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.

The Factor That Separates Fast Growing Firms:  Charles Schwab’s 2013 RIA Benchmarking Study found that the top 20% of a 1,025 firm sample set were able to generate three to five times as many referrals from clients and “centers of influence” than the rest of their peers.  These findings represent good news for advisory firms that are seeking corporate executive referrals by providing equity compensation diversification assistance.  For additional information on getting executive referrals read the blog post entitle The 5 Reasons Clients Don’t Refer.

The Equity Compensation Planning Dilemma for Corporate ExecutivesThis piece by Geoff Zimmerman, CFP outlines the planning concerns and potential landmines incurred by corporate insiders regarding their equity compensation and introduces ideas that can improve the odds of achieving their financial goals..

Time to Exercise or Hold TightThis is a good article that explains how one firm uses the “Insight Ratio” (Time Value divided by the Black Scholes Value) to help their clients with employee stock options make prudent exercise decisions.  

Restricted Stock: Maximizing the Value and Asking the Right QuestionsFinancial advisor Charles Steege explains the differences between Restricted Stock Awards (RSAs) and Restricted Stock Units (RSUs) and the planning techniques that allow recipients to moderate their tax liability.

Using Rule 10b5-1 to Trade Company Stock:   The Blog recently featured a post on 10b5-1 trading programs that will be of interest to advisors who work with corporate executives.  It contains a summary of best practices published by The Corporate Counsel from a small informal survey of corporations. 

Top Equity Comp. Advisor Info:  In case you haven’t already seen these articles, here are links to some of the most popular postings on the StockOpter University.

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

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