A team discussion at a trading room

Institutional Services

When you are responsible for the investment decisions for your nonprofit organization, it’s important to protect yourself by following stringent fiduciary standards of objectivity. You need impartial evaluation of your asset allocation, investment opportunities and investment portfolio – with a keen eye for costs. After all, the more efficiently your organization can achieve its investment objectives, the more resources are available to serve your charitable mission.


Corporate Retirement Planning


As a fiduciary, you seek to continue the success of your business while fostering a professional culture that both attracts and retains quality employees. Selecting and implementing the right retirement plan can go a long way in helping you achieve those objectives. Our team extends the capabilities and bandwidth of your management team to administer and manage retirement plans that support the needs of both your institution and workforce.

Whether you’re in search of a new sponsor or need assistance reviewing your current plan, our advisors offer comprehensive guidance, conducting thorough vendor searches, monitoring plans and providing quality support, as well as independent investment consulting. We have extensive experience working with providers, and seek to both maximize tax efficiency for your business, as well as participants’ benefits.

As your business evolves, we provide flexible support where it’s needed. We understand the complexities of managing a business, and staying abreast of regulations and the latest investment trends. We take our role seriously as an extension of your own team, so you can devote your focus where it’s needed most.

Concentrated Equity Management


Often, the very asset that helped create significant wealth is the one that poses the biggest risk to future financial security. We can help manage highly concentrated positions as a result of the sale of a closely held business for shares of a publicly traded company, stock and option incentives from an employer, a large inheritance comprised of a significant position in a single security or long-term fundamental investing.

Restricted Securities Planning


By selling your restricted securities you can begin enjoying the fruits of your labor. We’re thoroughly familiar with restricted securities rules and can offer experience and expertise to assist in the selling and margining of your restricted or control securities. We help you through the paperwork that may slow down the transaction process. Regulations may seem overwhelming and complicated at first, but with the help of our experts the transaction can be completed smoothly and in a timely manner.


Then, after your assets are free, we have a myriad of services you can utilize such as retirement planning, trust services, estate and tax planning, asset allocation and a variety of asset managers, plus much more. It’s part of our service to help you create a comprehensive financial plan once we have completed the restricted or control securities transaction for you.

Executive Stock Option Planning


Your firm has recognized the contributions you have made to its performance and success by granting you options to purchase company stock. Representing more than your company’s respect for you as a valued employee, stock options can help you develop a meaningful investment portfolio quickly often with substantial gain.

That is why the decisions you make regarding your stock options – such as timing the exercise, how to complete the transaction and choosing to hold or sell the acquired shares – should be considered carefully. And since each decision can significantly affect your long-term financial situation, we are here to guide you. We can provide advice designed to help you maximize the benefit of your options, simplify the process by collaborating with stock option experts, and provide choices to exercise your stock options that include purchasing the options using your own cash, initiating a cashless option exercise, cashless alternatives or stock swapping. No matter what choice is best for you, we help make the final decision based on your overall financial picture and tax implications.

Structured Products


Structured products are becoming increasingly attractive; they can complement a well-diversified portfolio by potentially providing efficient market exposure. When aligned with investor goals, we strive to construct and deliver products capable of meeting defined objectives, which may include risk reduction, return enhancement and market access.

Investment Banking


If you’re a business owner or executive looking to explore new arrangements for your company, we can help guide you with comprehensive investment banking services including:

Public Offerings – Leveraging the expertise of our investment bankers to develop a focused plan of action to achieve financial rewards, then providing services for equity offerings as a principal way to raise funds while attracting new investors.

Mergers and Acquisitions – Helping companies identify strategic merger and acquisition opportunities and execute related transactions.

Restructuring – Building flexible teams of restructuring specialists and industry experts to assist companies facing challenging financial changes. In addition, we can help you address issues such as acquisitions or buyouts, additional equity capital and the real market value of your company.

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