When the demands of "today" stretch the boundaries of your time and resources

Strategize. Organize. Globalize.


Our mission is to provide companies with the necessary resources to design and manage better equity–based, globally compliant incentive programs that attract, retain and motivate a talented workforce to meet and even exceed the corporate goals and objectives that have been set worldwide.


Make the decision to partner with SEC in this environment of ever changing regulatory, tax and accounting governance.  The result will be a powerful partnership that lowers your overall external consulting costs while elevating the level of global equity compliance, operational efficiency, and program effectiveness.


Smith Equity Consulting (SEC) specializes in the administration, accounting, reporting and education of the complex issues that companies with stock-based compensation programs face.  We service private and public, domestic and multinational companies located in the San Francisco Bay Area and throughout the West Coast territory. 


SEC provides employers with practical advice, actionable guidance, and the hands-on support they need to cost-effectively mitigate risks and reduce expenses associated with compensatory stock plans.


424 and 423 Equity Plan Services include but are not limited to the following:

  • Management of all aspects of a company’s global stock-based compensation plans. 

  • Administrative Compliance (SEC, Legal, Tax and Administration)

  • Sarbanes-Oxley Compliance

  • Historical Data Conversions (shoebox to a system, system to system or other)

  • 3rd Party Vendor Implementation Process

  • ASC 718 / FAS123(r) calculation of assumptions

  • Standard Industry Classification (SIC)/North American Industry Classification System (NAICS) research projects

  • 409A audit & clean up

  • Backdating audit, cleanup, and reporting

  • Equity Account Reconciliation and Analysis

  • Equity Accounting Records Clean-Ups

  • Equity Consolidation

  • Year-End IRC6039 compliance mailings

  • Capital Accounts (exchanges, re-pricing, stock splits)

  • Employee Education (SOP, ESPP, RSTK)

  • SEC Section 16(a) Filings

  • Period End reconciliation

  • SEC Reporting & Analysis of data  (10-Q/10-K. proxy)

  • Assist with International taxation & sourcing issues

  • Merger & Acquisition Assistance

  • IPO Preparation

  • Special Projects