CLIENT success STORIES

we focus on your entire balance sheet not just investable assets 

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We have guided clients through a variety of financial challenges.  The following examples illustrate the range of issues we have successfully navigated with our clients. 

 
 
 

wall street Executive

This client is a successful financial services executive who has worked for various Wall Street firms.  She had numerous 401k plans and IRA’s that she wanted to consolidate and have managed pursuant to a long-term growth strategy. 

We worked with the client to identify where each account was held and facilitated the transfer of all workplace retirement plans to our firm. 

We worked with the client to design and implement an investment strategy to achieve long term growth of capital for her retirement and non-retirement assets. 

We also optimized the asset allocation for her existing workplace retirement plan pursuant to her goals and objectives. 

Today, for the first time she feels that her financial life is “in order” and that her money is working for her.

 
 



Long term investment strategy

Workplace retirement plan advice

Consolidation of multiple portfolios

 

 
 



Holistic financial planning

Stock option strategies

Education planning

 

Executive at a publicly traded company

Our client owned a substantial amount of incentive stock options and restricted stock grants of his employer’s stock. He and his wife wanted to maximize the value of the options to fund college savings for their two daughters.

We organized the options and restricted stock based on vesting schedules and strike prices.  We worked with our in-house equity research analyst that covers this company to implement an option execution strategy that would enable the clients to utilize the options and restricted stock in a timely manner to begin funding college savings plans.

We designed and implemented a holistic financial plan that included using additional options proceeds to fund retirement.  The client subsequently requested that we oversee investment portfolios held at other firms which we now manage for long-term growth of capital.

 

 

Healthcare administrator entering retirement

Our client was a few months from retirement and did not have a retirement plan in place.

We worked with the client to identify all retirement income resources as well as his desired retirement date and projected retirement income needs.

We designed an investment strategy that would supplement his other sources of retirement income and weather market volatility to preserve his ability to meet income needs well into retirement.

We also helped the client identify changes to make prior to retirement including paying off debt and setting liquid resources aside to fund significant upcoming expenses.  

 
 



Retirement income planning

Risk managed returns

Holistic retirement advice

 

 
 



Financial statement oversight

Estate planning

Comprehensive investment strategies

 

Client that owns multiple businesses and significant commercial real estate holdings

Our client has a large balance sheet with lots of moving parts.  Perhaps more than anything else, he needed someone to act as his personal Chief Financial Officer. 

Through an extensive discovery processes we worked with the client to identify and track every asset he owns and developed a system to update the value of those holdings on a quarterly basis. 

We manage his personal financial statements and coordinate the distribution of those statements to various parties, as directed by the client.  We coordinate the flow of information to his CPA to ensure accurate and timely tax reporting.

We serve as a central point of contact for private investments and family trusts and provide advice on managing business entities and evaluating acquisition opportunities as they occur. 

We developed and manage strategic investment strategies for taxable and tax-exempt portfolios for client’s family.

Provide sounding board feedback on family related financial issues including introducing children to the understanding of wealth and work principles. 

 

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