Kathy was part of a company that got recently acquired by a big public tech firm. She had her previous ESPPs and RSUs converted to the new stock and was offered RSUs as an incentive to stay within the company. Thankfully the stock appreciated substantially finding Kathy wealth she had never imagined.

Kathy came to us to help solve the problem of stock concentration and find ways to mitigate capital gains. We created a stock diversification strategy that addresses income for the remaining restricted shares. We also worked closely with her CPA to find strategies to manage tax liabilities.

This is a hypothetical situation based on real life examples. Names and circumstances have been changed. The opinions voiced in this material are for general information only and are not intended to provide specific advice or recommendations for any individual. To determine which investments or strategies may be appropriate for you, consult your advisor prior to investing.