Wealth management for executives of publicly traded companies​

One-size-fits-all wealth management is not an option

There are approximately 3,700 publicly traded companies in the U.S. according to 2023 data from the Center for Research in Security Prices. If we estimate that there are 6-10 executives at each company, then there are likely over 25,000 senior executives of publicly traded companies in the U.S.
This group has a unique set of wealth management needs:
  • The majority of their wealth may be in a very concentrated equity position that raises liquidity issues and the need for diversification
  • They may experience large liquidity events around the sale of a business or an IPO that require careful planning and consideration
  • Their portfolio may include investments overseas or alternative assets that require special knowledge to manage and insure
  • Exit planning, succession planning, and estate planning all require a team of professionals to coordinate on behalf of the family

Executives of public companies benefit from working with a wealth management firm with resources to meet their needs.

Naviter Wealth is uniquely positioned to address the needs of senior executives and their families. We have proven experience:

  • Managing both concentrated and control equity positions
  • Consolidating and reporting of both restricted and unrestricted shares
  • Navigating major liquidity events, including IPOs, distributions, and the sale of a company, etc.
  • Analyzing and implementing hedging and monetization strategies

We’ve built our network to support:

  • Facilitating transfer and negotiability of securities for collateral and other related purposes through legend removal
  • Planning and financial stock option exercises
  • Compliance with SEC Rule 144, Rule 145, and Shelf-Registered Securities
  • Rule 10b5-1 Trading Plan Programs in connection with sales and purchases for insiders and officers
  • Non-purpose loans against certain publicly-traded securities
  • Meeting liquidity needs with collateral loans against restricted and control securities
  • Hedging and monetization strategies
Download Wealth management for executives of publicly traded companies​ PDF

Contact us today for a discussion of your specific situation. We deeply respec t your time and your privacy.

www.naviterwealth.com
team@naviterwealth.com
501.333.9800

Naviter Wealth, LLC (“Naviter”) is a Registered Investment Advisor (“RIA”). Naviter provides investment advisory and related services for clients nationally and will maintain all applicable registrations and licenses as required by the states in which it conducts business. Naviter renders individualized responses to persons in a particular state only after complying with all regulatory requirements, or pursuant to an applicable state exemption or exclusion. The information in this material is provided for informational and/or educational purposes only and should not be considered investment advice or a recommendation of any investment, legal, tax, or financial product. Information regarding our services is provided solely to outline our investment philosophy and strategies and to enable you to contact us for further information. Advice may be provided only by Naviter’s advisory persons after entering into an advisory agreement and after you have supplied all requested background and account information. Consult with a qualified professional before making any legal, tax, investment, or financial decision. This communication does not constitute an offer to sell, or a solicitation of an offer to buy, any security; any offering, if made, will be conducted only pursuant to definitive offering documents provided to eligible investors and subject to their terms and conditions.
Different types of investments involve risk, including the possible loss of principal. Asset allocation may be used in an effort to manage risk and enhance returns; it does not guarantee a profit or protect against loss, and the results of any asset-allocation strategy depend on the performance of the underlying investments. Investing in private funds and direct investments involves significant risks, including illiquidity, restrictions on transfer, and long or uncertain holding periods. Strategies involving energy or other real assets may be subject to commodity-price volatility, operational and working-interest risks (including dry holes and mechanical failures), hedging and basis risk, regulatory and environmental risks, counterparty risks, and other factors. Past performance is not indicative of future results, and no representation is made that any target, projection, or objective will be achieved.
Any targets, projections, or illustrative returns are forward-looking, hypothetical in nature, and presented solely to describe investment objectives and potential outcomes under stated assumptions; they are not guarantees of future performance. Actual results will differ, possibly materially, due to, among other things, market conditions, fees and expenses, leverage, timing, commodity prices, and operational outcomes. Where performance information is shown, additional details regarding assumptions, fees/expenses, and calculation methodologies are available upon request.
Naviter Wealth may use approved artificial intelligence (“AI”) tools to assist with the content development, drafting, and editing of certain marketing materials. All marketing materials are internally reviewed and approved by Naviter Wealth before publication. AI tools are not used to deliver investment advice.
Naviter Wealth, LLC does not provide tax or legal advice. Tax treatment depends on each investor’s individual circumstances and may change. Investors should consult their own tax, legal, and accounting advisers before making any investment decision. All information is current only as of the date indicated and may change without notice. Sources are believed to be reliable but are not guaranteed.
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