Business owners and senior executives often have a majority of their wealth in a very concentrated equity, option, or control stock position. This raises liquidity issues, as well as the need to diversify holdings to mitigate investment risks. It requires not only financial expertise, but often legal, as well. At Source Financial Advisors, we are concentrated equity specialists. We assist senior executives and owners of private and public companies in managing both concentrated and control equity positions, as well as major equity events around a company’s growth ranging from an IPO to distributions.

Our objective is to ensure our clients are well-positioned to maintain their wealth – without compromising risk parameters – through a number of strategies:

  • Facilitating transfer and negotiability of securities for collateral and other related purposes through legend remove
  • Planning and financial stock option exercises
  • Compliance with SEC Rule 144, Rule 145, and Shelf-Registered Securities
  • Non-purpose loans against certain publicly-traded securities
  • Meeting liquidity needs with collateral loans against restricted and control securities
  • Collars and other derivative products
  • Rule 10b5-1 Trading Plan Programs in connection with sales and purchases for insiders and officers