A Case Study

How We Serve Executives

A 42-year-old couple with two children came to us after being referred by a current Boston 128 client. The husband, an executive at a Fortune 500 company, had maxed out his employer-sponsored 401(k) plan and had significant cash sitting on the sidelines. In addition, he held a highly concentrated stock position within his company. The family was concerned about taxes and uncertain as to the path to take moving forward with their investments.

Using our DRIVE Process™ we uncovered specific opportunities as well as challenges that faced this couple and designed a comprehensive financial plan and implementation strategy accordingly.

• Identified and prioritized both short-term and long-term financial goals
• Customized an investment portfolio that put to work the excess cash they were holding
• Designed a tax-transition strategy to help reduce risk within their highly concentrated stock position
• Organized stock options and reallocated 401(k) investments for long-term growth