Top equity Recipients (RS/RSU, SOP, ESPP) financial advisors
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 equity compensation like RSUs (restricted stock units), stock options, or ESPP (employee stock purchase plans), you need an advisor who understands how to manage these assets alongside your broader financial picture. A common mistake is treating equity awards like regular investments without considering their unique tax and timing implications.
- Tax event timing. Ask how they plan for tax triggers when your equity vests or options are exercised, since these can create unexpected tax bills.
- Diversification strategy. Confirm how they help you balance holding company stock with other investments to reduce risk.
- Exercise and sale decisions. Look for guidance on when to exercise options or sell shares to optimize your financial outcome.
- Integration with cash flow. Check how they coordinate equity events with your spending and saving plans to avoid cash crunches.
Here are top matches to get you started. Review each profile to compare experience, credentials, and approach.
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Daniel M
Series 63, Series 65
Canfield, OH
Merrill
Daniel Memo specializes in managing equity compensation such as RSUs, stock options, and ESPPs, making him well-suited for clients needing guidance on tax event timing and diversification strategies related to equity awards. With 26 years of experience at Merrill, a large firm, he serves mid-career professionals and high earners, offering a 1.10% AUM fee and expertise in retirement income and business ownership considerations, distinguishing him from advisors with narrower focuses.
Experience: 27 years
Avg account: $860,085
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Jorden B
Series 65
Claremont, CA
LifeSteps Financial
Jorden Bastien specializes in advising equity recipients on managing RSUs, stock options, and ESPPs, leveraging 13 years of experience and a Series 65 designation to address tax event timing and diversification strategies. Based in Claremont, CA, he operates independently at LifeSteps Financial, which uses an ETF-centric approach and offers both discretionary and non-discretionary services, integrating financial planning with hands-on bill payment support, differentiating him from advisors with less comprehensive client service models.
Experience: 14 years
Avg account: $638,509
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Kenneth M
Series 63, Series 66
Cincinnati, OH
Empower Advisory Group
Kenneth Mason specializes in managing equity compensation such as RSUs, stock options, and ESPPs, making him well-suited for clients with these assets in the US. Based in Cincinnati, OH, he offers flat-fee and monthly subscription pricing through Empower Advisory Group, a large firm, and brings 10 years of experience with a focus on wealth management, executive compensation design, and income planning, differentiating him from advisors with less comprehensive service models.
Experience: 11 years
Avg account: $565,063
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David S
ChFC®, Series 66
Thomasville, NC
Edward Jones
David Snapp specializes in advising equity recipients on managing RSUs, stock options, and ESPPs, leveraging his 10 years of experience and ChFC® designation to address tax event timing and diversification strategies. Operating within Edward Jones, a large firm managing over $1 trillion in assets, he offers a comprehensive approach that integrates equity compensation with broader financial planning, supported by a fee structure up to 1.35% annually, distinguishing him from advisors at smaller firms.
Experience: 11 years
Avg account: $246,728
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Michael E
CFA®
Tysons Corner, VA
Harbour Capital Advisors, LLC
Michael Elliott specializes in advising equity recipients on managing RSUs, stock options, and ESPPs, integrating these assets with broader wealth management strategies. Operating from Tysons Corner, VA, he offers flat-fee financial planning and consulting through Harbour Capital Advisors, a firm serving ultra-high-net-worth families with a core-satellite investment approach and family office services, distinguishing him by combining equity expertise with comprehensive wealth and philanthropic planning.
Experience: 2 years
Avg account: $12,746,888
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