Top advisors focused on equity compensation tax strategy in the US
The right financial advisor for you depends on how you weigh location, expertise, experience, the clients they typically serve, and how they work with you.
If you have stock options, restricted stock units (RSUs), or other equity awards, you need an advisor who understands how to minimize the tax hit when these assets vest or are sold. A common mistake is treating equity compensation like regular income, which can lead to unexpected tax bills and missed planning opportunities.
- Tax timing strategies. Ask how they plan around vesting schedules and potential tax events to reduce your overall tax burden.
- Alternative minimum tax (AMT) awareness. Confirm they consider AMT implications, especially with incentive stock options, to avoid surprise liabilities.
- Integration with your broader finances. Look for advisors who coordinate equity compensation tax planning with your overall investment and retirement goals.
- Experience with diverse equity types. Ensure they understand the nuances between stock options, RSUs, and employee stock purchase plans to tailor advice effectively.
Here are top matches to get you started. Review each profile to compare experience, credentials, and approach.
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Lee C
Series 63, Series 65
Pasadena, CA
UBS Financial Services
Lee Chen specializes in equity compensation tax strategy, offering expertise in managing tax timing and alternative minimum tax considerations for stock options and RSUs. With 29 years of industry experience at UBS Financial Services, a large firm known for comprehensive financial planning and portfolio management, he serves high-net-worth clients including executives and business owners, providing tailored strategies that integrate equity compensation with broader retirement and cash flow planning.
Experience: 29 years
Avg account: $693,691
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James C
Series 65
Eagle, ID
Cannon Wealth Group LLC
James Cannon specializes in equity compensation tax strategy, offering expertise in managing tax timing and alternative minimum tax implications for stock options and RSUs. Operating an independent firm in Eagle, Idaho, he provides flat-fee financial planning and serves a diverse client base including high-net-worth individuals and employer retirement plans, distinguishing his approach with comprehensive pension consulting and discretionary investment management services.
Experience: 14 years
Avg account: $455,281
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Joseph N
CFA®, Series 63
New York, NY
Jefferies Investment Advisers LLC
Joseph Niehaus specializes in equity compensation tax strategy, offering expertise in managing tax timing and alternative minimum tax considerations for stock options and RSUs. Based in New York, he provides fee-based financial planning through Jefferies Investment Advisers LLC, serving individuals and trusts with a collaborative approach supported by scenario analysis, distinguishing him with a strong academic background and independent advisor status.
Experience: 3 years
Avg account: $1,258,276
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Seth H
Series 66
Dallas, TX
Goldman Sachs Wealth Services
Seth Halley specializes in equity compensation tax strategy, leveraging his five years of experience and Series 66 designation to help executives and founders manage tax timing and alternative minimum tax implications effectively. Operating within Goldman Sachs Wealth Services, a large firm offering flat-fee seminars and private family office integration, he provides tailored wealth management and tax-loss harvesting services that integrate equity compensation planning with broader financial goals.
Experience: 5 years
Avg account: $215,149
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Eldin F
Series 63, Series 65
Southfield, MI
Sterling Advisory Group LLC
Eldin Foco specializes in equity compensation tax strategy with 18 years of experience, offering tailored advice on stock options, RSUs, and alternative investments. Based in Southfield, MI, he provides flat-fee and AUM-based pricing through Sterling Advisory Group LLC, which emphasizes asset allocation and diversification, setting him apart with a focus on values-based and sustainable investing alongside business succession and retirement income planning.
Experience: 18 years
Avg account: $354,030
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