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7 Unique strategies to manage concentrated stock.

Strategies for taking the tax bite out of diversifying.

Specific stories of how individuals have leveraged these strategies written in plain english. 

This 7-page guide will teach you unique strategies to manage your concentrated wealth.

In 2011, Dave Alison, CFP® and a few partners started an organization with the vision to transform the financial industry from a transaction-based model to a client-centric holistic planning model. Today, that organization has a team of over 40 employees and 300 financial professionals through the United States. Each year those professionals are able to help thousands of families simplify their financial lives through holistic financial planning. Dave has consistently sought out, worked with and learned from highly successful and experience financial professionals in his continuing journey in financial services. He has served as a mentor and trainer to hundreds of financial planners, CPAs and estate planning attorneys as well as a frequent speaker at industry conferences through the United States.

Simultaneously while the national organization was growing and after observing a family member experience the highs and lows of moving from a tech startup, through the unknowns of acquisition, to the grind of climbing the corporate ladder of a top 5 tech organization, Dave realized the distinct work-life balance challenge for Silicon Valley employees. Alison Wealth Management was launched as a financial planning & wealth management firm bringing household CFO services to affluent families & high-income professionals in the technology industry in Silicon Valley.

Today, he works to help his clients protect and grow their wealth through holistic financial planning and by providing a multi-disciplined approach incorporating investments, tax, insurance, real estate, compensation, and estate planning into one cohesive plan. The company’s founding philosophy is to make clients’ financial lives easier through simplified and integrated financial planning.


Learn How To Manage Concentrated Stock

Financial Planning and Advisory Services are offered through Prosperity Capital Advisors ("PCA") an SEC registered investment adviser with its principal place of business in the State of Ohio. PCA and its representatives are in compliance with the current registration requirements imposed upon registered investment advisers by those states in which PCA maintains clients. PCA may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. This brochure is limited to the dissemination of general information pertaining to its investment advisory/management services. Any subsequent, direct communication by PCA with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. Alison Wealth Management and PCA are separate, non-affiliated entities. For information pertaining to the registration status of PCA, please contact the firm or refer to the Investment Adviser Public Disclosure web site (www.adviserinfo.sec.gov). For additional information about PCA, including fees and services, send for our disclosure statement as set forth on Form ADV from PCA using the contact information herein. Please read the disclosure statement carefully before you invest or send money. © 2018 Alison Wealth Management 2016-2018 Alison Wealth Management.

As a financial planning firm, at Alison Wealth Management we help you answer all the difficult questions. We specialize in providing household CFO services to affluent families & high-income professionals in Silicon Valley. We will work to bring the pieces of your financial life together so you don't have to spend the time trying to figure it out yourself, including (but not limited to):

  • Comprehensive financial planning
  • Time-segmented goals-based planning (home purchase, business acquisitions, college funding solutions)
  • Compensation and cash flow planning
  • 10b5-1 trading plans
  • Highly-concentrated stock & stock option planning
  • Risk management & hedging strategies
  • Mortgage, student loan, & debt reconstruction planning
  • Household budgeting and financial management
  • Data-driven evidence-based investment management
  • Tax planning & tax management
  • Coordinated estate planning* (services provided by independent attorney)
  • Income tax reduction & diversification strategies
  • Charitable giving
  • UK/US Cross Border Financial and Tax Planning
  • Retirement income planning
  • Comprehensive insurance evaluation and planning


For many of our clients that have been granted stock in these companies, a new financial planning challenge has been created, managing concentrated stock risk.

Today the top five S&P 500 companies — Apple, Amazon.com, Google, Microsoft and Facebook — combined are worth $4.095 trillion versus $4.092 trillion for the bottom 282 companies.

The gains have been extraordinary over the past five years, with Facebook, Apple, Amazon, Microsoft and Google growing from $1.2 trillion to over $4 trillion.

Concerned About Stock Concentration?

Dave Alison


Alison Wealth Management
530 Lytton Ave, Fl 2
Palo Alto, CA 94301

In 1965, AT&T Inc. and General Motors Co. alone represented 14.5% of the S&P 500. What is different today, however, is that all the big players are tech names.

While this might seem mind-boggling, this sort of concentration is normal.