FAQs About Our Relationship with LPL Strategic Wealth

Davis Executive Wealth is an independent wealth management firm serving corporate executives, business owners, retirees, and high-net-worth families. When clients' financial situations become more complex, we can collaborate with experienced professionals supported by LPL Strategic Wealth while maintaining our independence and personalized client relationships.

Why did Davis Executive Wealth choose LPL Financial?

As the needs of many of our clients became increasingly complex, Davis Executive Wealth conducted extensive due diligence and evaluated a variety of potential relationships. We wanted to align with an institution that offered significant scale and continued investment in technology. We also wanted a relationship that would preserve our culture and client engagement model.

LPL Strategic Wealth was a strong fit because its model supports independent firms without replacing their identity or client relationships. It gives us added depth when clients need it while allowing Davis Executive Wealth to remain independent.

What is LPL Strategic Wealth?

LPL Strategic Wealth is the model through which our professionals are affiliated with LPL Financial. It supports independent firms with additional infrastructure and capabilities while allowing them to maintain their own brand, client relationships, and approach to advice.

Depending on the account type and services provided, LPL Financial may serve as the broker-dealer, custodian, or investment adviser supporting the account. Davis Executive Wealth remains at the center of the client relationship.

Does Davis Executive Wealth remain independent?

Yes. Independence remains an important part of how Davis Executive Wealth operates.

LPL Financial is a strategic choice designed to support our business and clients. Independence continues to shape how we serve clients.

What additional resources can this relationship provide?

Depending on a client's needs, Davis Executive Wealth can access resources related to:

• Comprehensive financial planning
• Executive compensation planning
• Restricted stock unit (RSU) planning
• Stock option and concentrated equity strategies
• Retirement income planning
• Estate planning coordination
• Tax-efficient wealth management
• Business succession and exit planning
• Family wealth transfer strategies
• Philanthropic and legacy planning
• Insurance and risk management planning
• Investment management and portfolio construction

These capabilities provide additional depth when a client's circumstances become more sophisticated. Not every client will need every resource, and the planning experience remains personalized.

How does this benefit clients with complex financial lives?

Families with significant wealth often face several interconnected decisions. These may involve concentrated stock, executive compensation, retirement income, business ownership, liquidity events, estate planning, taxes, charitable giving, and intergenerational wealth transfer. When those decisions require deeper coordination, we can bring in additional specialists when those decisions require deeper coordination.

The goal is to strengthen the resources behind the Davis Executive Wealth relationship without making the client experience more complicated.

Who do clients actually work with?

Clients work directly with Davis Executive Wealth. Our firm owns the client relationship and experience. We understand each client's circumstances, help establish priorities, and guide financial decisions. When useful, we bring in additional expertise to support that work.

What types of clients does Davis Executive Wealth serve?

Clients often come to us when several parts of their financial lives need to be considered together. Their planning may involve complex compensation, concentrated stock, retirement decisions, estate considerations, or business interests.

Can Davis Executive Wealth help with executive compensation planning?

Yes. We work with executives who receive stock options, restricted stock, deferred compensation, and other forms of equity-based compensation. We help clients evaluate those opportunities as part of their broader financial plans.

Does Davis Executive Wealth provide family office-style services?

Davis Executive Wealth provides a highly coordinated approach to wealth management. We may collaborate with attorneys, CPAs, insurance professionals, and other specialists to help clients make informed decisions across their financial lives.

Can Davis Executive Wealth help business owners preparing for a sale or transition?

Yes. We help business owners evaluate planning considerations surrounding a sale or transition. These can include succession, liquidity, retirement, tax considerations, and wealth preservation.

Did Davis Executive Wealth make this change because of its own growth?

Growth was part of the decision. As Davis Executive Wealth expanded, the families we serve faced increasingly sophisticated financial decisions. We wanted to ensure that our resources could evolve with those needs.

The decision positioned Davis Executive Wealth to continue serving clients as their financial lives evolve.

Davis Executive Wealth combines personalized wealth management with access to broader planning professionals supported by LPL Strategic Wealth. Our focus is helping clients navigate complexity while preserving the trusted relationships that define our firm.