Executive Services

We invite you to discover the

Decision Difference.

In today’s complex regulatory landscape, it’s crucial to work with financial professionals who understand the unique challenges of executive compensation.

Decision Investments has the knowledge and experience to assist corporate executives and directors in managing their company stock holdings and other complex needs. Our services not only assist executives in adhering to SEC rules and issuer’s ownership guidelines but also encompass comprehensive wealth management strategies.

Holding a significant single-stock position can expose you to excessive volatility or a large capital gains tax bill. Nevertheless, navigating through closed trading windows and blackout periods can hinder your ability to diversify your portfolio effectively. We specialize in crafting personalized strategies to successfully hedge or monetize your position. And we can explore options to defer taxes and gain the necessary liquidity to effectively diversify your portfolio while meeting your investing goals.

We have expertise in company stock-related issues and can assist you with:

  • Designing and implementing a Rule 10b5-1 Trading Plan
  • Understanding and managing complex equity awards, such as performance plans
  • Executing transactions in compliance with SEC Rules
  • Comprehensive stock option strategies
  • Incentive stock options AMT vs. regular tax-cost basis and stock swaps vs. cash exercise
  • Non-qualified stock options consequences and break-even analysis
  • Low-basis diversification techniques, including tax-efficient structured equity, charitable remainder trusts, and exchange funds
  • Strategies to hedge concentrated positions
  • Optimizing after-tax retirement income with stock plans
  • Transferability and stock options
  • Planning Your Legacy
  • Exercising Philanthropic Strategies 

10b5-1 solution: predetermined trading plans

Decision Investments is familiar with the complex regulations and legal requirements of SEC Rule 10b5-1 and can help you establish a trading plan based on your individual goals and objectives. Predetermined trading plans feature:


Your predetermined trading plan will include detailed instructions for scheduling the timing, the number of shares, and the price at which to buy or sell your company shares.


Decision Investments will work to get the best possible execution while minimizing the negative impact on the stock price. We will work closely with you and your corporate counsel to establish and implement your individual trading plan. Our team will:

  1. Consult with you about your goals and objectives to establish a trading plan targeted toward meeting your financial objectives
  2. Submit a trading plan to your company’s corporate counsel for approval
  3. Call you to confirm acceptance of your trading plan
  4. Provide you with trade confirmations in accordance with Sarbanes-Oxley expedited requirements*

Predetermined trading plan benefits


Sell large or concentrated positions at predetermined times to diversify your portfolio and possibly reduce significant fluctuations for trade executions restricted to open window periods.


Executives can schedule regular buying and selling of company shares even during company blackout periods as long as the plan is created without any material non-public information.


Plans are meticulously crafted to adhere to relevant trading rules and regulations, safeguarding insiders and corporate affiliates from potential allegations of insider trading.