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.
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