Achieve New Heights with Confidence

"Successful investing is about managing risk, not ignoring it"

StockShield has developed three capabilities for mitigating real risks facing investors in these volatile times. Whether your wealth is concentrated in a single publicly-traded stock, closely-held business, or non-qualified deferred compensation plan, we invite you to consider our full range of solutions for protecting everything you've worked so hard to achieve – and cannot afford to lose

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 Trust (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 Capabilities

Stock Protection Trust

  • 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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Deferred Compensation Protection Trust

  • For executives with substantial Non-Qualified Deferred Compensation (NQDC)
  • Helps protect against worst-case scenario (total loss of retirement savings due to bankruptcy)
  • Fully restores losses caused by up to two bankruptcies (in group of 20 participants)
  • Provides full refund if no bankruptcies
  • Risk mutualized with other peer group companies
  • Fully transparent & easy to understand
  • Low-cost long-term protection
  • 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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