James R. Brockway

Partner and Joint Wealth Planning Practice Group Leader

  • Education: Dartmouth College, summa cum laude, Phi Beta Kappa, A.B. • Duke University School of Law, J.D.
  • Admitted: State of MD, 1976 • State of CT, 1979 • Registered Foreign Lawyer in the UK, 2002 • Washington D.C., 2004 • State of NY, 2005
  • Year joined: 1979
  • Year became partner: 1984

Overview

Jim is co-chairman of the worldwide Wealth Planning practice group at the firm. His practice is global in scope with particular emphasis on offshore trust planning, planning for non-U.S. individuals and foreign assets, family investment and business planning, family offices, inbound and outbound business transactions and income and transfer tax planning. He is the head of the firm's insurance and financial products planning group. 

He advises on corporate and partnership tax planning for closely held businesses, investment entities and funds management entities, mergers and acquisitions and insurance and derivatives investment tax planning.

Jim has lectured before numerous professional groups on partnership, estate tax, life insurance and foreign investment planning issues and has written articles for professional journals and newsletters on various tax topics.

Highlights

  • Ranked in Chambers HNW 2016

Publications and speaking engagements

  • Quoted, "Will James Comey Firing Hobble Trump's Economic Agenda?" CBS News, May 2017.
  • Co-author, "Understanding Connecticut's Income Tax on Stock Options," Withersworldwide.com and Law360, February 2017.
  • Quoted, "Charity May Be Answer to Looming Deffered Compensation Deadline," Tax Notes, January 10, 2017.
  • Quoted, "One-Year Countdown on Offshore Funds Begins" Accounting Today, January 3, 2017.
  • Quoted, "Stock Buys By Fidelity Customers Surge as Investors Spot Bargains," Investors Business Daily, November 11, 2016.
  • Panelist, "Post Election Analysis: What Can We Expect From the New Administration and the New Congress?" Trust & Estates Webinar, November 2016.
  • Co-author, "Mark-to-Market Freezes- Freeze Planning in an Estate Tax Free Environment," LISI Estate Planning Newsletters, #2480, November 2016.
  • Panelist, "Private Company Exit Alternatives," Expert Webcast, October 2016. Click here to listen.
  • Panelist, "Business Development Strategies from Top Rainmakers ," Expert Webcast, September 2016. Click here to listen.
  • Panelist, "Alternative Uses of Life Insurance," Expert Webcast, August 2016. Click here to listen.
  • Presenter, "Europe: Compliance-based Solutions," 2016 Private Placement Life Insurance & Variable Annuities Forum, May 2016.
  • Panelist, "Foreign Investments in the U.S." Expert Webcast, May 2016. Click here to listen.
  • Panelist, "It's Time To Come Ashore," Fairfield County Community FoundationMay 2016.
  • Panelist, "Alternative Investments," Expert Webcast, March 2016. Click here to listen.
  • Panelist, "Business Succession Planning," Expert Webcast, October 2015. Click here to listen
  • Co-Author, "Investor Control Doctrine Invalidates Tax Benefits of Private Placement Life Insurance Policy, " withersworldwide.com, September 2015.
  • Panelist: "Policy Designs Planning and Practical Applications for Families," Private Placement Life Insurance & Variable Annuities Forum, June 2015.
  • Webinar Presentation, "Raising Alternative Capital - Private Placement Insurance," Expert Webcast, April 2015. Click here to listen
  • Webinar Presentation, "Shifting, Wealth – Technique to Leverage and Shift Wealth into More Tax Efficient Buckets," Abbot Downing, December 2014.
  • Presenter, "Tax Planning for Deferred Compensation and Other Major Income Events," BNY Mellon, October 2014.
  • Moderator, " PPLI for Experienced Practitioners: Capitalizing on Key Market Developments," Private Placement Life Insurance & Variable Annuities Forum, June 2014.
  • Presenter, "Expatriation Tax and Planning," The 10th Annual Estate Planning Institute, NYSBA/STEP New York, March 2014.
  • Presenter, "The Private Insurance Company Analysis of Trends and Structuring Relating to Life Insurance Products and Companies and Investment," Annual Conference of the International Tax Planning Association, London, March 2014.
  • Author, "The Private Insurance Company," ITPA Journal, March 2014.
  • Webinar presentation on "Analysis of and Planning for the Final Net Investment Income Tax Regulations," Bloomberg BNA, January 2014.
  • Speaker, "Planning for Foreign Investment into US Trades or Businesses Using Annuities and Life Insurance," SALI 2013 Private Placement Insurance Market Gathering, New York, October 2013.
  • Speaker, "Higher Taxes and Lost Deductions - Income Tax Planning Opportunities," Trouble Behind, Trouble Ahead? Withers Bergman LLP 2013 Wealth Planning Conference, New York, October 2013
  • Speaker, "Planning for Same-Sex Married Couples after the Windsor Decision and the Defense of Marriage Act," Withers Bergman LLP seminar, New York and Greenwich CT, September 2013.
  • Webinar presentation on "Revenue Ruling 2013-17, Windsor and DOMA: Effective Planning for Your Clients," Bloomberg BNA, September 2013.
  • Webinar presentation on "International Tax Issues for the Domestic Estate Planner," Bloomberg BNA, August 2013.
  • Webinar presentation on "Estate and Income Tax Planning Implications in the Divided States of America After the DOMA Ruling," Trusts & Estates Magazine, July 2013. Click here to view the webinar at on24.com.
  • Panelist, "Offshore Opportunities in the PPLI/PPVA Market," Private Placement Life Insurance & Variable Annuities Forum, June 2013.
  • Webinar presentation on "International Tax Issues for the Domestic Estate Planner," Bloomberg BNA, April 2013.
  • Co-Author, "Coming Ashore - Planning for Year 2017 Offshore Deferred Compensation Arrangements: Using CLATs, PPLI and Preferred Partnerships and Consideration of the Charitable Partial Interest Rules," ACTEC Law Journal, Spring/Fall 2013.
  • Speaker, “Around the World in 70 Minutes”, STEP Boston, February 2013.
  • Webinar presentation on "Medicare 3.8% Tax on Net Investment Income: Analysis of the Proposed Regulations and Planning for the New Tax ," Bloomberg BNA, January 2013.
  • Presentation at Bloomberg BNA Tax Policy & Practice Summit, "Partnerships and Pass-Through Entities," November 2012. Click here to watch video of Jim's post-Summit interview on Brightcove.com 
  • Presentation at STEP New York, "Pre-Election Outlook Planning for the Year Ahead," October 2012.
  • Interview with Bloomberg BNA - Partnership and Pass-Through Entities Click here to listen to this interview
  • Presentation at Private Placement Life Insurance and Annuities, "Foreign Applications and Planning: Understanding the European, Asian and Latin American Markets," May 2012.
  • Presentation at Dartmouth Entrepreneurial Network, "Entrepreneurs & Investors: Legal Tips to Plan and Protect," May 2012.
  • Presentation at Volios Education Exchange, "Multi-Generational Split Dollar Insurance Planning, March 2012.
  • Co-Author, "FATCA: The other shoe drops," Withers Bergman LLP Briefing Notes, February 2012.
  • Presentation at STEP Switzerland, "How to Use Partnerships and Foundations in a Compliant World," May 2011. 
  • Presentation at JP Morgan Private Bank, "CLAT Planning with Insurance to Achieve Long-Term Income and Multi-Generational Tax Planning Objectives," December 2009.
  • Presentation at MetCircle, "Tax Efficient Investing in Hedge Funds," New York, November 2006.
  • Presentation at Life Insurance Finance Association Conference, "Use of Premium Financing in Tax Planning," March 2006.
  • Presentation at Withers Bergman LLP Annual Conference on Trust and Tax Planning, "Coming Here, but Being There: Planning for the Cross-Border Client," New York, June 2004.
  • Co-Author of "Insurance Solutions for International Estate Planning," Withers Bergman Tax Alerts, Winter 2003-2004.
  • Presentation of "Tax Efficient Investment for Families," MGI 2nd Annual Global Family Office Conference, April 2004.
  • Presentation of "Insurance Solutions," Withers Bergman LLP annual conference on The Good, The Bad and the Ugly of International Trust and Tax Planning, New York, May 2003.

Memberships

  • American Bar Association
  • Connecticut Bar Association
  • New York State Bar Association
  • Society of Trust and Estate Practitioners (STEP)

On a personal note

Outside of his practice, Jim enjoys golfing, skiing and kayaking.

 

 

 

 

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