These services include, but are not limited to liquidity event planning, restricted and control security selling, corporate cash management, syndicate, buy-sell agreements, and margin lending and hypothecation.

Liquidity Event Planning

We assist companies and individuals through the entire liquidity process. Our relationships with investment bankers, tax planning relocation specialists, valuation consultants, estate planning attorneys, and M&A attorneys gives us the ability to quickly assemble industry specific teams to help negotiate the numerous details of a successful transaction. Our pre-liquidity event planning ensures that clients will maximize their post-liquidity potential.

Restricted & Control Securities

We deliver guidance on public resale of securities subject to Rule 144. We have a history of working closely with private equity investors and company affiliates to efficiently sell restricted and control securities. These complex sales are monitored through completion utilizing a strategic approach that’s specific to each security.

Corporate Cash Management

Proper deployment of corporate assets into short-term investment vehicles is an essential part of business operations. Depending on the industry and economic environment our team will surface a multitude of investment options suitable for a specific company’s cash and liquidity requirements.


Equity syndicate alliances that we participate in give us the ability to submit indications of interest on behalf of clients for initial public offerings (IPO) and discounted secondary offerings. These deals are competitive, and the percentage of shares allocated varies. 

Buy-Sell Agreements

Privately held businesses with multiple owners may benefit from buy-sell agreements. These arrangements can cover a wide range of potential scenarios and provide a vehicle for orderly business succession. We orchestrate a team of professionals to advise on valuation, structure, tax implications, and funding solutions.

Margin Lending & Hypothecation

We offer solutions from personal credit lines to equity hypothecation, including marginable restricted and control securities. These loans are governed by federal regulation, FINRA rules, and the securities exchanges.

Priority Credit Line is offered by Wells Fargo Advisors and lending and margin accounts are carried by Wells Fargo Clearing Services, LLC (WFCS). Wells Fargo Advisors is a trade name used by WFCS and Wells Fargo Advisors Financial Network, LLC, Members SIPC, separate registered broker-dealers and non-bank affiliates of Wells Fargo & Company. Margin borrowing may not be suitable for all investors. When you use margin, you are subject to a high degree of risk. Market conditions can magnify any potential for loss. The value of the securities you hold in your account, which will fluctuate, must be maintained above a minimum value in order for the loan to remain in good standing. If it is not, you will be required to deposit additional securities and/or cash in the account or securities in the account may be sold. Clients are not entitled to choose which securities in their accounts are sold. The sale of their pledged securities may cause clients to suffer adverse tax consequences. Clients should discuss the tax implications of pledging securities as collateral with their tax advisors. An increase in interest rates will affect the overall cost of borrowing. Margin strategies are not appropriate for retirement accounts. Please carefully review the margin agreement, which explains the terms and conditions of the margin account, including how the interest on the loan is calculated. Wells Fargo Advisors Financial Network is not a legal or tax advisor.