Top advisors focused on 10b5-1 plan design in the US
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 set up a trading plan that follows SEC rules to avoid insider trading accusations. Without a clear plan, you risk violating regulations that can lead to penalties or reputational damage. Many top matches here offer flat-fee pricing, so you know upfront what you'll pay.
- Plan customization. Ask how they tailor 10b5-1 plans to your trading patterns and company policies, not just use generic templates.
- Timing expertise. Confirm they understand the required cooling-off periods and how to schedule trades to stay compliant.
- Coordination with legal. A good advisor works closely with your legal counsel to align the plan with insider trading laws and company rules.
- Ongoing monitoring. Check if they provide regular reviews to adjust the plan as your circumstances or regulations change.
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 65, Series 66
Foster City, CA
IEQ Capital, LLC
Christian Nelson specializes in 10b5-1 plan design, offering tailored trading plans that comply with SEC rules to avoid insider trading issues. With 20 years of experience and credentials including Series 63, 65, and 66, he serves high-net-worth clients through IEQ Capital, a large firm known for its flat-fee structure and investment approach emphasizing macro research and alternative investments, distinguishing him from other advisors in this area.
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, offering tailored strategies that align with executive compensation and equity management, which is crucial for compliant trading plans. Based in San Francisco with Merrill, a large firm, he serves affluent clients including C-suite executives and entrepreneurs, combining his 14 years of experience with a holistic wealth management approach and a 1.10% AUM fee for managed strategies under $2 million.
Experience: 14 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 set up compliant trading plans that adhere to SEC rules. With 25 years of industry experience and a leadership role at Fidelity, a large firm, he offers seasoned expertise and a broad range of financial planning services, distinguishing him from advisors at smaller firms or with less extensive backgrounds.
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, offering tailored trading plans that comply with SEC rules to help avoid insider trading issues. Based in Plymouth, MN, he serves high-net-worth clients with a flat-fee structure ranging from $2,500 to $6,000, leveraging an evidence-based investment approach and coordinating closely with legal counsel to ensure ongoing compliance and plan adjustments.
Experience: 3 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 strategies that align with SEC regulations and client trading patterns. Based in Portland, ME, he serves high-net-worth individuals through Pine Capital, which employs a growth-at-a-reasonable-price investment approach and charges a 1% annual fee on assets under management, differentiating him with a focus on fundamental research and discretionary portfolio management.
Experience: 2 years
Avg account: $1,018,402
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