After a few failed startups, Ben was now experiencing success and getting ready for his current company’s IPO. With the wealth this IPO would create, Ben needed a firm that could work with him in creating a plan to divest his stock and capture the opportunity, while being smart about tax efficiency.
Understanding the nuances of 10b5-1 plans and the differences between qualified stock options, non-qualified stock options, and Restricted Stock Units was a requirement. Other important issues were that his wealth advisor be independent and be able to add value beyond just the investment allocation.
Ben wanted a firm that was embedded in the Silicon Valley ecosystem who could help him vet future private company investments and advisory positions.
CASE STUDIES PRESENTED ARE HYPOTHETICAL AND FOR ILLUSTRATIVE PURPOSES ONLY.
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