Top equity compensation tax strategy financial advisors in Wilmington, DE
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 stock options or restricted stock units (RSUs) vesting soon, you need an advisor who understands the tax timing and rules that affect your net gain. Without this expertise, you might pay more taxes than necessary or miss opportunities to optimize your income.
- Tax event timing. Ask how they plan around your vesting schedule and potential tax triggers to minimize surprises.
- Income layering. Confirm they consider how equity income interacts with your other earnings and deductions for overall tax efficiency.
- State tax nuances. Even though Delaware has no sales tax, local tax rules can impact your equity strategy; see how they address this.
- Exit strategy alignment. Check if they integrate your equity plan with your broader financial goals, like retirement or liquidity needs.
Here are top matches to get you started. Review each profile to compare experience, credentials, and approach.
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Li M
Series 65
Wilmington, DE
Annova LLC
Li Ma specializes in equity compensation tax strategy and active portfolio management, making him well-equipped to handle complex tax timing and income layering for clients in Wilmington, DE. As an independent advisor serving high-net-worth individuals, he offers discretionary portfolio management with a 2% annual fee and integrates options and derivatives strategies, differentiating him from others by combining tax expertise with sophisticated investment approaches.
Experience: 6 years
Avg account: $563,788
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Peter K
CFA®, Series 63
Malvern, PA
Mason Investment Advisory Services Inc
Peter Kokolus specializes in equity compensation tax strategy and wealth management, leveraging over 23 years of experience including 22 years at Vanguard. His firm manages $15.67 billion for more than 1,000 clients, offering flat-fee financial planning and active portfolio management, which may appeal to high-net-worth individuals seeking independent advice near Wilmington, DE.
Experience: 13 years
Avg account: $6,554,075
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Vartan K
Series 66
Exton, PA
Merrill
Vartan Karakelian's 25 years of experience and expertise in equity compensation tax strategy make him well-equipped to handle complex tax timing and income layering issues for clients near Wilmington, DE. As a seasoned advisor at Merrill, a large firm, he also offers wealth management and retirement income strategies, serving mid-career professionals and high earners with a 1.10% AUM fee for managed strategies under $2 million.
Experience: 25 years
Avg account: $860,085
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Nandita D
CFP®, CFA®, Series 63, Series 65
Newark, DE
Insight Financial Strategists
Nandita Das specializes in equity compensation tax strategy and income planning, making her well-equipped to manage the tax timing and rules around stock options and RSUs in the Wilmington area. Her firm, Insight Financial Strategists, serves high-net-worth clients with a fundamental analysis investment approach and offers flat-fee financial planning starting at $5,500, distinguishing her from advisors with different fee structures or client focuses.
Experience: 8 years
Avg account: $1,205,161
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Brian D
Series 63
Greenville, DE
UBS Financial Services
Brian Davis specializes in equity compensation tax strategy, leveraging 41 years of experience and a Series 63 designation to help executives and business owners in the Wilmington area manage tax timing and income layering effectively. Operating within UBS Financial Services, a large firm known for institutional trading and model-based asset allocations, he serves high-net-worth clients with comprehensive wealth management solutions, distinguishing him from advisors focused solely on smaller client segments.
Experience: 42 years
Avg account: $693,691
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Nicholas M
Series 63, Series 66
Wilmington, DE
J.P. Morgan Securities
Nicholas Mc Glynn is a financial advisor at J.P. Morgan Securities with 24 years of industry experience. He holds Series 63 and Series 66 licenses and has worked at J.P. Morgan Securities since 2012, as well as Wm Financial Services, Inc. since 2004. J.P. Morgan Securities provides investment consulting and advisory services primarily to institutional clients and retirement plan sponsors. The firm combines quantitative asset-allocation modeling with centralized due diligence and applies an ESG eligibility framework when recommending strategies.
Douglas B
Series 66
Wilmington, DE
Citigroup Global Markets
Douglas Batten is a financial advisor at Citigroup Global Markets with 19 years of industry experience. He holds a Series 66 designation and has been with Citigroup Global Markets since 2011. Citigroup Global Markets Inc. serves individual and institutional clients across various wealth segments, offering a broad range of investment advisory programs and brokerage services. The firm employs multi-asset, multi-manager strategies with both discretionary and non-discretionary options, supported by in-house research and complex market roles.
Steven H
Series 65
Wilmington, DE
Riversedge Advisors
Steven Hutchison is a financial advisor at RiversEdge Advisors with a Series 65 credential and three years of industry experience. Prior to joining RiversEdge, he spent 11 years at The Siegfried Group. He is also a partner at RiversEdge Business Services, a public accounting firm. RiversEdge Advisors serves individuals, high-net-worth clients, families, trusts, estates, businesses, and retirement plans by offering discretionary and non-discretionary investment management, financial planning, and retirement-plan advisory services. The firm’s approach is based on modern portfolio theory and utilizes ETFs, independent managers, and technology integrations to manage client strategies.
Kelly W
CFP®
Wilmington, DE
AlphaCore Capital LLC
Kelly Wilson is a CFP® professional with four years of industry experience, currently serving at AlphaCore Capital LLC since 2026. Prior to this, Kelly spent eight years at Dravo Bay LLC dba Blue Rock Financial Group. AlphaCore Capital LLC is an independent wealth advisory firm with approximately 70 advisors managing around $13 billion in assets. The firm serves individuals, entities, and institutional investors, offering comprehensive financial planning, investment management, retirement plan advisory, and model portfolio services with an emphasis on alternative investments alongside traditional asset classes.
Michael B
PFS™
Wilmington, DE
Cetera
Michael Boyer is a financial advisor at Cetera with the PFS™ designation and one year of industry experience. Prior to joining Cetera, he worked at Avantax Advisory Services and operates his own CPA firm specializing in individual and small business tax returns. Outside of financial advising, he serves as CFO of Ferris Home Improvements, a local company focused on home renovation projects. Cetera is an SEC-registered adviser serving individuals, retirement plans, corporate, charitable, and institutional clients through a large network of independent advisors. The firm offers a range of portfolio management and financial planning services and employs a multi-manager platform that includes affiliated and unaffiliated third-party managers.
Lee C
Series 63, Series 65
Pasadena, CA
UBS Financial Services
Lee Chen is a financial advisor with UBS Financial Services in Pasadena, California, holding Series 63 and Series 65 licenses and bringing 28 years of industry experience. He has been with UBS since 2009. Outside of his advisory role, Chen serves on the board of directors for the San Gabriel Country Club. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, combining proprietary capital market research with a broad range of financial planning and portfolio management solutions.
James C
Series 65
Eagle, ID
Cannon Wealth Group LLC
James Cannon is a financial advisor at Cannon Wealth Group LLC in Eagle, Idaho, with 14 years of industry experience. He holds a Series 65 designation and has led his independent firm since 2014. Cannon Wealth Group LLC is a fee-based financial planning and investment management firm serving individuals, high-net-worth clients, and employer retirement plans. The firm offers tailored investment programs, comprehensive planning, and specialized pension consulting, including ERISA advisory and discretionary investment manager services.
Joseph N
CFA®, Series 63
New York, NY
Jefferies Investment Advisers LLC
Joseph Niehaus is a financial advisor at Jefferies Investment Advisers LLC with three years of industry experience. He holds the CFA® designation and Series 63 license. Prior to joining Jefferies in 2023, he worked at Golden 1 Credit Union and SAFE Credit Union. He also serves as a part-time lecturer at California State University, Sacramento, teaching a graduate-level financial markets course. Jefferies Investment Advisers LLC provides fee-based financial planning services to individuals, trusts, estates, foundations, charitable organizations, corporations, and other business entities through a customized planning process that includes balance sheet reviews, tax and estate planning, executive compensation, and philanthropic planning.
Seth H
Series 66
Dallas, TX
Goldman Sachs Wealth Services
Seth Halley is a financial advisor with Goldman Sachs Wealth Services in Dallas, TX, holding a Series 66 designation and six years of industry experience. His prior roles include positions at The Ayco Company, L.P./Mercer Allied and Tyson Foods/GDH Consulting. Goldman Sachs Wealth Services advises a diverse client base ranging from individual investors to institutional clients, offering financial planning, portfolio management, and specialized services such as Private Family Office and Executive Wealth programs. The firm integrates strategic allocation models, manager selections, and advanced analytics within the broader Goldman Sachs network to tailor solutions for client objectives.
Eldin F
Series 63, Series 65
Southfield, MI
Sterling Advisory Group LLC
Eldin Foco is a financial advisor at Sterling Advisory Group LLC with 18 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at several firms including CIG Capital Advisors and Cco Investment Services Corp. since 2012. Sterling Advisory Group provides portfolio management, financial planning, and retirement-plan consulting to individuals, families, trusts, foundations, businesses, and employer-sponsored plans. The firm manages client accounts on a tailored basis and also serves institutional clients, offering a range of strategic investment models that emphasize asset allocation, diversification, and Shariah-compliant selection.
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