Newport Beach, California

Business Services

We Offer A Full Range of Support for Those Selling a Business

We assist clients in structuring and executing custom-built strategies for their specific needs and complex requirements.

Stifel works closely with clients to conduct pre-transaction planning to identify attractive opportunities to structure and to transfer wealth in a tax-efficient manner, taking into account all their specific needs and circumstances.


  • Accumulation of wealth through concentrated ownership
  • Entering into an evolving regulatory environment
  • Participating in monetization of restricted stock
  • Transitioning into concentrated public stock position
  • Maximizing after-tax value of corporate holdings

How Stifel Can Help

  • Risk mitigation strategies
  • Investment structures with enhanced flexibility and regulatory protection
  • Guidance to manage restrictions and requirements for corporate insiders
  • Disposition strategies and timing for diversification
  • Strategic asset location planning strategies

Corporate & Executive Services

Clients of corporations require a unique skill set that most regional firms do not offer and oftentimes are too small for the large institutions.
At Stifel, we offer business owners a complete suite of services:

Corporate Retirement Plans

  • Consultative approach to defined benefit and defined contribution plans
  • Platform aqnostic and unbiased guidance
  • Participant education and guidance

Corporate Executive Services

  • Assist executives on their concentrated stock positions
  • Sales of control stock, 10b5-1
  • Rule 144 - Restricted Stock

Equity-Based Awards

  • Best-in-class equity award recordkeeping platform
  • Multi-channel equity award access
  • Ritz Carlton executive service model

Non-Qualified Deferred Comp

  • Valuable corporate tool for recruiting and retaining top talent
  • Specialized wealth management strategies for key executives

Directed Share Program

  • Allows specified employees, officers, directors, and/or friends and family to participate in a public offering
  • Dedicated resources offering guidance throughout process

Stock Option Programs

  • Cashless Stock Option Exercise
  • Option Reporting

Financial Guidance For Your Workforce

For many of your employees, an employer-sponsored retirement plan may be their only source of retirement savings.

Marie Steinman, as your plan's dedicated Financial Advisor, can be an asset to your work force for guidance related to:

  • Asset allocation
  • Retirement planning strategies
  • Navigating volatile markets
  • Education planning

The Role of the Financial Advisor

Provider Evaluation and Selection Assistance

Investment Policy Statement Consultation

Assistance with Investment Selection and Monitoring

Plan Design Review

Monitoring of Plan Admin and Compliance Providers

Investment Consulting & Education for Participants

Stifel does not provide tax advice. You should consult with your tax advisor regarding your particular situation.

Asset allocation does not ensure a profit or protect against loss.