Wealth Management

We specialize in managing equity compensation plans, restricted and control securities, and concentrated positions.

• Restricted Stock/Option Strategies:
  10b5-1 Sale and/or Purchase Plans
  144 Restricted Stock Sales
  Block Trades
  Cash/Cashless Exercise
  Corporate Buyback Plans
  Hedging Strategies
  Volatility Management
• Directed Share Programs (DSPs)

We help a variety of clients manage their fiduciary responsibilities, including foundations, endowments, educational institutions, health entities, non-profit organizations, and corporations.

• Consolidated Performance Reporting
• Estate Preservation
• Multigenerational Planning
• Prime Brokerage Services
• Institutional Research and Trading Platform
• Hedging and Monetization

We offer an extensive suite of Financial and Estate Planning solutions. Each Wealth Management team has a fully integrated financial planning expert with specialized knowledge regarding the complex needs of business owners, executives and private equity/hedge fund managers.

• Trust, Estate, and Wealth Transfer Planning
• Family Governance Education
• Tax Planning
• Philanthropic Advisory
• Insurance Analysis and Planning
• Retirement Planning
• Education Funding Solutions

Our Financial Advisors help clients define an investment strategy tailored to their goals and assist them in making informed investment choices. We deliver proprietary and third-party solutions across every market and asset class, including alternative investments.

• Asset Allocation
• Investment Management and Strategy
• Portfolio Management
• Research and Due Diligence

We provide our brokerage clients with institutional research and execution services in equity, fixed income, and foreign exchange markets with all businesses operating in the Americas, Europe and Asia.

• Sector Based and Specialist Traders
• Algorithmic Trading Formulas and Execution
• Listed and Customized Stock Options
• Primary and Secondary Fixed Income

We aim to enhance client liquidity and flexibility. Products are adaptable and extend across the industry: mortgages, unsecured loans, and loans secured by diverse assets, such as marketable securities, hedge funds, private equity funds, and real estate.

• Depository Services
• Escrow Services
• Flexible Jumbo Mortgages
• Hybrid Rate Mortgage Solutions
• Investment Credit Line:
  Non-Purpose Line of Credit
  Securities-Based Line of Credit
• Specialized Lines of Credit