Scale new heights while managing the downside risk

StockShield develops innovative risk management solutions for concentrated stock positions in both public and private companies

Concentrated positions in a single stock are one of the best ways to build substantial wealth. At the same time, according to J.P. Morgan, 40% of stocks permanently lose more than 70% of their value. StockShield's mission is to enable clients to preserve the wealth-building potential of concentrated positions while mitigating the substantial downside risks.

StockShield, LLC is an SEC-registered broker-dealer that focuses exclusively on investment portfolio risk management. We have developed two patented risk management capabilities, the Stock Protection Fund (which helps protect substantial positions in public companies) and ESOP Protection Trust (which helps protect substantial positions in Employee Stock Ownership Plans). Our team is comprised of seasoned professionals with extensive industry expertise and a keen focus on providing value-added insight and service to our clients. The firm is headquartered in Los Angeles, California, and was founded in 2003.

We are committed to helping our clients protect the value of their wealth. At the core of StockShield’s success is integrity, accuracy, and consistency. We take pride in our work and are committed to continuously investing in our team to maintain our high standard of excellence.

Our Products

Stock Protection Fund

  • For individuals and trusts with substantial positions in public companies
  • Significantly reduces risk of large losses at very low cost
  • Preserves stock's unlimited upside potential (both capital appreciation and dividend income)
  • Tax-efficient (does not disqualify dividend income nor trigger straddle taxation)
  • Ideal for investors who do not want to, or cannot, sell their concentrated stock position
  • Fully transparent & easy to understand
  • No counterparty risk (invests exclusively in U.S. Treasury Securities)
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ESOP Protection Trust

  • For Employee Stock Ownership Plans (ESOPs) with substantial positions in private companies
  • Significantly reduces risk of large losses at very low cost
  • Preserves stock's unlimited upside potential (both capital appreciation and dividend income)
  • Helps deter ERISA litigation and reduce personal liability for stock losses
  • May reduce regulatory risk (e.g. Department of Labor audits/investigations)
  • Fully transparent & easy to understand
  • No counterparty risk (invests exclusively in U.S. Treasury Securities)
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Meet the Team

Our Board of Directors and Executive Leadership are committed to the highest measure of integrity, operational performance, and fiduciary excellence.

Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.

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