Broadway Advisor Group
    Wealth Planning for Tech Executives

    For Tech Executives

    Wealth Planning for Tech Executives

    Equity comp is most of your net worth. The decisions you make in the next 18 months will compound for the next 30 years.

    Whether you're at a public company managing RSUs, an early employee at a pre-IPO startup, or a founder approaching a liquidity event, your financial life is dominated by one risk: concentration. We help tech executives turn paper wealth into real, diversified, tax-efficient family wealth — without leaving unnecessary money on the table.

    01

    Concentration management

    10b5-1 plans, exchange funds, options-based hedging, and disciplined diversification frameworks for executives with single-stock exposure.

    02

    Equity-compensation tax strategy

    ISO exercise modeling, AMT planning, NSO timing, ESPP optimization, and RSU vest planning — all integrated with the rest of your tax picture.

    03

    Pre-IPO and pre-liquidity planning

    QSBS qualification, charitable trust strategies, gifting at low valuations, and the multi-year work that dramatically improves post-exit outcomes.

    What's included

    • 10b5-1 plan design and execution coordination
    • RSU vest-and-sell programs with tax-aware tranching
    • ISO exercise modeling with AMT impact analysis
    • QSBS (Section 1202) qualification and exclusion stacking
    • Pre-IPO charitable lead trust structures
    • Exchange fund and protection-collar strategies
    • Concentration management for founders pre- and post-exit
    • Coordination with tax counsel and M&A advisors

    Frequently Asked

    Questions we often hear

    Belief in the company and concentration risk are not the same conversation. Plenty of brilliant, dedicated executives have watched 80% of their net worth evaporate in a sector downturn or a single bad quarter. We don't ask you to bet against your company — we ask you to recognize that 50%+ of your family's financial future shouldn't depend on a single stock, no matter how much you love it. A disciplined diversification program lets you stay enthusiastic and stay protected.

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    Schedule a private consultation at our Albany office or by video.

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