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Executives Overview

Every client has unique financial concerns, and we are committed to providing a customized solution to address individual needs. In our experience, we have recognized many of our executive clients have faced common issues. Based on our 20-plus years of experience with executives, we are uniquely equipped to offer objective guidance on specific tax strategies, financial planning, and investing needs to keep our executive clients' financial goals on the right path. Below is an illustration of investment and planning work that we have conducted for our executive clients.

Executive Client Profile: A client who has achieved financial success in their professional life, where his/her compensation includes stock options, and has both personal and business assets that contribute to being the primary earner in his/her family.

Action Plan: Along with understanding our clients' financial goals and concerns, our focus turned to three core issues and strategies to address each.

Taxes. High income brings with it greater tax responsibility. To help minimize the burden, we present:

  • Tax-efficient investment options
  • Risk management tools that seek to shield assets and minimize taxes
  • Charitable giving opportunities

Concentrated stock exposure. Stock options (as well as restricted stock and employee stock purchase plans) provide benefits, but can also lead to an undesirable concentrated stock position. We address:

  • Potential tax repercussions of a change in position
  • Overall asset allocation, diversification, and risk reduction
  • The opportunity cost of holding or reducing a concentrated stock position

Asset Protection. A financial safety net is important to this client as a loss of income would seriously affect his/her family. Moreover, personal and business assets needed to be separated to provide litigation protection. Our solutions relate to:

  • Asset titling
  • Minimizing sources of liability
  • Insurance coverage, including disability and other advanced risk management options


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