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Exceed Investments

Option Experts Pioneering Defined Outcome Investing

Experts in
Derivative Based Strategies

Options provide tremendous opportunity in defining, hedging and/or optimizing a market exposure. Exceed Investments takes advantage of this flexible product class by offering a number of defined, hedge strategies in partnership with other large asset managers. We currently sub-advise on five mutual funds providing varying degrees of equity market exposure.

As a pioneer in Defined Outcome investing, Exceed has engaged in disrupting the $2 trillion structured note industry and other similar products by providing ease of implementation, diversified risk and standardization.

Exceed Investments is a pioneer in the Defined Outcome investing space. Defined Outcomes are financial products that provide a high degree of definition to the exposure taken on by the investor. The market has over $2 trillion in assets under management globally. (Examples of Defined Outcome products include structured notes and indexed annuities.)

Exceed Indexes & Exceed Asset Management

What We Do

Exceed’s Strategies

Catalyst/Exceed Defined Shield Fund


SHIIX | SHIEX | SHINX

Catalyst/Exceed Defined Risk Fund


CLPFX, CLPAX, CLPCX

Opportunities with Option Based Products

Options provide a material opportunity for differentiation and growth within the saturated asset management sector.

Some beneficial ways to utilize options in enhancing a portfolio include:

  • Hedging risk
  • Defining exposures
  • Enhancing yield
  • Providing Non-correlated returns

However, options are under-utilized in ETF’s, Mutual Funds and other investment strategies generally despite their unique characteristics & flexibility due their (1) complexity, (2) perceived and real risks, and (3) difficult implementation.

Learn how you can incorporate options into your strategies in partnership with Exceed.

Financial Expertise Without Limits

Who We Are

Exceed Investment’s History of Innovation

Exceed Investment’s launched a number of innovative products having recognized an opportunity to disrupt the Structured Note space due its large asset size yet limited issuers:

  • A family of indexes initially launched with Nasdaq providing a range of defined exposures to the S&P 500, via SPY, including a rolling buffered exposure, providing 1st loss protection, a rolling tail risk strategy providing 2nd loss protection, and a rolling enhanced return strategy
  • Sub-advise on two defined outcome based mutual funds in partnership with Catalyst
  • Sub-advise on three tactical based mutual funds, taking advantage of the flexible characteristics of options to provide varying level of risks, in partnership with Tactical Fund Advisors
  • A Variable Annuity (VIT), originally launched with Jefferson National, since acquired by Nationwide

Opportunities to Work Together

Exceed has a long history of partnership having worked with a number of major institutions in successfully launching products.

Product Expertise

  • Indexes
  • Mutual Funds
  • ETFs
  • Annuities (Fixed and Variable) / Life (market driven)
  • Structured Notes
  • Option strategies
  • General product structure
Business Expertise

  • Business plan development
  • Product development
  • Product launch
  • Negotiation
  • Negotiation

Exceed Investment’s Thought Leadership

In addition to our well followed blog post where we discuss options in depth, we have been invited to speak at numerous seminars, have been quoted in leading periodicals, such as the Wall Street Journal and have authored a number of articles in leading publications.

Get in Touch

Contact Us

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