We help corporate executives through the maze of regulatory issues and diversification strategies affecting their private wealth. By partnering with our clients’ attorneys, accountants, and other advisors, we design customized, comprehensive solutions that are tailored to each client’s tax, liquidity, and diversification needs.

Rule 144 Sales

Rule 144 allows the public resale of restricted and control securities if certain conditions are met. Our advisors have extensive experience helping owners of these securities navigate the complexities of Rule 144 and take advantage of its “safe harbor” exemption.

Rule 10b5-1 allows officers, directors, and other corporate insiders to adopt predetermined plans for selling or purchasing company stock. Our advisors have extensive experience setting up and executing 10b5-1 plans that provide corporate insiders flexibility and an affirmative defense against insider-trading allegations.

10b5-1 Plans: Frequently Asked Questions

Navigating Stock Restrictions: Rule 144/145 and 10b5-1 Plans

Equity Risk Management

Corporate executives, business owners, and other investors often have a large portion of their wealth represented by concentrated stock positions. Having a large percentage of one's wealth tied to the fortunes of a single company is definitely a high-risk, high-reward proposition.

Our advisors work with owners of concentrated stock positions to navigate the tax, regulatory, and internal roadblocks to converting a concentrated stock position to a diversified portfolio. We have extensive experience in designing and implementing risk-management strategies through:

  • Staged selling
  • Hedging
  • Immediate diversification

Single Stock Risk Management

Review more information about the realities of single-stock ownership, the barriers to diversifying away from concentrated positions, and alternative methods for addressing single-stock risk:

Managing Concentrated Equity Risk through Strategic Diversification