Equity compensation
Equity compensation planning covers the tax, diversification, and cash-flow decisions that come with stock-based pay: RSUs, ISOs, NSOs, ESPP, 83(b) elections, AMT, and strategies for concentrated positions before and after an IPO or secondary. Advisors with depth here can model the lifecycle of an equity grant alongside the rest of a household's financial plan.
By the numbers
The Wellspent public graph lists 1,349 fee-only financial advisors focused on equity compensation at 643 firms, most in San Francisco, Austin and New York. 53% hold the CFP certification. Of the 1348 with fees on file, 85% charge percentage of assets.
- Advisors listed
- 1,349
- Firms
- 643
- Cities
- 420
- Hold the CFP
- 53%
- Other credentials: CFA 12% · CPA 3% · EA 3%
- How they charge (of 1348 with fees on file): percentage of assets 85% · hourly 39% · fixed fees 37% · ongoing planning fee 24%
Source: Wellspent public graph, data as of . Shares are of advisors listed here; an advisor can hold several credentials or fee types. Methodology
Advisors with depth in equity compensation
| Advisor | Firm | City | Credentials | Fees |
|---|---|---|---|---|
| Ekenna Anya-Gafu | Pacific Canyon Investments | Scottsdale | CFP | Percentage of assets, Hourly |
| Emma Foulkes | Collective Wealth Partners | Atlanta | CFP | Percentage of assets, Hourly |
| Eric Callahan | Thryve Wealth Management | Santa Barbara | CFP | Percentage of assets |
| Eric Loftus | Wealth Dimensions Group | Cincinnati | CFP | Percentage of assets, Hourly |
| Erik Smith | Wealth Dimensions Group | Cincinnati | CFP | Percentage of assets, Hourly |
| Ernest Moosherr | Canopy Wealth Management | Middleton | ChFC | Percentage of assets |
| Felipe Quaassdorff Molina | Walkner Condon Financial Advisors | Verona | CFA | Percentage of assets, Ongoing planning fee |
| Felix Tankersley | BMSS Wesson Wealth Solutions | Birmingham | CFP | Percentage of assets, Hourly |
| Frank Gallo | Investors Portfolio Services | Puyallup | CFP | Percentage of assets, Hourly |
| Genadi Slavov | Sigma Investment Counselors | Northville | CFA | Percentage of assets |
| Gerald Vanderlugt | JVL Wealth Strategies | Wyoming | CFP | Percentage of assets, Hourly |
| Gregory Benner | Vertex Planning Partners | Downers Grove | CFP, ChFC | Percentage of assets, Fixed fees |
| Gregory Farland | Alliance Private Wealth | Alton Bay | CFP | Percentage of assets, Hourly |
| Haley DeHaan | JVL Wealth Strategies | Wyoming | CFP | Percentage of assets, Hourly |
| Harlan Freeman | BrightPath Financial | Deerfield Beach | CFP, CFA | Percentage of assets, Hourly |
| Jacob King | Beaird Harris | Dallas | CFP | Percentage of assets, Fixed fees |
| James Belliston | Tanara Wealth Management | St. Augustine | CFP | Percentage of assets, Hourly |
| James Patterson | KFA Private Wealth Group | Tyson | CFP | Percentage of assets, Hourly |
| James Rice | Capital Asset Management | Columbus | CFP, ChFC | Percentage of assets |
| James Sherrard | Richard P. Slaughter Associates | Austin | CFP, CFA | Percentage of assets, Hourly |
| James Sullivan | Beaird Harris | Dallas | CFP, CFA | Percentage of assets, Fixed fees |
| James Zimmerman | Beaird Harris | Dallas | CFP | Percentage of assets, Fixed fees |
| Jana Hovey | Richard P. Slaughter Associates | Austin | CFP | Percentage of assets, Hourly |
| Jason Epps | KFA Private Wealth Group | Tyson | CFP | Percentage of assets, Hourly |
| Jeremy Mocek | Richard P. Slaughter Associates | Austin | CFP | Percentage of assets, Hourly |
| Jesse Rodriquez At Rodriquez Wealth Management, our dedicated team offers a highly personalized approach that helps you simplify the challenges associated with preserving, growing, and transitioning your wealth. | Rodriquez Wealth Management | Newport Beach | CFP | Percentage of assets |
| John Burns | Factor Wealth Management | Chicago | CFP | Percentage of assets, Hourly |
| John Dixon | Century Management Financial Advisors | Austin | CFP | Percentage of assets, Fixed fees |
| John Fennig | KFA Private Wealth Group | Tyson | CFP | Percentage of assets, Hourly |
| John McCorvie | Peak Asset Management | Louisville | CFA | Percentage of assets |
| John Russell | Peak Asset Management | Needham | CFA | Percentage of assets |
| Jonathan Brooks | BMSS Wesson Wealth Solutions | Birmingham | CFP, ChFC | Percentage of assets, Hourly |
| Jonathan Klett | CapTrust Wealth Advisors | Holland | CFP | Percentage of assets, Fixed fees |
| Jonathan Wallace | Wayfinder Wealth Warriors | Lexington | CFA | Flat fee or retainer, Hourly |
| Jordi Bakovic-Quiroga | TQM Wealth Partners | St. Augustine | CFP | Percentage of assets, Hourly |
| Joseph Dunn | Beaird Harris | Dallas | CFP | Percentage of assets, Fixed fees |
| Joseph Hart | Hart Wealth Management | West Des Moines | CFP | Percentage of assets, Fixed fees |
| Joseph Purcell | Wissahickon Wealth Management | Philadelphia | CFP | Percentage of assets |
| Joshua Gideon | Richard P. Slaughter Associates | Austin | CFP | Percentage of assets, Hourly |
| Joshua Simpson | Illumination Wealth Management | San Diego | ChFC | Flat fee or retainer, Ongoing planning fee |
| Juan David Ramon Soto | Alliance Private Wealth | North Reading | CFP | Percentage of assets, Hourly |
| Julie Hupp | Vertex Planning Partners | Downers Grove | CFP | Percentage of assets, Fixed fees |
| Julie Pribble | Peak Asset Management | Louisville | CFA | Percentage of assets |
| Justin Watson | Beaird Harris | Dallas | CFP, PFS | Percentage of assets, Fixed fees |
| Kamila Elliott | Collective Wealth Partners | Atlanta | CFP | Percentage of assets, Hourly |
| Katarzyna Marczyk | Anchor Wealth Management Group | West Palm Beach | CFP | Percentage of assets, Hourly |
| Lafe Blobaum | Richard P. Slaughter Associates | Austin | CFP | Percentage of assets, Hourly |
| Liam Toohey | Richard P. Slaughter Associates | Austin | CFP | Percentage of assets, Hourly |
| Marc Jimenez | CAM Investor Solutions | Austin | CFP, CFA | Percentage of assets, Hourly |
| Maria Kelly | Amplius Wealth | Blue Bell | CFP | Percentage of assets, Hourly |
Guides
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Financial advisor for RSUs and stock options
An equity compensation advisor plans when to exercise and sell, covers the tax your employer under-withholds, and keeps one stock from running your plan. Fee-only planners charge a median $4,500 a year.
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Independent RIA vs wirehouse: which is better for you?
A wirehouse advisor works for a large national brokerage firm, is usually registered as both broker and adviser, and sells from the firm's platform. An independent RIA owns its firm, keeps your money at an outside custodian and owes a fiduciary duty throughout. Fee-only RIAs charge a median 1% of assets.
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Is Goldman Sachs fee-only? How Goldman Sachs is paid and what it costs
No. Goldman Sachs Ayco charges planning and advisory fees, but its advisors are also Goldman Sachs brokers and can be paid on commissions, insurance and referrals. Goldman Sachs Private Wealth Management sits inside Goldman Sachs & Co., a broker and an adviser in one firm.
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Company stock in your 401(k): when NUA saves tax
If your 401(k) holds your employer's stock, the NUA rules can tax most of its growth as a long-term capital gain instead of income. It pays off when the plan's cost basis is low. Ask for the basis before you roll anything over.
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Planning for a concentrated stock position
When one stock is a large share of what you own, the plan is a schedule for bringing it down while keeping the tax manageable: sales spread over years, shares given to charity, and for large holdings, exchange funds or hedges. A one-time plan from a fee-only planner has a median of $2,000.
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Do I need a financial advisor?
You probably don't need one for a simple situation you're happy managing. You likely do when money decisions get complex, large or hard to undo.