Elevator Pitch for Engaging Corporate Executives

POSTED ON February 15, 2021 BY Bill Dillhoefer

Financial advisors who work with or are targeting corporate executives need to be able to explain how they can provide value in a quick and succinct manner.  Here are some ideas that will help you to be more effective at engaging executives. Corporate executives have one key financial issue that other types of clients don’t have: equity compensation grants (i.e. employee stock […]

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Employee Stock Purchase Plan (ESPPs) Trends

POSTED ON November 17, 2020 BY Bill Dillhoefer

Trends in ESPPs: Four Facts and a Myth By Barbara Baksa at the National Association of Stock Plan Professionals (NASPP) Spoiler alert: ESPPs are both common and generous, but participation rates are disappointing. In today’s NASPP Blog entry, I discuss these and other ESPP trends from the NASPP/Deloitte Consulting 2020 Domestic Stock Plan Administration Survey. […]

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Gaining Referrals in the Age of COVID

POSTED ON September 11, 2020 BY Bill Dillhoefer

I recently came across a great article from the FPA regarding referrals. In her article Stay Top of Mind to Gain Referrals, Kristine McManus at the Commonwealth Financial Network states that referrals are the best way to attract high-quality prospects to your business. This is particularly true for the equity compensation niche because grant recipients have […]

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Employees Seek More Guidance on Equity Awards During Crisis

POSTED ON July 31, 2020 BY Bill Dillhoefer

In 2013, the stock plan services team at UBS set out to better understand how employees engage with their equity awards. Through research conducted for the UBS Participant Voice, they identified trends that impact how much employees value their equity awards. It was discovered that employees do not value what they don’t understand, and that […]

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Equity Compensation and Charitable Giving

POSTED ON July 1, 2020 BY Bill Dillhoefer

Equity awards can provide a powerful planning opportunity for advisors to educate their clients on the benefits of donating vested company stock and options to maximize their charitable giving in a tax-smart way. The following information on equity compensation and charitable planning guidance is from Fidelity Charitable. Recorded Presentation on Equity Compensation Awards and Charitable […]

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Executive Share Ownership Guidelines and Stock Retention Requirements 2020

POSTED ON June 8, 2020 BY Bill Dillhoefer

This article is from the Ayco Compensation & Benefits Digest May 15, 2020 edition. Share ownership guidelines for executives continue to be a common feature at an overwhelming majority of U.S. public companies. The basic premise of mandating ownership of company stock is that the interests of senior management will more closely align with those […]

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10b5-1 Plan Best Practices for any Market Climate

POSTED ON May 19, 2020 BY Bill Dillhoefer

Now that StockOpter.com provides 10b5-1 trading plan tracking, this recent NASPP blog post caught my eye. StockOpter’s functionality tracks individual 10b5-1 plans for company insiders. This article explains four best practices issuer companies should consider to make their 10b5-1 programs more effective. by Jenifer Namazi Rule 10b5-1 trading plans are one of the tools that […]

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COVID-19 and Equity Awards

POSTED ON May 14, 2020 BY Bill Dillhoefer

The NASPP (National Association of Stock Plan Professionals) has published the results of a quick survey they conducted of how companies are responding to COVID-19 when it comes to their equity award programs. Here are the key findings detailed in the full report: Top Concerns: Restoring lost value to equity awards and adjusting performance targets […]

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Press Release: StockOpter Adds 10b5-1 Trading Plan Tracking

POSTED ON February 12, 2020 BY Bill Dillhoefer

Bend, OR, February 12, 2020 –  StockOpter.com, the industry leading application for equity compensation valuation and risk analysis has been enhanced to track client 10b5-1 trading plans. These trading plans established under SEC Rule 10b5-1 provide an affirmative defense against charges of insider trading because they are setup before the employee knows information that may […]

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How to Choose From the Six Ways to Price Your Services

POSTED ON December 27, 2019 BY Bill Dillhoefer

by Patrick Brewer, CPA, CFA How your firm prices its services is about more than just boosting profit margins. The right fee structure is vital to client satisfaction and your long-term success. Fees have always been a hot topic in this industry. However, with trading commissions getting slashed to zero, the rise of passive managers […]

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