New York, NY Financial Advisors | The Braff Group

Corporate and executive advisory services

The Braff Group

212-649-8075
866-649-3684

877-824-1634

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?

Service

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.

¹ 2016 Group Five Stock Plan Administration Satisfaction Study, partial administration ratings.
² 2016 Group Five Stock Plan Administration Satisfaction Study, full administration ratings.
³ 2016 Group Five Stock Plan Administration Satisfaction Study, full administration ratings, shared with AST and Solium.
⁴ 2016 Group Five Stock Plan Administration Satisfaction Study, partial and full administration ratings (full administration shared with Fidelity).
⁵ 2016 Group Five Stock Plan Administration Satisfaction Study, partial administration ratings, shared with E*TRADE.
⁶ 2016 Group Five Stock Plan Administration Satisfaction Study, partial administration ratings, shared with Morgan Stanley.

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.

⁷ 2016 Group Five Stock Plan Administration Satisfaction Study.