The Stern Hess Group at Morgan Stanley

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The Stern Hess Group

OUR MISSION STATEMENT

Experience, intellectual capital and dedicated personal service to help you meet your life goals

Our Story and Services

Working with us

When your portfolio grows, so too does its complexity and the resources needed to help manage it.  Our team holds the Executive Financial Services designation and works largely with corporate executives and other insiders of life sciences and technology companies.  We advise our clients on pre & post IPO concentrated stock and help develop a strategy for their investments on an ongoing basis.  We provide objective advice on critical financial matters.  Our wealth management approach is rooted in a holistic financial planning process which allows us to work with our clients to understand their assets and liabilities, cash flows, and the risks and opportunities in the marketplace.  

Our group works with clients up and down the Pacific Coast.  We have a unique ability to cover the entire West Coast with team members located in both San Francisco and Los Angeles.  The team’s geographic diversity not only brings personal access to clients in various regions but also expands our investment approach to include some of the best ideas from Silicon Valley to San Diego, the Southernmost Hub of Tech/Biotechnology.

Services Include

  • Executive Financial Services
  • Stock Purchase Plans
  • Corporate Retirement Plans
  • Alternative Investments
  • Planning for Education Funding
  • Wealth Management
  • Financial Planning
  • Business Planning
  • Estate Planning Strategies
  • Lending Products


Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck.

Executive Financial Services

Executive Financial Services and 10b5-1



Our team serves a variety of corporations in the life sciences and technology sectors in providing executive financial services to the executive suite and other insiders.  We focus on providing advice for pre & post-IPO concentrated stock and uncover gifting, lending and liquidity strategies that are in line with a company’s insider trading policy.  Our team is often hired as the captive broker for the executive’s 10b5-1 plans and program. 

Morgan Stanley is #1 in the 10b5-1 business, with approximately 25% of market share.  Morgan Stanley, unlike most providers in the space, has a dedicated 10b5-1 department, that focuses solely on the establishment, management, execution and reporting of 10b5-1 plans and trades.  For a company with multiple executives trading through a 10b5-1 Plan, it is important to be able to control order flow and execution to avoid driving the stock price down unnecessarily, especially for large volume trades.  Our systems and proprietary trading platform help us to manage this risk and reduce the volatility of the stock during sales.  

In addition to this, we assist each executive in developing a liquidation strategy and trading schedule based on their needs and goals. We draft the 10b5-1 documents in compliance with corporate policy and work directly with corporate counsel or the company administrator to obtain plan approvals.  Our team will streamline plan administration and sale executions and ensures that all Section 16 notifications are provided and Rule 144’s are filed. Finally, we coordinate the executive’s stock clearance with the transfer agent and stock plan providers to provide timely settlement of all trades.


Professional Portfolio Management


Professional Portfolio Management


pm1.jpgPERSONALIZED PORTFOLIOS

Your Portfolio Manager will use his/her discretion to identify an investment strategy tailored to meet your needs.

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COMPREHENSIVE COMMUNICATIONS

Throughout your relationship, you’ll have direct access to the investment professional managing your portfolio.

pm3.jpg CLIENT FOCUS

Each account can be individually customized to meet your requirements for growth, income or preservation of capital within your risk constraints.

pm4.jpgASSET-BASED FEE

Fees for the program are based on your account’s asset level, not on the number of transactions performed in a given time period.



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Goals Planning System (GPS)


Morgan Stanley Goals Planning System (GPS) is an innovative new platform that will enable us to discuss your goals and determine if you are on track to achieve them.

Our objective is to help you chart a course that gets you where you want to be, and have the ability to adjust as personal situations and market change.




Location

Location

  • 101 California St. 3rd Fl.
  • San Francisco, CA 94111


      Meet The Stern Hess Group

      Investing

      Working closely with you to guide your wealth and investments through the most challenging market cycles.

      • Asset management
      • Traditional investments
      • Alternative Investments
      • Impact Investing

      Family

      Creating customized financial strategies for the challenges that today's families face.

      • Estate Planning
      • 529 Plans / Education Planning
      • Long Term Care Insurance
      • Trust Services and Accounting

      Retirement

      Working with you to understand your life goals and develop a truly personalized wealth strategy.  Today and for the years to come.

      • 401(k) Rollovers
      • IRA Plans
      • Retirement income strategies
      • Annuities

      Business Planning

      Partnering with you on key aspects of your business such as ownership, liquidity and developing opportunities.

      • Succession Planning
      • Business Planning
      • Retirement Plan Sponsors
      • Corporate Pension Funds

      Ready to start a conversation? Contact The Stern Hess Group today.

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