Investment Management Coordinated With Your Tax Strategy and Equity Compensation
Managing investments in isolation from your RSU vesting schedule, your tax bracket and your overall financial plan is how money gets left on the table. We build and manage your portfolio as one integrated picture.
Investment management at Hawk Advisory is not separate from financial planning. It is the execution layer of your financial strategy. Decisions about what to hold, where to hold it and when to rebalance are made in direct coordination with your tax situation, your equity compensation schedule and your long-term goals. That coordination is where the real value is.
Who investment management at Hawk Advisory is for
Investment management works best when there is real complexity to coordinate. We work with established professionals who have:
- Meaningful investable assets spread across several accounts with no unified strategy
- Accounts that have been self-managed or left on autopilot and have outgrown a hands-off approach
- A financial plan in place, or being built, that investment decisions need to connect with and execute against
- A high tax burden that makes account structure, asset location and tax-aware trading materially relevant
- Equity compensation generating ongoing liquidity events (RSU vests, ISO exercises, ESPP proceeds) that need to be absorbed into a coherent portfolio strategy
What investment management covers
We manage client portfolios held at Altruist, an independent qualified custodian. Our advisory services include:
- Portfolio construction. A diversified allocation tailored to your time horizon, risk tolerance and tax situation, using low-cost ETFs and index funds.
- Asset location. Coordinating what sits in your taxable accounts, IRA and 401(k) so your overall tax drag is minimized without changing your investment strategy.
- Tax-aware trading. Reviewing tax lots before every trade to avoid unnecessary capital gains, and coordinating sales with your overall tax picture.
- Tax-loss harvesting. Identifying losses that offset gains from RSU vests, option exercises or rebalancing.
- Ongoing rebalancing. Keeping your target allocation as markets move and equity events add new concentrations.
- Concentrated position management. A strategy to reduce single-stock concentration from equity compensation in a tax-efficient sequence.
- Equity event coordination. Timing portfolio decisions around RSU vest dates, ISO exercise windows and ESPP sale cycles.
How investment management works
Getting started. Most clients begin with the Equity Strategy Engagement, then move into an ongoing relationship where planning and management run together. If you already have a plan, we will tell you honestly on the intro call where you would start.
Your accounts, your custodian. All managed accounts are held in your name at Altruist. You keep full ownership and direct access at all times. If you ever end the relationship, we remove trading authority and your holdings stay in place, with no forced sales and no unintended tax event.
Ongoing management. We monitor and manage your portfolio year-round, coordinating around tax season, vesting events and year-end planning. You receive regular portfolio updates, and we review your allocation at each scheduled meeting.
Investment management and financial planning. The two are designed to work together. Managing a portfolio with full visibility into your tax situation and financial plan produces a more coordinated result than either alone. We settle how to structure your relationship in the first conversation.
How we are paid
Investment management is priced as a percentage of assets under management, billed quarterly in arrears from your managed accounts. It covers portfolio management; planning is a separate fee within the same relationship. We receive no commissions or product payments. Your exact fee is confirmed on the intro call, and our Form ADV, filed with the California DFPI, has the full fee disclosure.
Frequently asked questions about investment management
What does managing my investments involve?
Portfolio construction, asset location, tax-aware trading, tax-loss harvesting, rebalancing and equity-event coordination, under your advisory agreement.
Where are managed accounts held?
Managed portfolios are held in your name at Altruist, an independent qualified custodian. You retain ownership and direct access.
How is investment management priced?
As a percentage of assets under management, billed quarterly in arrears from managed accounts. Planning has a separate fee within the relationship. See Form ADV for details.
What happens if I stop working with you?
Trading authority is removed and your holdings remain in your accounts. Ending the relationship does not require forced sales.
How does this differ from a robo-advisor or DIY?
We coordinate your portfolio with your specific tax position, equity compensation schedule and broader financial plan.
What is your investment approach?
Diversified portfolios using low-cost ETFs and index funds, tailored to your time horizon, risk tolerance and tax situation.
How do taxes factor in?
Asset location, tax-lot selection, loss harvesting and sale timing are considered alongside your income, vesting schedule and overall tax picture.
About Elena Hawk, CFP®
Elena Hawk, CFP®, is the founder of Hawk Advisory LLC, a registered investment advisory firm. Her background spans wealth management at JPMorgan Chase, Raymond James and UBS, where she worked directly with investment portfolios across a range of client situations and complexity levels. She built Hawk Advisory to bring that institutional experience to established professionals with equity compensation, tax complexity and growing wealth who need someone managing their portfolio with visibility into the full picture.
Ready to bring your investment portfolio into the strategy?
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