Single Stock Exposure Management

 
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Single Stock Exposure Management

   
Reduce portfolio risk while increasing liquidityWe act as an independent advisor to holders of concentrated stock holdings. Our sole purpose is to help you identify and structure the optimum solutions to your needs.
 
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For a number of reasons, you may find yourself with a substantial portion of your wealth concentrated in a single stock. Perhaps you sold your business through an exchange of stock or invested wisely in a stock that has performed well. In any case, you find yourself in a potentially risky financial situation, but diversifying your portfolio seems certain to create a tax burden.

A Trusted Advisor
We will help you identify and structure the optimum solution to your needs. We will:

  • consult with you on your circumstances and objectives
  • analyze available alternatives
  • counsel you on the benefits and implications of each alternative
  • tailor a cost-effective solution to your individual profile
  • identify issues for you to review with your tax and legal advisors

Targeted Solutions in Synch with Your Goals
Exposure management strategies must be evaluated within the context of your broader financial circumstances. You and your relationship manager will review your:

  • overall financial picture
  • tax situation
  • risk tolerance
  • time horizon
  • immediate and long-term objectives

Possible available strategies include:

  • sale and reinvestment of all or part of the original asset
  • hedging to limit risk and defer capital gains
  • long-term solutions such as exchange funds and charitable remainder trusts

 

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Investment Products and Services are:

Not FDIC INSURED, May lose value, No bank Guarantee
Investment products and services are offered through Northern Trust Securities, Inc., member FINRA and SIPC and a wholly owned subsidiary of Northern Trust Corporation. Any attached research reports containing the Northern Trust Logo or trademark were prepared solely by employees of Northern Trust Investments, Inc., an affiliate of Northern Trust Securities, Inc.

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© 2014 Northern Trust Corporation
 
Katherine
Our Expert
Katherine Ellis Nixon
Chief Investment Officer - Personal Financial Services
 
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Katherine
Katherine Ellis Nixon
Chief Investment Officer - Personal Financial Services
 

Katherine is the Chief Investment Officer for the Personal Financial Services business at Northern Trust. In that capacity, Katie leads the national investment management practice for Northern Trust's Personal Financial Services (PFS) business from the firm's Chicago headquarters. Her responsibilities include investment policy development with a particular focus on portfolio construction and implementation. She also directs the investment management activities of over 200 Northern Trust portfolio managers across the firm's 79-office PFS franchise. Katie sits on the Firm's Investment Policy Committee and Tactical Asset Allocation Committee, and she chair's the PFS Investment Advisory Committee.

Prior to joining Northern Trust, Ms. Nixon worked at U.S. Trust Company for eighteen years in several investment related capacities, including Managing Director and Division Manager in the Wealth Management Division in New York, overseeing a group of portfolio managers and client service officers with total combined assets under management in excess of $7 Billion. Ms. Nixon also served on US Trust's Portfolio Policy Committee as well as the Private Equity Investment Committee.

Katherine received her B.A. from Wellesley College and her M.B.A. in Finance from New York University, Stern School of Business where she graduated with distinction, Beta Gamma Sigma, and was a Stern Scholar. She has received the designations of both Certified Investment Management Analyst (CIMA®) and Certified Private Wealth Advisor (CPWA®) from the Investment Management Consultants Association. Further, she has been awarded the Chartered Financial Analyst (CFA) designation, and is also a member of the New York Society of Security Analysts and the Investment Management Consultants Association (IMCA).

 
 
 
 
 
 
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