The Ethic Playbook: Balancing Your Clients’ Tax and Sustainability Goals
Wednesday, December 20, 2023
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December 2023
The Ethic Playbook: Balancing Your Clients’ Tax and Sustainability Goals
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How to balance your clients’ tax priorities while building portfolios that reflect their personal values

by Morgan du Plessix

The Ethic Team speaks to hundreds of wealth advisers every year so we know that tax planning sits at the core of most of their clients’ financial plans. However, many of those advisers are unaware of how a personalized direct indexing strategy can support their clients’ overall tax planning while also maintaining the focus on their impact goals. Relationship manager Morgan du Plessix breaks down the benefits of this strategy in our latest episode of “The Ethic Playbook”. 

How does a direct indexing strategy support a balanced and efficient tax strategy? Let’s take a look: 

  • Investing in direct indexed SMAs allows investors to exclude specific securities. By managing direct indexed portfolios so that our clients directly own individual stocks, we can efficiently incorporate tax management into trading decisions. We can get specific about balancing investors’ tax budgets as we build portfolios that better reflect their values. 
  • Our investment platform is built to monitor how clients’ portfolios track with their sustainability goals as well as their tax objectives. Our algorithm-driven rebalancing and trading technology helps identify potential openings to optimize tax opportunities. 
  • As the end-of-year approaches, many advisers look for opportunities to optimize their client’s tax experience. But at Ethic, our reporting isn’t just for end-of-year. Our active tax technology evaluates opportunities for savings daily, with reports easily accessible on the Ethic Platform. 

Talk to your relationship manager about active tax management with Ethic.

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Sources and footnotes

Ethic Inc. is a Registered Investment Adviser located in New York, NY. Registration of an investment adviser does not imply any level of skill or training. Information pertaining to Ethic Inc’s registration or to obtain a copy of Ethic Inc.’s current written disclosure statement discussing Ethic Inc.’s business operations, services and fees is available on the SEC’s Investment Adviser Public Information website – www.adviserinfo.sec.gov or from Ethic Inc. upon written request at support@ethicinvesting.com. Information provided herein is for informational purposes only and does not intend to make an offer or solicitation for the sale or purchase of any specific securities, investments, or investment strategies. Any subsequent, direct communication by Ethic Inc. with a prospective client shall be conducted by a representative of Ethic Inc. that is either registered or qualifies for an exemption or exclusion from registration in the state where a prospective client resides. Information contained herein may be carefully compiled from third-party sources that Ethic Inc. believes to be reliable, but Ethic Inc. cannot guarantee the accuracy of any third-party information.

Ethic Inc. does not render any legal, accounting, or tax advice. Ethic Inc. recommends all investors seek the services of competent professionals in any of the aforementioned areas. Ethic Inc. cannot provide any assurances that any investment strategies, simulations, etc. will perform as described in our materials. ALL INVESTMENTS INVOLVE RISK, ARE NOT GUARANTEED, AND MAY LOSE VALUE. BE SURE TO FIRST CONSULT WITH A QUALIFIED FINANCIAL ADVISER AND/OR TAX PROFESSIONAL BEFORE IMPLEMENTING ANY STRATEGY.

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