Top 10b5-1 plan design financial advisors
The right financial advisor for you depends on how you weigh location, expertise, experience, the clients they typically serve, and how they work with you.
You need a 10b5-1 plan design advisor if you want to sell company stock without risking insider trading violations. A common mistake is setting up a plan that doesn't align with your trading windows or company policies, which can lead to legal trouble.
- Plan customization. Confirm how they tailor the trading plan to your specific stock grant schedule and company blackout periods.
- Compliance focus. Ask how they ensure your plan meets SEC rules and avoids triggering insider trading concerns.
- Coordination with legal. Check if they work with your company's legal or compliance team to align the plan with internal policies.
- Execution timing. Understand how they manage trade timing within the plan to optimize tax and regulatory outcomes.
Here are top matches to get you started. Review each profile to compare experience, credentials, and approach.
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Christian N
Series 63, Series 66, Series 65
Foster City, CA
IEQ Capital, LLC
Christian Nelson specializes in 10b5-1 plan design, helping clients navigate insider trading rules with tailored trading plans aligned to stock grant schedules and company policies. Based in Foster City, CA, he offers flat-fee arrangements through IEQ Capital, a large firm serving high-net-worth clients with a focus on alternative investments and discretionary portfolio management, distinguishing him from advisors with smaller practices or different fee structures.
Experience: 20 years
Avg account: $24,582,290
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Adam C
Series 66
San Francisco, CA
Merrill
Adam Cline specializes in 10b5-1 plan design, helping clients navigate insider trading rules and customize trading plans around company policies. Based in San Francisco with Merrill, he brings 14 years of experience working with executives and entrepreneurs, offering wealth management, concentrated stock management, and pre-IPO planning, supported by a large-firm platform and a 1.10% AUM fee for managed strategies under $2 million.
Experience: 15 years
Avg account: $860,085
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Derek E
Series 63, Series 66
Fort Myers, FL
Fidelity
Derek Ehlers specializes in 10b5-1 plan design, making him well-equipped to help clients sell company stock while avoiding insider trading violations. With 25 years of experience at Fidelity, a large firm, he brings seasoned leadership as Vice President and Branch Leader, offering clients access to a broad team and extensive resources compared to smaller advisory practices.
Experience: 25 years
Avg account: $234,793
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Jared J
Series 65
Plymouth, MN
Echo Wealth Management, LLC
Jared Johnson specializes in 10b5-1 plan design, helping clients sell company stock while avoiding insider trading risks, with expertise in equity recipients and stock option exercise strategies. Based in Plymouth, MN, he offers flat-fee financial planning through Echo Wealth Management, which serves high-net-worth clients using an evidence-based investment approach incorporating ETFs and option-based strategies, distinguishing him from advisors with different fee structures or investment methods.
Experience: 4 years
Avg account: $1,945,946
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Christopher F
Series 65
Portland, ME
Pine Capital
Christopher Ferguson specializes in 10b5-1 plan design, offering tailored trading plans that align with company blackout periods and SEC compliance, which is crucial for managing insider trading risks. Based in Portland, ME, he serves high-net-worth clients through Pine Capital, employing a growth-at-a-reasonable-price investment approach and charging a 1% annual fee on assets under management, distinguishing him with a focus on fundamental research and customized strategies.
Experience: 3 years
Avg account: $1,018,402
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