background image

Corporate & Venture Services

Insightful advice. Skilled execution.


Years of experience


Rule 10b5-1 trading plans managed


Share repurchases

A strong track record of transaction execution, built on deep regulatory knowledge and superior execution capabilities. 

We offer highly integrated trading and specialized investment services tailored to meet specific needs. Our core team has worked together for more than 20 years and solely focuses on providing support in all aspects of restricted stock transactions with thorough knowledge of SEC regulations.

We are optimally positioned within the equities division for pure execution focus, with full access to the firm's institutional sales & trading platforms. Our clients include management teams and board members, venture capital and private equity firms, entrepreneurs and high-net investors and corporations.

Our Services

Corporate Services

  • Share repurchase program
  • ATM execution
  • Executive option services

Executive Services

  • 144 execution
  • Rule 10b5-1 plans
  • Hedging strategies

Venture Services

  • Restricted stock sales
  • Block trades
  • Distribution management

IPO Services

  • Direct share programs
  • Lock up release management
  • Affiliate liquidity

Execution Capabilities

Block Trading

  • Principal bids
  • Multiple day stops with shared upside
  • Hybrid exit strategies
  • Derivative and hedging strategies

Share Repurchase Services

  • Dedicated trading desk for buybacks
  • Executed over $30 billion in repurchases and represented over 500 companies
  • 10b5-1 and block repurchases

Open Market Sales

  • Rule 144 execution/10b5-1 plans
  • Restricted stock sales
  • Advisory to executive teams/board members/PE firms
  • Algorithmic trading and dark pool access

Distribution Services

  • Experienced team for distribution management
  • Provide high level service to limited partners including availability for immediate stock sales