Financial Services Overview

Essential Wealth Management Experience

Retirement Planning / Family Needs

• Comprehensive financial planning
• Retirement analysis
• Education planning
• Multi-generational financial planning
• Planning for support of aging parent(s)
• Corporate retirement plans



Asset Management

• Managed accounts
• Mutual funds
• Individual security
• ETFs
• Structured notes
• Traditional alternative investments
• Liquid alternatives



Credit and Lending

• Securities-based lending
• Personal credit management
• Mortgage advice
• Margin loans
• Non-purpose lending
• Fully paid securities lending
• Loans against collared stock
• Art collection lending



Business Succession Planning

• Business needs review
• Cash management and capital needs assessment
• Business valuation & investment banking services
• Succession planning documents



Executive Compensation

• Concentrated stock (monetizing, hedging)
• Stock option strategies
• 10b5-1 trading programs
• Restricted securities, Rule 144 (liquidation & risk management alternatives)
• Expertise in highly regulated areas (collateral loans, OTC option collars, etc.)
• Estate and financial planning (executive compensation management)



Insurance and Liability Management

• Comprehensive insurance review
• Goal protection
• Life insurance
• Long-term Care
• Disability insurance
• Dynasty trust
• Life insurance trust



Estate Planning/Philanthropic Giving

• Wills, trusts, gifting, asset titling
• Charitable giving / charitable trust
• Endowments / donor advised funds
• Estate tax funding
• Family dynamics / family meeting

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