Industry information and ideas to help financial advisors grow their practices by engaging individuals with equity compensation, managing their holdings and helping them to make prudent diversification decisions regarding their employee stock options and company shares.

  • 40 Hot Corporate Prospects:  In their March 2013 Equity Compensation Report, the NCEO (National Center for Employee Ownership) identified 40 of the 900 largest public companies in the United States that provide broad-based stock options to employees.  If you are seeking new clients with employee stock options this is a great prospect list because it is almost impossible to find out who is granting what. Given these are broad-based plans, it is likely there are a large number of individuals in these companies that need help determining when to exercise their stock options.
  • Creating an Executive Services Pilot Project Plan:  No matter how big or small your advisory firm, if you want to develop a successful executive services offering it is prudent to start with a pilot project and a documented plan.  Here is a list of items that should be included in this plan.
  • Review Shows Companies Now Using a Mix of Long-Term Incentive Awards:  A review of 300 corporations by The Ayco Company shows employee stock options remain the most popular form of long-term incentive, but most companies are using a mix.
  • The Secret to Profitable Stock Option Exercise Decisions:  Here’s an article you can provide to clients and prospects that explains the fundamentals behind using the Insight Ratio to make timely diversification decisions.
  • Advice for Executives Regarding Their Stock Options:  An excerpt from a new book by Phil DeMuth, Ph.D. – The Affluent Investor – Financial Advice to Grow and Protect Your Wealth.  It provides practical guidance for executives and other affluent individuals.
  • Employers Increasing Discounts in Employee Stock Purchase Plans:  A recent Fidelity investments survey reflects how improving economic conditions are prompting U.S. companies to enhance their Employee Stock Purchase Plans (ESPPs) to attract & retain employees. These “owned” shares should be included in every equity compensation analysis to identify diversification opportunities and concentrated stock positions.

Email Bill Dillhoefer at if you have any questions or ideas for future articles.


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