Expecting a Liquidity Event?
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What We Do

Highly integrated risk management, asset management, and strategy.
We help attorneys, and those they refer to us, evaluate and prepare for a liquidity event. Some of these deliverables include: creation of post-deal pro-forma financials, cash flow planning, and asset/liability matching.

We help coordinate the preparation of the business and family for a sale as well as taking in outside investment, a process which frequently takes 2-3 years.

We frequently collaborate with our client’s other advisors to incorporate their observations into our strategy and recommendations.
Risk Management
For us, wealth management starts with the risk. Our framework is business-centric. It involves evaluating upstream and downstream risk exposures for clients presented by their businesses. We call this a rhizomatic risk analysis.

We practice complexity-reduction across all aspects of the client’s Total Wealth in order to reduce “unknown unknowns”, fees, and time requirements.
Investment Management
In our experience, entrepreneurs and business families often rush into investments after a liquidity event. This is an unforced error that can result in poor capital allocation. Our default recommendation for post-liquidity event proceeds is short-term tax-efficient vehicles. If the necessary investment groundwork has been laid before the event, capital can be allocated systematically, over time, according to plan.
"It is critical to evaluate post-deal scenarios and implications before deal consummation."
Jack Duval

How We Work

The aim of our pre-liquidity event strategy is to integrate our client’s objectives. We do this with careful constraints of prudent risk management, the markets, and family considerations.
Bespoke Strategies
We approach each client as a blank page and craft strategies tailored to their situation. The result is an integrated approach where all the client’s constraints and requirements inform each recommendation.
Active Client Engagement
Most of our clients have decades, if not generations, of experience in their industry.  We value that human capital greatly. Where appropriate, we look to tap into that knowledge when contemplating firm strategy and potential investments.

While completely optional, our clients enjoy contributing to the intellectual debate and participate in Bantam’s growth.
Dual Level Fiduciary Advice
Bantam is a client fiduciary twice over. Once as a registered investment advisor. And again as a New York State registered benefit corporation.  Not only are we fiduciary bound in our recommendations, but also we are obligated to consider the interests of our clients on the footing as the interests of our owners and employees.

No other advisory firms have this second fiduciary obligation.

Let’s Work Together

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