Corporate Advisory Services

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Merrill Lynch

Corporate Advisory Services

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Whatever your personal goals may be, we will work with you to develop a customized financial strategy designed to help you pursue what’s most important to you.

Corporate Advisory Services

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Helping you make the most of your equity plan benefits

Corporate Advisory Services is a team of highly qualified financial professionals dedicated to helping affluent individuals and families with their wealth management needs. Clients include entrepreneurs, corporate executives, media celebrities, philanthropic entities and owners of private corporations. Many came to our group because of a liquidity event such as the sale of a company, an investment property or a concentrated block of stock. We provide them with personalized service along with access to the global resources of one of the world's largest financial services firms and our own extensive experience and training. Team members have been recognized by Financial Times and Barron's as among the top financial advisors in the United States.

Corporate Advisory Services is particularly skilled in assisting corporate executives with the challenges posed by equity award plans and helping them manage these awards as part of their personal wealth. We offer executives:

  • Help with understanding and exploiting the benefits of their equity awards
  • Timely financial information and regular feedback on their progress
  • Assistance with integrating the various parts of their financial life
  • Wealth management guidance designed to assist them in preparing for the next phase in their lives
  • The ability to access information and make transactions online, via telephone or in person
Barron's "Top 1,200 Financial Advisors" list, March 12, 2018. For more information about the selection criteria, go to https://www.ml.com/articles/awards-recognition.html  Barron's is a trademark of Dow Jones & Company, Inc. All rights reserved. Years prior to 2014, this Barron's list consisted of 1,000 advisors.

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Fitting your equity benefits into your financial picture

We have extensive experience helping executives integrate their equity and other compensation—including nonqualified deferred compensation plans, pension plans, and health savings and flexible spending accounts—into an overall wealth management strategy.

Executives of publicly traded corporations often receive a substantial portion of their compensation in the form of options on company stock and restricted securities. They must make difficult decisions about when and how to monetize these awards and how to handle the resulting concentrated positions. We can draw on our own experience with the issues surrounding option exercise and restrictions on insider stock sales, together with the expansive resources of Merrill Lynch, to assist clients with:

  • Determining a value for their equity awards and understanding how their total compensation program fits into their current and long-term financial picture
  • Designing a strategy to help manage their equity awards and decide when to monetize their options
  • Incorporating the resulting assets into investment portfolios reflecting their goals, risk tolerance, time horizon and liquidity needs

Serving executives' unique financial needs

We understand the challenges that corporate executives face in their financial lives. Using Merrill Lynch's Wealth Outlook® program, we can help you visualize all your assets and evaluate the likelihood, under various market scenarios, of achieving certain financial objectives within a specified time frame. Based on the results, we can develop a customized wealth management strategy tailored to your individual situation. This may include such elements as:

    • Stock option planning services
    • Investment management
    • Retirement planning services
    • Tax minimization strategies, in collaboration with your tax professionals
    • Asset allocation strategies
    • Philanthropic strategies
    • Legacy planning services
Equity awards—Handling equity awards involves complicated choices. With our years of experience in this area, we are well equipped to help you make informed decisions as to when to exercise company stock options and sell or gift restricted stock shares. We can also help you execute these trades in accordance with regulatory restrictions while seeking to minimize risk and tax liabilities and maximize award values. In addition, we can assist with the proper reporting of insider stock purchases and sales.

Although we are committed to helping you at every step of the way, we believe you should be an informed participant in your wealth management. We conduct communication and education programs to help you manage your equity awards and integrate them into a wealth management strategy for pursuing your long- and short-term goals.

We know that goals and circumstances may change over time. Throughout our relationship, we will conduct periodic reviews to help keep your strategy aligned with your evolving situation. We can also provide guidance designed to help you weather market ups and downs and alert you to potential opportunities.

If you prefer to work with a financial advisor closer to home, we can leverage our relationships with other Merrill Lynch teams around the country to assist you in finding a financial advisor as dedicated as we are to helping you pursue your financial goals and dreams.


"We put clients' assets and income streams into what we like to call a financial blender, which factors in tax implications and a variety of return expectations based on probabilistic forecasting and BofA Merrill Lynch Global Research's award-winning research.* This allows us to generate likely outcomes, which form a great starting point for clients to make their decisions."

Dean Packard, CIMA®, CFP®

Senior Vice President
Wealth Management Advisor



*Any information presented in connection with BofA Merrill Lynch Global Research is general in nature and is not intended to provide personal investment advice. The information does not take into account the specific investment objectives, financial situation and particular needs of any specific person who may receive it. Investors should understand that statements regarding future prospects may not be realized.BofA Merrill Lynch Global Research is equity research produced by Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or one or more of its non-U.S. affiliates. BofA Merrill Lynch Global Research does and seeks to do business with companies covered in its research reports. As a result, investors should be aware that the firm may have a conflict of interest that could affect the objectivity of this report. Investors should consider this report as only a single factor in making their investment decision.



 

The importance of discipline and a long view

We take a long-term approach to investing based on creating diversified portfolios through the strategic allocation of assets. We believe that this, rather than security selection and market timing, provides a solid foundation for pursuing the outcomes you desire. We measure our performance not against benchmarks like the Standard & Poor's 500 but against your goals.

In structuring an investment strategy for you, we:

  • Tailor our recommendations to your objectives, risk tolerance, time horizon and liquidity needs
  • Seek diversification across major asset classes
  • Consider a variety of investment choices through professional investment managers, using information from Merrill Lynch's Investment Management and Guidance group to examine their past performance and analyze their future growth potential

Managing risk
We believe that risk management is critical to growing and preserving your wealth. We can help you determine the level of risk you're comfortable with and balance that against the level that may be required to pursue your goals within the desired time frame.

Corporate executives holding concentrated positions in company stock face significant risk, since an adverse movement in the share price can undermine their financial preparations. We can help you manage this risk through such techniques as:

  • Diversification away from company stock, combined with strategic asset allocation, can help you manage risk while maintaining appropriate-size positions in company stock and developing broader industry exposure. All asset classes are not suitable for all investors. Each investor should select asset classes that are suited to his or her goals, time horizon, liquidity needs and risk tolerance.
  • Hedging can be an effective tool when selling a concentrated position is not an option.**
  • Monetization can help produce an income stream.**
  • Strategies using portfolio design and optimization may help you retain more of your assets.
If appropriate, we may suggest a staged selling strategy in accordance with SEC Rule 10b5-1. Such a strategy can help you retain some of the upside potential of the concentrated position while gradually converting it into a diversified portfolio.


**Hedging and monetization strategies can result in higher return potential but also higher loss potential. Prospective investors are required to meet certain qualifications and acknowledge they understand the risks associated with certain hedging and monetization strategies that may not be suitable for all investors.
Merrill Lynch offers a broad range of brokerage, investment advisory and other services. There are important differences between brokerage and investment advisory services, including the type of advice and assistance provided, the fees charged, and the rights and obligations of the parties. It is important to understand the differences, particularly when determining a service or services to select.

Meet the Team

Supported by the global resources of Merrill Lynch, our team is comprised of talented and experienced individuals committed to building strong client relationships based on trust and personalized service.

Thomas J. Rietano III

Thomas J. Rietano III

Private Wealth Advisor

202.659.7421
Wayne F. Nelson

Wayne F. Nelson

Wealth Management Advisor

202.659.7234
Trevor Nelson

Trevor Nelson

Wealth Management Advisor

202.429.4647
Dean  Packard

Dean Packard

Wealth Management Advisor

202.659.6114
Scott C. Lowder

Scott C. Lowder

Senior Financial Advisor

202.659.6044
John Vytas Maginnis

John Vytas Maginnis

Senior Financial Advisor

202.429.6969
Philip J. Doyle

Philip J. Doyle

Financial Advisor

202.659.6128
Ford Martin

Ford Martin

Financial Advisor

202.659.7499
Leigh Atkins

Leigh Atkins

Registered Senior Client Associate

202.659.6054
Ellen McLellan

Ellen McLellan

Registered Senior Client Associate

202.659.7404
Anne  Hoopes

Anne Hoopes

Senior Private Wealth Associate

202.659.7303
Christine Brown

Christine Brown

Registered Senior Client Associate

202.659.6117
Ron Franzese

Ron Franzese

Client Associate

202.862.2672
Andrew P. Shifter

Andrew P. Shifter

Registered Analyst

202.862.2679
Robert Huber

Robert Huber

Analyst Relationship Management

908.237.2992
David Mehler

David Mehler

Financial Advisor

904.634.6017
Jennifer Farina

Jennifer Farina

Registered Senior Client Associate

202.659.7232

Your Financial Strategy

We offer you access to the investing insights of Merrill Lynch, trust and fiduciary services from U.S. Trust, and the banking convenience of Bank of America to help you pursue your goals. We will work to help you stay on track, regardless of what the markets are doing.

FAMILY
FAMILY
Taking care of your family and other people in your life
  • Trust & Estate Services2
  • Education Funding Strategies1
  • Insurance3
HEALTH
HEALTH
Planning for healthcare expenses now and in the future
  • Long-term Care Insurance3
  • Health Savings Account2
  • Disability Insurance3
HOME
HOME
Upsizing, downsizing, remodeling or buying a vacation home
  • Home Loans2
  • Home Equity Lines of Credit2
  • Securities-Based Lending2
  • Credit Cards2
WORK
WORK
Working in retirement, selling or starting a business
  • Bank of America Business Banking2
  • Exchange Funds1
  • Concentrated Stock Management1
  • Succession Planning1
LEISURE
LEISURE
Spending your free time in meaningful ways
  • Credit Cards2
  • Securities-Based Lending2
  • Structured Lending2
GIVING
GIVING
Volunteering, mentoring others and giving to charities
  • Donor-Advised Funds2
  • Private Foundations2
  • Charitable Trusts2
FINANCE
FINANCE
Using your finances to bring it all together
  • Merrill Lynch Investment Accounts1
  • Investment Advisory Accounts1
  • Alternative Investments1
  • Exchange-Traded Funds1
  • Mutual Funds1
  • Closed-end Funds1
  • Fixed Income Products1
  • Options1
  • Annuities3
  • Impact Portfolios1
  • Market-Linked Investments1
  • Securities-Based Lending2
  • Margin1
  • Home Loans2
  • Bank of America Checking and Savings Accounts2
  • Credit Cards2
  • Online Account Access1,2

1Investment products are offered by Merrill Lynch, Pierce, Fenner & Smith Incorporated.
2Banking products are offered by Bank of America, N.A.
3Insurance and annuity products offered through Merrill Lynch Life Agency Inc.

Staying on Track

We understand that both your life and the financial markets can change over time. By periodically checking in to discuss changes in your life and revisiting your financial strategy, our goal is to help give you peace of mind* that you're on track to help achieve what's most important to you.

Regular reviews to help you stay on track
Regular reviews to help you stay on track

We'll meet with you periodically to review your goals and the progress you’ve made toward reaching them. We'll also discuss any adjustments needed to your financial strategy to help you stay on course.

  • Sample client review agenda
  • Sample Wealth Outlook Report
Monitoring changes in your life and to your goals
Monitoring changes in your life and to your goals

Your life and goals change. We can help you keep track of these changes so they can be reflected in your financial strategy.

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Access to what you need, when you need it

MyMerrill is your destination for access to your financial information, secure communications, and a robust offering of tools and capabilities.

  • Your advisor is never more than a click away within our site or mobile apps
  • Manage account security with our customizable security capabilities such as touch id, one time passcode, and other security features
  • Access to your complete financial life is available with My Financial Picture, Merrill Lynch’s asset aggregation tool

*Peace of mind is an aspirational state of mind that clients hope to achieve. There are no guaranteed results following completion of the Goals-Based Wealth Management process because markets can fluctuate and investments can lose value. Advisors work with clients to help them understand how the goals based wealth management process can help to address their concerns, financial situation and priorities.

Let’s Have a Conversation

Helping you reach your goals starts with getting to know you personally. Through understanding what matters most to you, we can help you create a financial strategy that reflects your personality. Only then can we offer an approach that is built around your life priorities and the ongoing advice you need to help you manage fluctuations in the market and changes in your life. Let’s work together to help you achieve your goals.

Why Merrill Lynch?

As Merrill Lynch financial advisors, we will sort through the financial complexities of your life, helping you build a customized investment strategy to pursue your goals.


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We put you first, every day.
Learn more about the dedicated one-on-one relationship you can have with a Merrill Lynch financial advisor.





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Personalized advice from a dedicated financial advisor.

Getting to know you is our primary goal.

A comprehensive approach, built around your life’s priorities.

Drawing from our experience and the best thinking of Merrill Lynch, we will build a strategy that reflects your unique needs, priorities and financial situation.

Adjusting your plan as your life and the markets change.

We will work to help you stay on track, regardless of what the markets are doing.