that was purchased in an all-stock transaction. Therefore, we are uniquely qualified to help you navigate the ups and downs of a concentrated stock position.

As a fee-only, SEC registered investment advisor and a CFA charterholder we can assist with you the following:

• Determine when to exercise stock options
• Manage restricted stock holdings
• Attempt to mitigate the risk of a concentrated position through hedging or other methods
• Invest external portfolio holdings, before and after a liquidity event, to increase diversification and reduce volatility

• Strive for best execution when liquidating large blocks of company stock
• Coordinated with compliance and legal departments to adhere to company trading restrictions
• Ensure all required SEC paperwork is filed correctly (Form 4, Form 144, etc.)
• Work with trusts and estates attorneys to develop gifting and generational transfer strategies to minimize taxation

Questions to Ask About Stock Options

It is wonderful that your mom calls you, but you need to talk to a professional who understands your complex financial situation.