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Stock Option Strategy

Daniel & Tina


54 & 51


Tech Executives

Primary Goals:

Retirement Planning, Tax-Efficient Stock Options Strategies, and Investment Management

Daniel & Tina

As a tech employee for the past 20 years, Daniel has seen the industry bloom in an unbelievable fashion while Tina stayed at home with their two kids and was what they considered the family “bookkeeper. During Daniel’s career, companies began introducing new benefits and attractive compensation packages that elevated their lifestyle, but they were concerned that retirement could be a dramatic drop-off from their standards of today.

Daniel was able to build on his 401(k)’s, ESPP, and Stock grants through the various employers but was as passive as possible in his investment strategy. It helped him grow his net worth, but he was unaware of the tax liability and risk exposure he had left unaddressed.

For Daniel and Tina, we provide a blueprint of action items coming in the form of a retirement plan. We first start by developing a divesture and diversification process that aims to reduce tax liability and find a risk tolerance that fits Daniel and Tina’s needs. We then assess how the assets they have built could work in tandem with other fixed income streams to fulfill their desired goals. Once Daniel & Tina have determined the plan that works best for their plans, we assist them in any transitory requirements from their current employer and guidance throughout their retirement on where their income will be disbursed from across their accounts and investments.

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.
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