Corporate and executive advisory services

The Braff Group Douglas P. Braff, Douglas L. Coughlin, Kelly L. Ganz, Patrick R. DiSimone

The Braff Group






UBS Financial Services Inc.
1285 Ave of the Americas
15th, 16th,17th, + 18th Floors
New York, NY 10019

The top reasons clients choose us

When it comes to providing the best solution to administering an equity compensation plan, it’s more important than ever to have the right team by your side. Why do corporate clients choose The Braff Group?


We want your company’s experience with us to be nothing less than exceptional.

Our team administration and support services can help you manage your plans with confidence. We’re an accessible, hands-on team with two critical goals:

  • Improving your plan’s flexibility and efficiency
  • Simplifying your daily involvement

Because we believe that participants should fully understand the role equity compensation plays in their overall wealth management, we offer a fully integrated set of solutions and services to help them and their families pursue their short- and long-term goals

Industry-leading platform

We’re an industry leader in global equity plan administration services, solutions and support.

UBS is proud to deliver the extensive resources of our firm, which have been recognized nationally for quality and excellence. According to the 2016 Group Five survey, UBS has achieved a #1 rating in the following areas:

  • Overall satisfaction1
  • Account support1
  • Loyalty1
  • Accessibility and responsiveness2
  • Ease of plan administration platform2
  • Dashboard and analytic tools2
  • Security and privacy of data3
  • Plan event execution2
  • Executive services4
  • Wealth management services5
  • Participant website1
  • Modeling tools5
  • Overall fee value6

In coordination with the UBS Equity Plan Advisory Team, The Braff Group offers a full range of equity administration services to help clarify and simplify day-to-day management, recordkeeping and financial reporting for you and your employees, including:

  • Administration of 10b5-1 trading plans
  • Rule 144 and Section 16b processing and Filing
  • Form 3, 4, 5 filing assistance
  • Pre-clearance process and handling for corporate insiders
  • Exercise strategies, single-stock risk management and concentrated position
  • Implementation of blackout periods for specific individuals or company-wide groups
  • Single-stock risk management and concentrated position analysis
  • Wealth management and financial planning

Group Five is the industry leader for corporate client, shareholder and plan participant satisfaction research and consulting in the stock plan and shareholder services industries.

Premier services for executives

Drawing upon the resources of UBS, we strive is to simplify your financial life by providing you with personalized advisory services that offer greater customization, convenience and flexibility.

Our services include:

  • 10b5-1 trading plans
  • Education for executives on process and procedures related to SEC regulations and internal corporate policy for insiders
  • Oversight of pre-clearance procedures and any special handling requirements for Rule 144 and Section 16 insiders
  • Trade execution for insiders
  • The completion of Forms 3, 4 and 5 by providing data relative to transactions that occurred for all individuals with a Section 16 code
  • Implementation of blackout periods for specific individuals, or company-wide groups (e.g., insiders), or participants at the plan and transaction levels

Employee education and advice

Our employee education and advice programs help your employees derive more value from their equity awards.

Companies that offer equity awards are seeking to reward their employees and build loyalty at the same time. But, many employees who receive awards don’t truly value their equity compensation. In an industry-wide survey of more than 1,000 equity plan participants,7 UBS found that people truly value only what they fully understand. That’s why The Braff Group provides the education and access to advice that participants need to help them appreciate the real and substantial value of their awards—in both their professional and financial lives. In fact, we can connect you with a locally based Advisor team from our national network of Advisor partnerships to help you get started.

Participants obtain greater value from their equity awards when we help them take three key steps:

Step 1. Plan. Incorporating equity awards into an overall financial plan can help participants gain confidence in their ability to achieve long-term goals.

Step 2. Get advice. The more participants know about their awards, the better prepared they will be to make important financial decisions. We’re here to help them understand the complexity of equity awards and how they can best help them build future wealth. Another way to access valuable advice is with UBS One Source, our online platform that delivers education and capabilities for handling transactions and financial modeling.

Step 3. Diversify. Participants who diversify their company stock holdings place more value on their awards because they’ve taken steps to help protect what they’ve worked so hard to achieve.

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