How Advisors Can Help Clients with 10b5-1 Trading Plans

POSTED ON October 12, 2022 BY Bill Dillhoefer

Financial advisors with executive clients that receive employer stock and option grants need to understand 10b5-1 trading plans. The following 10b5-1 Overview from the Blog provides an introduction to these trading plans. However, in addition to understanding the basics, advisors also need to be able to identify appropriate exercise and sell price targets and […]


How to Advise Clients on Equity Compensation Before They Exercise

POSTED ON August 18, 2022 BY Bill Dillhoefer

By James Miller from Wealth Solutions Report StockOpter Software CEO Explains the Need for Advice on Options and Restricted Shares, How to Structure the Advice and How to Use That Skill to Prospect for Clients. Years ago, I bought a car based on a spreadsheet a friend created and used for his own car purchase. […]

Professional guidance

The Importance of Professional Equity Award Guidance in Down Markets

POSTED ON July 21, 2022 BY Bill Dillhoefer

By Bruce Brumberg, JD in Stock-price volatility and market declines can rattle anyone—especially this time. Between the market lows of 2008–2009 and the recent market shocks caused by the pandemic and inflation, many employees with stock options and restricted stock units (RSUs) saw only rising stock prices. For many of you, the recent market […]


Report on Stock Option Planning Technology

POSTED ON March 10, 2022 BY Bill Dillhoefer

A report published by entitled “The Technology That Independent Financial Advisors Actually Use (And Like)” provides some interesting insights on what financial advisors are using to assist clients that receive employee stock options and other forms of equity compensation. Stock Option Planning Stock Options is another specialized domain where advisors often find a need […]


Marketing Approaches for the Equity Compensation Niche

POSTED ON July 19, 2021 BY Bill Dillhoefer

This is the executive summary for an excellent article from on marketing approaches. The author, Kristen Luke describes three primary types of firm marketing strategies: Transaction, Relationship and Expertise. For the equity compensation planning niche, a combination of the “Relationship” and “Expertise” approaches would be appropriate because this niche requires substantial planning expertise within […]


Stock Option Exercise Strategy: Article and Webinar

POSTED ON July 14, 2021 BY Bill Dillhoefer

An article published on summarizes some of the insights from a webinar coordinated by on Stock Option Exercise Strategies. This webinar moderated by Bruce Brumberg featured a panel of three stock option planning professionals (including StockOpter’s Bill Dillhoefer). The presenters offered tips and case studies regarding helping clients to make informed and prudent […]


The Changing Importance of Equity Compensation

POSTED ON June 30, 2021 BY Bill Dillhoefer

The “2020 Equity Compensation Participant Survey,” from Charles Schwab is the latest update in an annual series of reports that track the behaviors of equity compensation plan participants. Many of the questions in this survey were focused on the coronavirus pandemic which has driven many people to make decisions about exercising or selling equity compensation. […]


SEC to Revisit Rule 10b5-1: 4 Things to Know

POSTED ON June 25, 2021 BY Bill Dillhoefer

By Jennifer Namazi from the NASPP Are changes coming to Rule 10b5-1? It seems so, as the Securities and Exchange Commission (“SEC”) recently indicated that that the Rule, first adopted in 2000, is due for a makeover. A Brief Background of Rule 10b5-1 Rule 10b5-1 was adopted by the SEC in 2000 and permits insiders of […]


Understand SPACs and Equity Compensation

POSTED ON June 9, 2021 BY Bill Dillhoefer

By Barbara Baksa, NASPP The term SPAC stands for special purpose acquisition company, which is an accurate description of what the company is. A SPAC is a company that exists solely for the purpose of acquiring a private company (or part of a public company that is being spun off) and taking it public. A […]