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Case Studies    

Family Receives Sound Financial Guidance Through Liquidity Event

How To Invest Proceeds Might Unite Or Divide Husband And Wife

Andy is a 43-year old executive in the garment industry. He is an intelligent and capable senior leader in a private company which is about to be acquired. Andy’s equity is about to be worth more money than he and his wife ever thought they would make. But Andy has an important decision to make. Should he take the equity and invest it or should he roll it over into equity in the acquiring company? Both options are attractive and have risks. His wife wants to be conservative. Andy wants to roll the dice. This case study shows how we helped this family analyze and develop the best possible plan for their goals.

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Minority Share-Holder’s Equity Protected After Unexpected Passing Of Partner

Family And Business Relationships Preserved, Income Needs Addressed

The Client Situation

Fred is a 62-year old entrepreneur who is now facing a very difficult situation that puts his net-worth at tremendous risk. Fred is the minority share-holder in a steel manufacturing business that comprises the majority of his net worth. While Fred has a healthy investment portfolio, it pales in comparison to the value of his equity in the company.

The steel manufacturing business is worth more than 50 million dollars and it has provided a very comfortable living for Fred and his family for over two decades. However, the majority share holder in the firm, Steven, recently passed away, very unexpectedly.

Steven was far more than a business partner to Fred. When Fred was just out of college, Steven became his mentor and saw some things in Fred that he didn’t see in himself. Steven believed in Fred and taught him a great deal about business. Steven even offered Fred a minority share when they opened the steel manufacturing business together.

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Private Family Business Successfully Transfers To Next Generation

A Complex Array Of Issues Are Addressed Through A Consultative Process

The Client Situation

Ralph is a 72 year old man from the Midwest who is the second generation owner of a very successful food processing company. His oldest son is now CEO of the company and his daughter is VP of sales. However, he has two other children who need to be taken care of as he transitions the business. He also doesn’t want to cede complete control just yet.

Ralph wants to leave the business to his children and grandchildren as a family legacy. But he is concerned that they cannot afford to buy it from him. He is also well aware of potential tax consequences. However, he is not aware that he is placing everything he cares about at risk by taking no action.

The case study tells the story of how we help business owners effectively transition successful companies to the next generation and maintain family unity through the process.

Click here to view the full case study.


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