We have Valuable Experience 

Case Studies

Client situation

Corporate Executive

This CEO is transitioning to retirement in the next 18 months.


To establish a thoughtful and tax-efficient plan for transitioning their corporate plans into a comprehensive portfolio strategy. This encompassed a thorough review of stock options, deferred compensation, 401(k), and non-qualified payouts.

Given their worries about having a concentrated stock position in their company and concerns about the current economic backdrop, they sought to gradually diversify their investments over time.

Our Guidance

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Professional Adviser Team

We assisted them in assessing their existing roster of advisers, which included their attorney, CPA, and insurance provider. We mutually decided to maintain the current mix of advisers until retirement, and during the transition to retirement, evaluate their performance and suitability for the future.

Consolidated Reporting

We provide online reporting systems allowing consolidated reporting across all holdings including the tracking of private investments and cash flows, with access to reports available on our private client portal 24/7.

Financial Data Aggregation

We serve as the middleman, we efficiently track and collect tax statements (1099s, K-1s) for all family investments, and then directly deliver them to the family’s accountant. This streamlined process results in significant time and cost savings.

Access to Deal Flow

Our connection to the family office space allowed us to bring unique private investments to the family in areas including direct deals in private credit, venture capital and real estate.

Expertise in Hard Assets

We helped secure the storage of physical gold and silver in Brinks-equivalent vaults in the US, Zurich, and Singapore.  This ensures their metals are held securely outside of the banking system.

Lines of Credit

We helped leverage with our connections, we skillfully negotiated favorable lines of credit, providing them with a cost-effective source of capital for their personal ventures.

Wealth Transfer

Collaborating with their team of professionals, we prepared a living trust with the intention of facilitating further gifting once they transition out of the company.

Tax Minimization

In close coordination with their CPA, we devised a strategy to smoothly rollover qualified retirement plans to IRAs and meticulously planned the exercise of their stock options.

Family Education

We serve as a resource for their children to help educate and provide resources for learning.

Our Economic Views

We are economic thought leaders following the free-market oriented Austrian economics, whereas most advisors follow Keynsian Economics and tout the merits of money printing and government intervention. Global central banks have printed tens of trillions of dollars out of thin air as global debts exploded. Yet most advisory firms act like this is just another “normal” investment environment and allocate capital the way they’ve always done so. In our opinion, this is not a normal environment and requires an acute understanding that the pillars of the world are now built on a mirage of bubbles with serious consequences for growing and protecting wealth.

In an attempt to offset continued economic weakness, governments are reacting with spending, debt issuance, and intervention in the economy on a scale without precedent in modern history. Although these policies may buy time, they cannot solve the underlying issues. Ultimately, governments will repay debt with their last remaining option – printing more money. As money floods the system, this will drive inflation higher despite continued weakness in the economy.

Under these circumstances, the current conventional model of a static bond and stock mix will fail. It will fail investors in realizing reasonable returns. It will fail investors in preserving their purchasing power after inflation. And it will fail investors in protecting their capital and securing their retirement.

The conventional experts do not foresee such risks. But these same experts missed the prior 2000 tech bubble and 2008 housing and stock bubble.  Today they are missing the bubble in government debt and the ramifications of unbridled money creation. WindRock understands these issues and positions clients to not only minimize their risk associated with these dangers, but to profit from them.