Service Provider Directory

Brueggeman and Johnson Yeanoplos, P.C. ... expertise when it counts. Whether circumstances call for litigation support, negotiation, financial analysis, or valuation of a company, today's business world is unquestionably more complicated. There's one company that puts all of the pieces together. Brueggeman and Johnson Yeanoplos, P.C. is a leader in valuation and litigation support services- from divorce settlement to selling a business, ESOPs to estate taxes, intellectual property valuation to insurance claims.

Fennemore Craig, P. C. is a premier Southwest and Mountain States commercial and business law firm. In combination, the senior members of our ERISA Practice Group have nearly 100 years of experience counseling employers and ERISA fiduciaries. We provide legal advice on the full range of ESOP issues including suitability, design, implementation, operation, fiduciary duties, compliance, and plan terminations as well as leveraged and non-leveraged purchases, sales, and redemptions of company stock. We also represent plan sponsors in IRS and Department of Labor audits.

We have a team of experienced valuation professionals providing business valuation solutions for our ESOP and other clients.

Mack Business Appraisals is dedicated to providing business owners and their financial advisors with the highest-quality business valuation services available. Our valuation experts have received specialized ESOP valuation training offered by the American Society of Appraisers and the Institute of Business Appraisers and have significant experience in valuing companies for ESOP transactional and ESOP administration purposes. John G. Mack, ASA, MCBA, ABAR, is the managing member of Mack Business Appraisals and holds the Accredited Senior Appraiser (ASA) designation from the American Society of Appraisers - Business Valuation Discipline and the Certified Business Appraiser (CBA) designation from the Institute of Business Appraisers.

Mack Business Appraisals, LLC is dedicated to providing business owners and their financial advisors with the highest-quality business valuation services available. Our valuation experts have received specialized ESOP valuation training offered by the American Society of Appraisers and the Institute of Business Appraisers and have significant experience in valuing companies for ESOP transactional and ESOP administration purposes. John G. Mack, ASA, MCBA, ABAR, is the managing member of Mack Business Appraisals and holds the Accredited Senior Appraiser (ASA) designation from the American Society of Appraisers - Business Valuation Discipline and the Master Certified Business Appraiser (MCBA) designation from the Institute of Business Appraisers.

R.B. Gold & Associates was established in 1986 and is owned and managed entirely by active employees. We are a cohesive team of highly accomplished professionals with over 100 years of combined experience in mergers & acquisitions, wealth management and business succession planning. We utilize a team approach, combining our firm’s collective knowledge and expertise into a collaborative, dynamic, and rigorous process that integrates client goals and objectives into comprehensive client-specific solutions.

At R. B. Gold & Associates, we are deeply committed to continually enhancing the breadth and quality of services we offer our clients. In addition, our firm is structured for both continuity and succession to provide for the future generations of our clients’ needs and well being.
 

Solium Capital Inc. ("Solium") is a leading provider of web-based software-as-a-service for global equity administration, financial reporting, and compliance. From our operation centers in the United States, Canada, the UK and Australia, we power stock plan administration and equity transactions for more than 2,800 public and private companies with employee participants in 80 countries.

AmbroseAdvisors is a middle-market investment bank and financial advisory firm focused on guiding and assisting business owners with business succession planning, executing liquidity strategies and capital placements. We have a concentrated focus on the utilization of an ESOP as an exit planning solution. Our services include sell-side M&A advisory, ESOP buyouts, capital procurement, business valuation & fairness opinions, ESOP third party administration, and business, tax and ERISA legal services. We have a unified, multi-disciplinary team of in-house investment banking, consulting and legal professionals to provide a complete and comprehensive sell-side solution to our clients.

AmbroseAdvisors provides financial advisory, consulting, and TPA/recordkeeping services to sponsors of Employee Stock Ownership Plans.
 

Avenue M Advisors, Inc. is a national, boutique company specializing in business valuation and consulting services. As members of NCEO and the ESOP Association, Avenue M Advisors has more than 20 years of experience providing valuation and consulting services which include ESOP valuations (initial and annual), ESOP fairness opinions for mergers & acquisitions, and feasibility analysis for a potential ESOP. Other valuation services provided include mergers & acquisitions, succession planning, estate and gift tax compliance, IRC §409A compliance, capital gains tax conversion compliance, purchase price allocations, goodwill impairment, intellectual properties, litigation (partner disputes, divorces, bankruptcy, probate, damages).

National ESOP Executive for Bank of America (including Merrill and Bank of America Private Bank). Focused on driving leveraged finance (origination, structuring & arrangement) and wealth management (estate planning & asset management) solutions in connection with growth, ownership succession/ESOPs, and liquidity and diversification strategies.

The Beyster Institute at UC San Diego has been helping business leaders create employee ownership programs for over 20 years. Begun as an independent nonprofit institute by entrepreneur J. Robert Beyster (founder of SAIC), the Institute is now part of UCSD's Rady School of Management. It continues to offer expert unbiased guidance on how employee ownership can be applied to make companies more successful. We offer expertise in ESOPs, stock options, stock purchase arrangements, synthetic equity, and more. We will work with client companies throughout the U.S.

The firm's employee benefits attorneys have extensive experience designing and implementing all types of employee benefit plans, including pension, 401(k), profit-sharing and ESOPs, cafeteria plans, qualified domestic relations orders (QDROs), non-qualified deferred compensation, prohibited transaction exemptions, ERISA compliance issues (including IRS and DOL audits), and ERISA litigation. The firm's attorneys counsel employers and lecture about ESOPs, leveraged buyouts, ERISA compliance, and other employee benefit topics.

Campbell Taylor Washburn is a full service CPA firm specializing in providing accounting, tax, audit and consulting services to ESOP owned companies. Our team of professionals have extensive knowledge and experience in ESOP related matters. We specialize in auditing the financial statements of ESOPs as well as plan sponsors.

Chartwell provides comprehensive financial advisory solutions to employee-owned companies throughout the US. We represent companies, shareholders, and fiduciaries in transaction, valuations, and specialized services designed to optimize ownership and corporate capital structure. Valuations, fairness options, structuring & feasibility, mergers & acquisitions, equity compensation, capital markets, and sustainability.

A former GE Capital executive and founder of Access Credit Corporation, Eitan's leveraged ESOP advisory work is rooted in corporate finance principles.

Employee Benefits Law Group is an AV rated law corporation entirely focused on employee benefits law. We take you through the entire ESOP process from start to finish, including feasibility, design, leveraged buyouts, transactions, terminations and fiduciary duties. We install new ESOPs and work with existing and mature ESOPs looking for more comprehensive advice and guidance. We represent public and closely held corporations, ERISA fiduciaries and lenders in ESOP transactions. We also routinely handle DOL investigations and IRS audits.

Sharyl David is an expert at business valuation and financial advisory, having performed more than 1,500 valuations. She helps business owners and their professional advisers understand the value of a company, or of an individual ownership in a company. The valuations are done for many reasons, including mergers and acquisitions, estate and gift reporting, corporate planning, Employee Stock Ownership Plans (ESOP's), and long-term incentive plans. Given her experience, she knows value drivers, and can help you understand what may increase company value.

She has presented at numerous conferences on the subjects of valuation, mergers and acquisitions, and related topics. Sharyl is also an expert on employee stock ownership and is a member of the National Valuation Advisory Committee.

Sharyl David is an expert at business valuation and financial advisory, having performed more than 1,500 valuations. She helps business owners and their professional advisers understand the value of a company, or of an individual ownership in a company. The valuations are done for many reasons, including mergers and acquisitions, estate and gift reporting, corporate planning, Employee Stock Ownership Plans (ESOP's), and long-term incentive plans. Given her experience, she knows value drivers, and can help you understand what may increase company value.

She has presented at numerous conferences on the subjects of valuation, mergers and acquisitions, and related topics. Sharyl is also an expert on employee stock ownership and is a member of the National Valuation Advisory Committee.

ESOP Law Group has a team of professionals focused on ESOP transactions. Our lawyers have been at the forefront of ESOPs since the 1980s. In that time, we have designed and completed hundreds of transactions in a variety of industries, representing all of the various parties to an ESOP transaction. We are a go-to law firm for many of the best service providers in the ESOP industry, including trustees, investment bankers, corporate appraisers, and consultants. Our lawyers bring our big firm experience to our ESOP boutique practice. Our clients receive personal attention from experts who know the answers to their questions. We bring a creative, yet practical approach to structuring transactions and finding solutions. Our track record demonstrates that we are lawyers who get ESOP deals done.

Serving ESOP Services, Inc. since 2004, Paige is responsible for consulting services and business development. Paige works directly with business owners to design and implement employee stock ownership plans (ESOPs), responding to the need to understand and analyze the ESOP's impact on the company, shareholders, and employees, focusing on the financial aspects of cash flow, tax savings, shareholder liquidity, and employee benefits. Paige earned a Master of International Business from the University of San Diego and began her career with hands-on experience in benefit plan administration. Paige has previously served as a member of the board of directors of two privately held companies, and frequently speaks at seminars conducted by The ESOP Association, the NCEO and other industry events.

Jeremy advises businesses, fiduciaries and funds on a broad range of ERISA and transaction-based matters. He represents privately held, middle-market and emerging growth companies in mergers and acquisitions, spinoffs, and private sponsor and institutional buyer transactions. In addition, he represents private investment funds in the acquisition, recapitalization and disposition of portfolio companies. Jeremy also has significant experience advising mature companies regarding their business succession plans. He frequently represents parties involved in the formation and disposition of employee stock ownership plans (ESOPs).

Bruce Ashton is a partner in the international law firm of Faegre Drinker Biddle & Reath (Faegre Drinker) and is part of the firm's Benefits and Executive Compensation Practice Group. With more than 35 years of practice, Mr. Ashton has gained wide experience representing businesses in sophisticated business transactions and employee benefits matters. His ESOP practice includes facilitating plan sponsors in the adoption of plans and compliance issues, as well as assisting fiduciaries with documentation and closing of transactions. Faegre Drinker is a full service business law firm with 1,300+ professionals practicing in 22 offices around the world.

Farber Hass Hurley is a CPA firm specializing in auditing and consulting for employee benefit plans. The firms EBP clients include plans and plan sponsors of ESOPS, 401(k) Plans, 403(b) plans, profit sharing plans, and prevailing wage plans. Our specialized team is comprised of professionals dedicated to auditing both plan sponsors and employee benefit plans. Our in-depth industry knowledge translates into an audit approach that is both thorough and cost effective. Additionally, we identify areas where internal controls can be enhanced to improve procedural efficiencies and to prevent operational errors.

FSI provides independent fiduciary (IF) services for ESOPs and other retirement plans that hold company stock as assets. FSI is often hired to make a review and determination on behalf of an ESOP related to a planned ESOP formation or a capital change transaction affecting the ESOP. FSI can assist where the plan trustee is not comfortable making a decision on behalf of the plan participants. This situation may arise where the plan trustee wishes to avoid the appearance of a conflict of interest or where the trustee feels it may not have the necessary expertise to make a determination.

Gelman LLP is an accounting and consulting firm that serves hundreds of business and individual clients. Our highly qualified staff provides professional services, including accounting, auditing, tax, Employee Stock Ownership Plan consulting, litigation support and personnel recruitment.

Gelman LLP is an accounting and consulting firm that serves hundreds of business and individual clients. Our highly qualified staff provides professional services, including accounting, auditing, tax, Employee Stock Ownership Plan consulting, litigation support and personnel recruitment.

GreatBanc Trust Company is nationally recognized as a highly skilled, independent ERISA fiduciary with a specialization in ESOPs. GreatBanc provides ESOP trustee services for hundreds of ESOPs throughout the United States, with plan assets ranging from approximately $1 million to $9 billion. GreatBanc has extensive experience with ESOP purchases and sales, ESOP administration, corporate governance and ESOP valuation. Fred Kaseff currently serves as Sr. Vice President in the Employee Stock Ownership Plans Client Services group, focusing on managing client relationships and ESOP transactions. Mr. Kaseff, with 20+ years’ experience as CFO for publicly traded and privately held companies, primarily with a marketing firm owned by its ESOP, oversaw the plan’s termination and final distributions.

Greenberg Traurig, LLP (GT) is a full service international law firm with over 2,000 attorneys located throughout 38 offices. Our national ESOP team includes ERISA, tax, corporate, finance, litigation, labor, securities, and trusts and estates lawyers. Our clients work with an interdisciplinary team that offers wide-ranging experience in designing, drafting and implementing ESOPs. We also assist our clients in integrating their company's overall employee benefits program with their ESOP. We have an experienced dedicated team to handle DOL ESOP Investigations and ESOP Litigation. Our ESOP team has completed some of the largest transactions in the industry, representing corporations, selling shareholders, ESOP trustees, lenders and private equity groups.

Mr. Johnson has over twenty-five years of experience in the valuation of businesses for a variety of purposes including ESOPs and estate and gift tax matters. As the financial advisor to the ESOP, Mr. Johnson assists the ESOP Trustee with all aspects of a transaction including plan design, financing, and valuation. Annually, Mr. Johnson provides the ESOP with valuation consulting services. Mr. Johnson has been active with the NCEO for many years, having made presentations at the annual conference since 1995.

Menke & Associates, Inc. is the nation's oldest and most active firm dedicated to designing, installing and administering ESOPs. We provide provide comprehensive services that include financial services, legal services, employee communications, plan administration and investment banking services. We have installed over 3,000 ESOPs since 1974, and we have installed ESOPs in all 50 states.

Menke & Associates, Inc. is the nation's oldest and most active firm dedicated to designing, installing and administering ESOPs. We provide comprehensive services that include financial consulting, legal services, employee communications, plan administration, and investment banking services. We have installed over 3,000 ESOPs since 1974, and we have designed and installed ESOPs in all 50 states.

Tim Carlson has several decades of CPA experience plus added tenure as an investment advisor. He has a specialty niche in ESOPs - when/how to use as a tool of corporate finance for succession planning and/or aligning employee benefit planning with enterprise goals. Tim understands the costs/disadvantages of ESOPs and works closely with CPAs, ERISA attorneys, and valuation firms on feasibility and compliance issues. He constructs and monitors security portfolios which comply with reinvestment/gain deferral constraints under applicable income tax laws. Tim has a BS in accounting and finance from UCB and a MBA in accounting from UCLA.

Corey Rosen is the founder and executive director of the National Center for Employee Ownership. He previously served on the board of the Great Place to Work Institute and currently is on the board of ESOP-owned Dealey Renton and Associates and the advisory board of the Certified Equity Professional Institute.

Loren Rodgers is the executive director of the National Center for Employee Ownership, where he specializes in employee stock ownership plans (ESOPs), equity compensation, communications, and best practices for employee ownership companies. Active in the field since 1995, he works with companies on technical training, group norms, survey assessment, plan design, and communicating about transactions. He speaks extensively and writes for academic, trade, and employee-ownership publications in the US and abroad. He has served on company and non-profit boards and is actively seeking positions on the boards of employee-ownership companies.

ESOP Valuations: Initial, annual updates, sale, fairness opinion, Adequate consideration Opinion, DOL audits, financial advisor to the Trustee.
 

Over the years, I have advised numerous corporations, trustees and shareholders of closely held companies on a wide variety of ESOP transactions—to include leveraged buyouts, corporate redemptions, ownership succession transactions, corporate reorganization, unwinding ESOP transactions and sale of all or part of the ESOP employer securities. I have structured numerous ESOP transactions and assisted companies find financing to partially fund transactions. I have also helped board of directors and corporate management navigate corporate government issues particular regarding ESOPs.
Beyond transaction, I have advised sponsors and fiduciaries on ESOP compliance and technical issues that occur during the year such as testing, distributions, participant dispute and prudent practices.

Chuck is a partner in Nixon Peabody LLP's San Francisco office and leads the firm's ERISA Litigation Practice. He has extensive experience litigating ESOP cases and other complex ERISA breach of fiduciary duty matters. He also has handled many DOL investigations of ESOP transactions.

Specializing in creating a Culture of Ownership - not just in theory but practice. Connecting all of your employees to the strategy, creating shared visibility into what everyone is working on, and providing a framework for ongoing conversations between employees and managers is what we are all about, utilizing a system called OpaConnect.

PenChecks Trust is the largest independent provider of outsourced benefit distribution services and Auto Rollover IRAs. For over 25 years, PenChecks Trust has been helping Plan Sponsors, ESOPs, TPAs, Advisors and Recordkeepers with a suite of unique and comprehensive solutions. Services include solutions for Benefit Payment Processing, Automatic Rollover IRAs, Plan Termination Outreach, Uncashed Checks, Participant Search, Participant Notifications, & Abandoned Plan/QTA.

Since 1989, PENSCO Trust Company, a subsidiary of Opus Bank, has been the leading alternative asset custodian for clients who want to invest their retirement funds in alternative investments. PENSCO serves more than 48,000 client accounts, holding nearly $14 Billion (as of 12/31/18) in assets under custody in real estate, private equity, and notes.

Performensation: End-to end equity compensation and performance consulting. If we can't help you, we will happily refer you to someone who can. This is all we do, and we take pride in doing it better than anyone else.

The Principal Financial Group(R) is a leader in offering businesses, individuals, and institutional clients a wide range of financial products and services to help them achieve their financial goals. The Principal(R) provides ESOP clients with full-service consulting, actuarial, administration, and recordkeeping services through our consultative approach, commitment to the industry, and proactive, personalized service model.

Specializing in succession and exit strategies for shareholders of privately held companies. Our focus: 1. Tax advantaged use of employee stock ownership plans (ESOPs)--feasibility study; installation and communication; transaction design and annual administration. 2. ESOP operational reviews 3. Arrange financing for an ESOP transaction or a growing company. 4. Design equity-based incentives for key people (stock purchase, stock options, phantom and/or stock appreciation rights). 5. Creating an atmosphere wherein employees think and act like owners. 6. Merger and acquisition strategies.

Prudent Fiduciary Services provides Independent Fiduciary, ERISA consulting, and expert witness services, with a focus on ESOP Trustee services. Prior to establishing PFS, Mr. Paredes was an investigator/supervisor with the U.S. Department of Labor - EBSA focusing on ESOP enforcement. Mr. Paredes brings an expert-level understanding of ERISA compliance, coupled with relevant business experience, and a common-sense approach to engagements. In addition to his unmatched expertise, Mr. Paredes has an internal Advisory Board consisting of highly-qualified ESOP professionals with many years of ESOP and valuation experience. Mr. Paredes is a noted ERISA authority that has presented to ERISA fiduciaries, service providers, and the public on ERISA fiduciary obligations and ESOP investigations.

Mr. Attenborough is an attorney-CPA whose practice is devoted primarily to developing creative techniques for leveraged ESOP transactions, business succession planning, management buyouts, and merger and acquisition transactions. The firm coordinates the feasibility, design, and legal work for the ESOP project with the necessary financial advisors, lenders, appraisers, and fiduciaries to achieve the best result. The firm can provide estate planning expertise or work with the client's estate planning advisors. In addition, the firm acts as independent legal counsel to ESOP fiduciaries and lending institutions in a wide variety of situations.

RP&B is a CPA firm of business accountants with a financial-statement focus and expertise in tax planning and compliance. Our clients are middle market companies (many of which are ESOP owned companies) principally in the manufacturing, construction and distribution industries. We prepare review- and audit-level financial statements and all income tax related forms for the company and the shareholders.

Independent Board Director

William Dietrich, ASA, has provided valuation services to ESOP corporations across the US since 1976 for annual reporting and adequate consideration purposes, as well as for transaction planning and preliminary valuation guidance.

Sansome Street Appraisers, Inc. specializes in appraisals of privately-held companies for ESOP purposes. Sansome Street prepares over 300 ESOP appraisals per annum, more than any other firm in the ESOP industry.

Valuation of smaller ESOP companies - those with revenues of $5 to $50 million and non-GAAP accounting systems. Entire valuation practice is focused on SME.
-Closely-held company transaction data is primary. Public market data is used only as a check on value
-Understand the dynamics of the repurchase obligation.
-Reasonable cost
-Have never had a DOL or IRS challenge
-Nationwide

Mr. Schuck brings over 40 years' experience to his tax and corporate practice, which focuses on complex business transactions, mergers and acquisitions, private equity, venture capital, ESOP leveraged buyouts, and executive compensation. His practice involves corporate governance, fiduciary responsibility, tax-exempt entities and finance, public and private finance, partnership, joint venture, real estate, and international and cross-border taxation and transactions, as well as federal, state, and local tax controversies and litigation. He is an active member of the New York and California State Bars.

SSF is a regional public accounting firm providing tax, assurance, accounting, business consulting, and risk management services to Bay Area businesses. Bill Norwalk is a tax partners with SSF with 30 years in the CPA industry. The broad variety of clients he oversees are in the construction, real estate, and manufacturing fields. Services Bill coordinates include tax compliance and planning, projections, forecasts, calculations and budget models, planning for proper entity choices, estate planning, and performance milestone measurement.

Stock plan certainty. That is our promise to our clients, and the founding principle of SOS. Since 1999, SOS has helped companies overcome whatever challenges they are facing. Then we go beyond that, and make your stock plans better. We learn a little more each time, and bring fresh knowledge to the next challenge, setting and extending standards for the equity compensation world. Let SOS expertise drive the success of your equity compensation programs. How we help: internal analysis/guidance; employee/corporate training; global stock plan consulting; data analysis; technology & data assistance; process design & implementation; finance/accounting/tax consulting & technology; corporate actions; temporary stock administration staffing;and outsourcing.

I offer 35 years of dynamic COO & CFO experience for advising ESOP boards on best practices and effective strategies for growing company market share and employee profits. I am a licensed CPA with BS & MS Degrees in Accounting who specializes in business valuations, revenue diversification, M&A deals and risk management. Known for analytical skills in charting-the-course of what could be possible and then developing a plan to make it reality. I guarantee results resulting in a rewarding partnership.

Strategic Equity Group (SEG) is a California-based investment banking and valuation advisory firm dedicated to maximizing value for middle market companies going through the process of a merger, acquisition, divestiture, or other form of ownership transition. We specialize in sell-side representation, business valuations, and financial and fairness opinions, including ESOP formation, valuation, and feasibility.

The Price Company designs, installs, and administers qualified retirement plans for corporations, partnerships, and the self-employed. A recognized leader in the establishment of ESOPs with over 80 combined years of experience, The Price Company serves clients throughout the western states. Highly trained staff focus on assisting clients in obtaining their financial goals through the unique regulatory environment of qualified plan administration. As an enrolled agent, Philip Price is authorized to represent any client before the Internal Revenue Service.

Joe Faucher is a litigation attorney who focuses on ERISA and ESOP litigation. He has extensive experience in defending claims involving ESOP valuation issues and breach of fiduciary duty claims against both inside and independent fiduciaries.

The Silicon Valley Investment Group (SVIG), led by Emily Van Hoorickx, is a specialized equity compensation financial practice at UBS. SVIG leverages the tools of UBS's Equity Participant Advisory Services (EPAS) and other firm capabilities to offer corporate clients a range of scalable financial programs including 10b5-1 trading plans, executive financial planning engagements, employee education programs, corporate-sponsored Donor Advised Funds, as well as personalized strategies to individuals.

Vantage Point Advisors (VPA) is a full service corporate valuation firm offering independent valuation and financial advisory services. The firm has significant experience advising trustees on the structural and financial issues of new and existing ESOPs, including representing the ESOP on valuation-related matters; advising on transaction structure; negotiating on behalf of the ESOP; assisting in the design of ESOP securities; and providing annual appraisals for Plan trustees. Headquartered in San Diego and with offices in New York, Los Angeles, and Philadelphia, VPA assists clients with mergers and acquisitions, post-transaction integration, corporate restructurings and divestitures, financial reporting, estate planning and tax strategies, litigation, bankruptcy, and corporate planning.

With over 85 years in business, Windes & McClaughry offers a full range of services, including: audit and assurance, cost segregation, employee benefits, estate and trust planning, human resources recruiting and consulting, and tax planning, consulting, and compliance. The firm focuses on the needs of both publicly traded and privately held businesses, exempt organizations, qualified retirement plans, and high-net-worth individuals. Windes has been named one of the "Best Places to Work" in Los Angeles and Orange counties by the Los Angeles Business Journal and the Orange County Business Journal, respectively.

ATI Capital Group of Colorado is a business appraisal and financial consulting firm headquartered in Monument, Colorado. Ron Lint (CEO) has earned the highest designation obtainable in his profession, Accredited Senior Appraiser (ASA). Prior to starting his own firm, Ron was a CFO in industry, after which he headed the private business consulting group of a major regional CPA firm, where he managed transactions involving business valuations, mergers and acquisitions, corporate financial consulting, and ESOP engagements. Mr. Lint is an expert witness in the U.S. Tax Court involving corporate valuation issues, and is a recognized expert in the implementation of ESOPs for private corporations.

Mr. Rickles' practice focuses on the design and implementation of retirement, 401(k), nonqualified deferred compensation, employee stock ownership, Section 457 and other employee benefit plans, and tax-sheltered annuities. He received his B.A. degree from Boston University in 1970, his J.D. from the University of Denver in 1975, and his L.L.M. in Taxation, also from the University of Denver, in 1980. Mr. Rickles is a member of the member of the Pacific Coast Area Tax Exempt and Governmental Entities Council; the Employee Benefits and Closely Held Business Committees of the Tax Section, as well as the Real Property, Probate and Trust Law Section of the American Bar Association; and is a member of the Western Pension & Benefits Conference.

I am an employee benefits lawyer and work with employers on all aspects of their ESOP and equity compensation programs, including establishment, ongoing compliance, termination, and involvement in corporate stock and asset sales, purchases and mergers.

It's all about value at Harper Hofer & Associates. We focus on business valuation, litigation support, and forensic accounting. As a result, we have a team of more than 20 valuation professionals with a deep level of technical knowledge and a broad base of experience. That means if you're looking for someone to value your company for ESOP purposes, including fairness opinions, we can help. Or, if you're looking for someone to value your equity compensation plan, we can help there too. And of course we can help you when transferring ownership to insiders, either through an employee stock purchase plan or a more traditional transaction. Most importantly, we'll help you communicate this value to trustees, employees, and regulators.

Intrinsic specializes in performing valuations for matters of tax, equity compensation, financial reporting, transaction support, and litigation. The practitioners at Intrinsic are experienced and credentialed valuation specialists, having completed hundreds of engagements for clients based throughout the United States. Intrinsic is defined by a depth and breadth that only comes from years of valuation experience. Our engagements address complex financial issues faced by clients in a wide variety of industries and situations. Whether it is a closely held family enterprise or an institutionally owned portfolio company, our firm provides valuation solutions precisely tailored to the unique needs of our clients.

Jason Wiener|p.c. takes an unconventional and refreshing approach to legal and business consulting. We seek to develop deep and lasting relationships with clients by getting to know intimately the culture and vision of the organization, meeting with its key staff and informal leaders, and striving to provide customized, efficient and dynamic advice. We collaborate with clients to problem solve and create within the practical context of the organization and real-world constraints. We provide accessible and highly responsive client service and will keep you as up-to-date and involved in your matter as you want to be.

National contact at KeyBank for ESOP commercial banking and transaction financing, as well financing for individual selling shareholders wishing to take advantage of the IRS Code Section 1042 tax deferral.

Experienced ESOP Lender and ESOP subject matter expert for KeyBank National Association. Former CFO for an ESOP owned Middle Market Manufacturer, CPA and ABV (Accredited in Business Valuations by the American Institute of CPAs.) Serves on the Colorado Governor's Employee Ownership Commission.

Lewis Roca Rothgerber Christie offers a wide range of services including litigation, real estate transactions, banking compliance, insurance reorganization, corporate organization and finance, tax and executive compensation, intellectual property, regulatory compliance and government relations, and labor and employment. Mr. Mahaffey and Ms. Steinhour focus on taxation, finance, corporate, and transactions. They provide counsel on many tax-sensitive and ERISA-related matters including ESOPs, qualified plans, and advice to plan sponsors concerning fiduciary and plan administration issues. They also handle compensation and fringe benefit matters, including qualified and nonqualified options, self-funded welfare benefit plans, and related matters.

Contract executive and consultant focused on governance, open-book management, business performance, and organizational development.
 

The Employee Stock Ownership Plan (ESOP) and employee stock purchase plan are popular methods of compensating and motivating employees, providing creative tools for succession and estate planning, and raising capital for many purposes. ESOPs face scrutiny from both the Internal Revenue Service and the Department of Labor. Due to the complex nature of the valuation, it’s important that valuation professionals have considerable experience valuing ESOPs. We can help.

We believe great accomplishments require great teams. Since 2002, hundreds of executive leaders have trusted Trebuchet Group to take their teams to a new level of performance. We work collaboratively, providing tools, facilitation, and coaching to help you get results. If you feel the weight of your company on your shoulders and know your team has untapped potential, give us a call. We're ready to meet you where you are and help you get where you want to go.
 

Connect with Trust ... Connect with Us. Zick has over 30 years of ESOP experience. We specialize in businesses with or considering ESOP or other stock-based ownership or incentive plans. For ESOPs, our CVAs bring the highest level of technical expertise and understanding of ESOP valuation issues to engagements, and work closely with internal and external trustees. Long-term relationships are our goal, since stability is an important factor in ESOP valuations. For potential ESOP companies, we can help you determine if an ESOP is right for you and your company. Our services include transactional and annual ERISA required valuations, feasibility analysis, fairness opinions, and valuation and consulting services regarding other equity-based compensation and incentive plans.

Connect with us...Connect with Trust. Zick has over a quarter- century of ESOP experience. We specialize in businesses with or considering ESOP or other stock-based ownership or incentive plans. For ESOPs, our four CVAs bring the highest level of technical expertise and understanding of ESOP valuation issues to engagements, and work closely with internal and external trustees. Long-term relationships are our goal, since stability is an important factor in ESOP valuations. For potential ESOP companies, we can help you determine if an ESOP is right for you and your company. Our services include transactional and annual ERISA required valuations, feasibility analysis, fairness opinions, and valuation and consulting services regarding other equity-based compensation and incentive plans.

Empire Valuation Consultants, Inc. specializes in the valuation of closely held securities and businesses. The principals of the firm have over 50 years of combined experience in the valuation business. As senior members of the American Society of Appraisers, all have written and spoken widely on the topic of valuations for ESOPs and other purposes. The firm has offices in New York, New York, and Rochester, New York.

Marcum LLP is one of the largest independent public accounting and advisory services firms in the nation, with offices in major business markets throughout the U.S., as well as Grand Cayman, China and Ireland. Headquartered in New York City, Marcum provides a full spectrum of traditional tax, accounting and assurance services; advisory, valuation and litigation support; and an extensive range of specialty and niche industry practices. Our highly experienced and respected team of valuation and accounting experts provides business valuation, consulting, accounting, and auditing services to ESOPs across the country. We regularly act as independent financial and valuation advisors in ESOP transactions and have assisted in establishing ESOPs for companies of all sizes.

Marcum LLP is one of the largest independent public accounting and advisory services firms in the nation, with offices in major business markets throughout the U.S., as well as Grand Cayman, China, and Ireland. Headquartered in New York City, Marcum provides a full spectrum of traditional tax, accounting, and assurance services; advisory, valuation, and litigation support; managed accounting services; and an extensive portfolio of specialty and niche industry practices. The Firm serves both privately held and publicly traded companies, as well as nonprofit and social sector entities, high net worth individuals, private equity funds, and hedge funds, with a focus on middle-market companies and closely held family businesses.

We are a strategy-oriented management consulting group, specializing in privately held, family owned businesses. We provide these services for ESOP transitions: board development, management development, organizational/financial assessments, strategic/succession planning, team building, and coaching and mentoring leaders. For ESOPs seeking new directions, we offer assessments and processes that improve the organization's strategies and structure, culture, product transformation, information systems, and rewards/recognition. We focus on professionalizing the corporate family organization - PTCFO.

Rob Schatz is a partner of Schatz Brown Glassman LLP, a boutique ESOP law firm with offices in Connecticut and New York. ESOP Plus has received awards for "Best Boutique ESOP Law Firm (U.S.)" and "Excellence in ESOP Transaction Planning" and Rob has been named as a "Top Attorney in North America (2019)." A corporate and finance lawyer for more than 40 years, Rob structures (and documents) ESOP acquisitions, divestitures and financing transactions and advises Corporate Boards, management and ERISA fiduciaries. Rob and his partner, Richard Glassman each is a member of the Boards of Directors of 2 ESOP companies and Rob is a Trustee of the Employee Ownership Foundation. Both Rob Schatz and his partner, Rob Brown, are Fellows in the American College of Employee Benefits Counsel.

USI Consulting Group provides plan design and document services, recordkeeping and administration, repurchase obligation analysis/studies and full compliance services. Through our associations, we can help perform a search for other service providers such as trustees, lenders and appraisers. We currently work with a broad range of ESOPs including publicly held corporations and closely held C-Corps and S-Corps. Also, working with USI Securities, Inc. and USI Advisers, Inc. we can provide recordkeeping for your 401(k) or other retirement plans and any required combined compliance testing. We also employ a talented group of communication specialists to ensure that your plan's participants are well educated and excited to be "employee owners".

We are experts in the valuation of employee stock ownership plans, with extensive experience in this area. Barry Goodman, the firm's founder, has been a member of the Employee Stock Ownership Plan ("ESOP") Association's Valuation Advisory Committee for over 20 years. He has headed and/or participated in several key subcommittees whose topics include the valuation of shares in a leveraged ESOP, the valuation of convertible preferred stock owned by ESOPs, and various subjects dealing with the valuation of S Corporation ESOP stock.

Ben Wells is a nationally recognized authority on employee stock ownership plans (ESOPs), and is a frequent author and lecturer on ESOP issues. He counsels ESOP trustees, fiduciaries, sponsors, and lenders on the requirements of the Internal Revenue Code and ERISA as they relate to ESOPs and also in the use of ESOPs as tools of business planning and succession. Dinsmore's ESOP practice group services clients throughout the United States from the firm's offices in Washington, Cincinnati and Columbus.

37 years of direct experience with ESOP law and regulations as first counsel, then general counsel, and finally 28 years as President of The ESOP Association. Very knowledgeable of best practices establising and managing an ESOP company, including knowledge of Federal regulation of ESOPcompanies. Most qualified to serve as Board member of ESOP company.

RSM US LLP is a leading provider of assurance, tax, and consulting services focused on the middle market. RSM currently serves hundreds of ESOP clients in various business models including: public and private companies, C and S corporations, and minority and majority ESOP ownership levels. From the day you begin to consider an ESOP through dealing with the complex compliance demands that your plan will entail going forward, RSM's deep experienced ESOP team will be a valuable resource: accountable professionals to whom you can always turn for quick, reliable advice.

This office of Menke & Associates, Inc. administers ESOP in the Mid-Atlantic and Northeast areas. Nationwide, Menke & Associates, Inc. administers nearly 1,000 ESOPs ranging in size from 20 participants to 15,000 participants.

As one of the largest independently and locally owned CPA and business consulting firms in Central Florida, we have been creating and providing solutions for our clients for over 50 years. We can help you with all aspects of your business from family-owned businesses and publicly held companies to not for profit and governmental entities. We are committed to you and your success by building relationships one client at a time. We are here to assist businesses, government agencies, nonprofits and high-wealth individuals with comprehensive tax and accounting needs. Our practice focuses on helping clients meet present and future objectives. In preparation for the future, we have fully implemented a succession plan so the firm you work with today is the firm you work with tomorrow.

Crowe Horwath LLP is one of the nation's largest accounting and consulting firms. We have extensive expertise in ESOP administration, providing a full complement of plan and participant level services for more than 500 ESOPs nationwide. These services include recordkeeping, compliance testing, Form 5500 preparation, benefit plan auditing, repurchase liability studies, and general consulting. From your first contact to your last question, you will find your ESOP team to be knowledgeable, accessible, professional, and flexible.

ESOP Trustee & Fiduciary Services
 

Respected Executive with extensive experience at Board level work in shipyards, heavy industry, and a national staffing company. Served as a trustee and director on a 100% ESOP company and on the board of private companies as well. My career path extended from an apprentice to managerial positions such as President and CEO, VP Business Development and Strategic Planning and most functional levels of business. I have a strong background in contracting. I believe in the benefits of Employee Ownership to all sides. As a trustee I had the opportunity to learn the practical lessons of the importance of good governance and limiting conflicts of interest. I am available for board service throughout the country and mentoring those considering the formation of an ESOP.

We have 20+ years in providing ESOP trustee/fiduciary services in the U.S. We currently serve 40 ESOP clients on an ongoing basis. FTS has acted as a transaction trustee in nearly 100 ESOP stock transactions. We serve in this capacity for 5-6 transactions each year. We are CPAs with extensive experience in auditing, tax, and merger & acquisition services. We draw on these experiences as we discharge our ESOP trustee duties, including but not limited to, valuation review, voting company stock, reviewing major corporate actions, advising committees and boards of directors. FTS has an extensive network of ESOP service professionals. The three principals of FTS; Shawwn Storms, Nick Agresta & Tom Potts. FTS has offices in Indianapolis, IN, Greensburg, IN, and Ft. Myers, FL.
 

Full-service international law firm with interdisciplinary ESOP practice group for all stages of an ESOP's life cycle.
 

Greenberg Traurig, LLP (GT) is a full service international law firm with over 2,000 attorneys located throughout 38 offices. Our national ESOP team includes ERISA, tax, corporate, finance, litigation, labor, securities, and trusts and estates lawyers. Our clients work with an interdisciplinary team that offers wide-ranging experience in designing, drafting and implementing ESOPs. We also assist our clients in integrating their company's overall employee benefits program with their ESOP. We have an experienced dedicated team to handle DOL ESOP Investigations and ESOP Litigation. Our ESOP team has completed some of the largest transactions in the industry, representing corporations, selling shareholders, ESOP trustees, lenders and private equity groups.

PCE, a leading investment bank for middle-market companies, offers clients a full range of investment banking services including M&A, business valuations, ESOP, growth capital, fairness opinions, advisory planning, and litigation support. PCE has a dedicated ESOP group that is focused on financial advisory services for shareholders evaluating ESOP opportunities as well as ESOP-owned companies. PCE advises on feasibility studies, structuring and financing ESOPs, sales to ESOPs, sales of companies owned by ESOPs and buy-side opportunities for ESOP owned companies. PCE Investment Bankers is a member of FINRA & SIPC. Area offices in Orlando, Chicago, New York, and Atlanta.

The Principal Financial Group(R) is a leader in offering businesses, individuals, and institutional clients a wide range of financial products and services to help them achieve their financial goals. The Principal(R) provides ESOP clients with full-service consulting, actuarial, administration, and recordkeeping services through our consultative approach, commitment to the industry, and proactive, personalized service model.

The Principal Financial Group(R) is a leader in offering businesses, individuals, and institutional clients a wide range of financial products and services to help them achieve their financial goals. The Principal(R) provides ESOP clients with full-service consulting, actuarial, administration, and recordkeeping services through our consultative approach, commitment to the industry, and proactive, personalized service model.

SES ESOP Strategies is a national ESOP firm that assists private business owners and their companies in planning their internal succession strategies using Employee Stock Ownership Plans (ESOPs).

The firm specializes in ESOP valuations and feasibility studies. We have performed over 2,500 ESOP appraisals and annually update over 70 ESOP appraisals for clients in 15 states. Additionally, fair market value appraisals are commonly undertaken on behalf of our clients for purposes associated with estate taxes, gifts of closely held stock or equity interests, preferred stock freezes, buy-sell agreements, and actual sales transactions.

Ventura ESOP Fiduciary Services' professionals have provided ESOP trustee services since 2006. We serve as directed or discretionary ongoing trustee for more than 75 ESOPs and have served as transaction trustee for more than 150 engagements. Our team has extensive experience in all facets of ESOP transactions and administration.

Vision Point Capital is a professional service firm that is focused on advising business owners throughout the lifecycles of their business, helping them reach their dreams and preserve their legacy. Every year, Vision Point Capital helps companies nationwide with their ESOP needs including initial transactions, annual valuation updates, ESOP feasibility, DOL audits representation, and fairness opinions. Furthermore, VPC team members are active in sponsoring and speaking at the National Center for Employee Ownership and the ESOP Association conferences.
 

 ESOP valuation firm, providing feasibility studies, transaction advisory  and due diligence, capital raise, ESOP plan implementation, due diligence, fairness opinions, and annual valuation updates.

Censeo Advisors is a professional services firm delivering comprehensive business valuation, financial advisory, tangible asset appraisal, and forensic analysis services, including work performed in conjunction with employee stock ownership and executive compensation plans. Our team of highly experienced and accredited practitioners assists clients and other professionals with feasibility, implementation, transaction due diligence, fairness and solvency opinions, and subsequent valuation needs.

GreatBanc Trust Company is nationally recognized as a highly skilled, independent ERISA fiduciary with a specialization in ESOPs. GreatBanc provides ESOP trustee services for hundreds of ESOPs throughout the United States, with plan assets ranging from approximately $1 million to $9 billion. GreatBanc has extensive experience with ESOP purchases and sales, ESOP administration, corporate governance and ESOP valuation. Bucky Wright currently serves as Senior Vice President in the Employee Stock Ownership Plans Client Services group, managing the finance area of valuation, fairness and consideration opinions for custom engagements related to ESOPs and other fiduciary trusteeships. With 15 years of experience in financial consulting, he has structured and negotiated complex ESOP transactions.

Greenberg Traurig, LLP (GT) is a full service international law firm with over 2,000 attorneys located throughout 38 offices. GT is a single firm resource for ERISA, ESOP, and Employee Benefits litigation issues, defending clients in class actions and single plaintiff matters and advising in government investigations and mergers and acquisitions. Todd works closely with lawyers and professionals in many GT practices to bring a unique and tailored approach to every case. He is co-chair of the firm's National Labor & Employment Practice's ERISA Litigation team and is experienced in ERISA and employee benefits litigation.

Hall Benefits Law (HBL) is an ERISA and employee benefits law firm focused on helping your company design and implement the best benefit plans possible so you can attract and retain top employees while avoiding costly legal non-compliance errors. We are based in Atlanta, Georgia, but we serve businesses nationwide. HBL has the knowledge and experience needed to help you with all your employee benefit needs. Our team understands that Employee Stock Ownership Plans (ESOPs) are a sophisticated benefit that can offer significant advantages to both employees and business owners. Implementation of ESOPs must be performed correctly to ensure up-front compliance, and ESOPs require maintenance as they mature.

Krieg DeVault is a leader in structuring ESOP transactions throughout the United States. Since 1985, Krieg DeVault has developed one of the largest and most sophisticated ESOP practices in the country. Our ESOP attorneys co-authored the "S" corporation ESOP legislation and implemented the first ESOP sponsored by an "S" corporation. Our clients include plan sponsors, trustees, offices and board of directors. Founded in 1870, Krieg DeVault provides clients of all sizes with the highest level of service.

This office of Menke & Associates, Inc. administers ESOPs in the Southeast. Nationwide, Menke & Associates, Inc. administers nearly 1,000 ESOPs ranging in size from 20 participants to 15,000 participants.

Maureen Clayton is president of Nest Egg Communications, an award-winning, full-service ESOP Communications agency located in metro Atlanta. Nest Egg Communications delivers professional communications products, digital solutions, and in-house creative for the ESOP community. Ms. Clayton holds multiple degrees in communications and is a frequent speaker at national conferences on the topics of ESOP communications strategy, marketing communications alignment, employee engagement, and leadership communications.

PCE, a leading investment bank for middle-market companies, offers clients a full range of investment banking services including M&A, business valuations, ESOP, growth capital, fairness opinions, advisory planning, and litigation support. PCE has a dedicated ESOP group that is focused on financial advisory services for shareholders evaluating ESOP opportunities as well as ESOP-owned companies. PCE advises on feasibility studies, structuring and financing ESOPs, sales to ESOPs, sales of companies owned by ESOPs and buy-side opportunities for ESOP owned companies. PCE Investment Bankers is a member of FINRA & SIPC. Area offices in Orlando, Chicago, New York, and Atlanta.

Prairie provides investment banking, ESOP advisory, valuation advisory and financial reporting valuations to support the growth and ownership transition strategies of middle-market companies. Since 1996, we have helped hundreds of companies structure, value, and sustain their ESOP. We take pride in our well-earned reputation of providing independent guidance, industry expertise, and outstanding results to our clients nationwide.

Swerdlin & Company, an independent actuarial and employee benefits firm, is a leader in servicing employee-owned companies. With close to 100 ESOPs and clients in 32 states, Swerdlin is one of the largest providers of ESOP administration and recordkeeping. We provide comprehensive services for ESOPs including education, communication, plan design, repurchase liability studies, consulting, and ongoing administration and recordkeeping. Full service recordkeeping and administration includes full integration with our call center, and internet services, especially for KSOPs or other 401(k)/ESOP arrangements. Since Swerdlin does not sell financial products or provide investment advice, our recommendations are never influenced by financial gain.

The ESOP Group at UBS Financial Services has 30 years of experience working with business owners on the structure and sale of their privately held businesses to an ESOP. The team focuses on creating liquidity and diversification through Section 1042 tax deferral and family wealth management. Our wealth management expertise and ESOP focus have earned our clients' trust. Our mission is to provide comprehensive technical and investment knowledge that result in the delivery of our unique experience, where value exceeds expectations. The purpose of this knowledge and experience is to bring about clarity and confident decision-making to clients and their families, as well as their companies and stakeholders.

The ESOP Group at UBS Financial Services has 30 years of experience working with business owners on the structure and sale of their privately held businesses to an ESOP. The team focuses on creating liquidity and diversification through Section 1042 tax deferral and family wealth management. Our wealth management expertise and ESOP focus have earned our clients' trust. Our mission is to provide comprehensive technical and investment knowledge that result in the delivery of our unique experience, where value exceeds expectations. The purpose of this knowledge and experience is to bring about clarity and confident decision-making to clients and their families, as well as their companies and stakeholders.

TI-TRUST, Inc., providing trust services since 1956, offers a comprehensive range of trustee services including ESOP, 401(k), custodial, and estate planning services. As a well recognized, institutional provider of specialized fiduciary and trustee services for ERISA retirement plans and their sponsors, we have a specialized, nationally recognized expertise in employee stock ownership plans. Our highly skilled, dedicated team of industry professionals allows TI-TRUST to provide the highest quality fiduciary services designed to meet the complex and rigorous requirements of both the Department of Labor and the Internal Revenue Service.

Warren Averett is a regional accounting firm in the Southeastern United States. Our passion for our clients underscores why we do what we do. That passion remains at the core of our promise and mission to help you thrive and accomplish more of what's important to you, always. We do that by being on and at your side--helping you make the most of opportunities to create, grow and protect value. We audit over 250 employee benefit plans each year, including ESOPs. We have experience to consult and create value for both the sponsor and ESOP, and help navigate the intricacies of an ESOP.

Willamette Management Associates is a business appraisal firm headquartered in Chicago, Illinois. The company also has offices in Atlanta, Georgia, and Portland, Oregon.

Established in 1957, Windham Brannon is a public accounting firm providing audit and tax services to many of Atlanta's most successful families and business institutions. We audit over 80 employee benefit plans, including ESOPs, annually. Many of our professionals began their accounting careers with "Big 4" national firms, so our clients benefit from our "best of both worlds" service delivery: national- firm talent providing local- firm attention. Furthermore, Windham Brannon's professional staff is among the most experienced in the area of employee benefit plan audits.

The Bankers Trust ESOP Finance team is a Midwest based, nationally focused practice that provides middle-market businesses with strategic employee stock ownership plan (ESOP) lending. Our experienced team works with customers as they plan for structural change and growth. We employ a high-touch banking experience that allows customers to focus on their business as it navigates through the cultural and financial changes brought on by transitioning from a private company to a minority or majority ESOP owned company.

BCC Advisers offers independent appraisals, as well as transaction and consulting services to ESOP's across the U.S. Our experienced and accredited analysts perform annual appraisals, consult with companies on ESOP matters and issue fairness opinions for ESOP transactions. Our approach is personable, comprehensive, and fully compliant. We are committed to your company's ESOP.

CEO/President of Folience. Company for 130 years was print and broadcast media. ESOP started 1986, 100% ESOP in 2012. Daniel joined April 2016 to transform company and diversify revenue base through acquisitions. Today, 620 employee owners work in Folience’s media, advertising agency, ambulance manufacturer, and high-end horse and livestock trailer manufacturer companies.

On Board of Governors of the ESOP Association and Board of Trustees of the Employee Ownership Foundation, he completed the UPenn ESOP CEO program in 2017.

Daniel’s prior 20 years of executive leadership on five continents includes M&A, portfolio investment, and real estate investment and management, primarily for family owned businesses. He holds a B.A. from Colgate University and an MBA and an MS from RPI.
 

GreatBanc Trust Company is nationally recognized as a highly skilled, independent ERISA fiduciary with a specialization in ESOPs. GreatBanc provides ESOP trustee services for hundreds of ESOPs throughout the United States, with plan assets ranging from approximately $1 million to $9 billion. GreatBanc has extensive experience with ESOP purchases and sales, ESOP administration, corporate governance and ESOP valuation. Scot Storjohann serves as Senior Vice President in the Employee Stock Ownership Plans (ESOP) Client Services group, focusing on managing client relationships and ESOP transactions. With more than 25 years of experience with ESOPs and retirement plan services, Mr. Storjohann’s experience includes trustee and ongoing transactional services for many types of ESOPs.
 

GreatBanc Trust Company is nationally recognized as a highly skilled, independent ERISA fiduciary with a specialization in ESOPs. GreatBanc provides ESOP trustee services for hundreds of ESOPs throughout the United States, with plan assets ranging from approximately $1 million to $9 billion. GreatBanc has extensive experience with ESOP purchases and sales, ESOP administration, corporate governance and ESOP valuation. Debra Williams currently serves as Senior Vice President in the Employee Stock Ownership Plans (ESOP) Client Services group, focusing on managing client relationships and ESOP transactions. She has more than 25 years of participation in numerous ESOP transactions, as well as having experience in directed and non-qualified retirement plan services.

As one of the largest boutique finance firms in the South and in the Midwest, HDH Advisors, LLC offers business appraisal, litigation support, and corporate financial services to business owners across the United States from two offices, one in Atlanta and one in Des Moines. We have been involved with ESOPs since 1995 and provide valuation services to companies in various industries. We're here to provide the expertise you can trust with decades of experience and a commitment to getting it right the first time.

Holmes Murphy is one of the largest employee-owned insurance consultants & brokers in the US. Specializing in Property & Casualty and Employee Benefits. As an employee-owned company we know that culture matters. Founded in 1932 we have perpetuated our leadership team through 4 generations by successfully providing the best experience for employees, customers, and owners.

Holmes Murphy's dedicated ESOP Practice works closely with ESOP companies and tailors bespoke coverage and risk management solutions to provide essential protections for your unique risks.
HMA prides ourselves on selling “thinking,” not insurance. In a nutshell, we sell the cumulative knowledge and experience that make insurance and businesses work better. Holmes Murphy is a privately held, 100% employee-owned insurance agency. We serve business and industry leaders across the nation in the areas of Property Casualty, Employee Benefits, Surety, Captives, Risk Management, Loss Control, and Organizational Wellbeing. Our mission is to make a difference by promoting health, protecting wealth, and delivering peace of mind.

Since 1985, our mission remains the same-- to be the best client-centric service provider of 401(k) and other retirement plans; recordkeeping and administration; actuarial services; ESOP; and compensation and employee benefits consulting. We are our clients' trusted partner, combining in-depth insight and expertise with a fully transparent fee model that allows us to deliver unbiased solutions that meet the unique needs of each of our clients. Our capabilities have been developed over decades of hands-on experience. We have a long history of serving ESOP companies. Our ESOP services include feasibility analysis, ongoing plan administration, Section 409(p) testing, and repurchase obligation forecasting.

Prairie provides investment banking, ESOP advisory, valuation advisory and financial reporting valuations to support the growth and ownership transition strategies of middle-market companies. Since 1996, we have helped hundreds of companies structure, value, and sustain their ESOP. We take pride in our well-earned reputation of providing independent guidance, industry expertise, and outstanding results to our clients nationwide.

Ryan Gruhn was on the management team of Schafer Systems Inc. that transitioned from family owned to ESOP in 1998 becoming Owner Revolution Inc. After the ESOP transition, Ryan was President of 3 corporate subsidiaries of ORI for 6 years. After leaving ORI, Ryan was CEO of Paragon International, leading that company through a distressed financial period and enabling the ownership group to sell the company to a new organization. Ryan has experience serving as an independant board member with several organizations including ESOP companies. He specializes in guiding privately held, family owned and ESOP companies through succession planning, leadership transitions and corporate governance structuring. Ryan and his wife Lana have owned Iowa's leading chain of monument stores since 2008.

TrueNorth is a nationally known property casualty, employee benefits, and financial services firm focused on entrepreneurial opportunity and employee ownership. The firm has built a specialty practice focused on the unique needs of ESOP companies. ESOP organizations partner with TrueNorth when they are looking to strategically address their sustainability concerns, plan for a Section 1042 rollover, or implement non-equity-based incentive compensation programs. TrueNorth believes in and is passionate about empowering employees through ownership and that passion is displayed in every aspect of their process.

Kayla Adams, CPFA offers independent fiduciary services across the country to companies sponsoring ESOPs for stock sale transactions and ongoing annual trustee services.

Prior to founding Alturas, Kayla specialized in sell-side advisory overseeing project management and coordination of over 70 ESOP formations. Consulting with over 1,000 selling shareholders considering an ESOP as a business succession strategy has created a unique perspective and understanding of how to better serve our clients in the role of Trustee.

Alturas is focused on building quality partnerships with the ESOPs we serve. We earn our fees through dedicated service and commitment and our promise is to be responsive and a strong resource when our clients need us.

The Principal Financial Group(R) is a leader in offering businesses, individuals, and institutional clients a wide range of financial products and services to help them achieve their financial goals. The Principal(R) provides ESOP clients with full-service consulting, actuarial, administration, and recordkeeping services through our consultative approach, commitment to the industry and proactive, personalized service model.

Chartwell provides comprehensive financial advisory solutions to employee-owned companies throughout the US. We represent companies, shareholders, and fiduciaries in transaction, valuations, and specialized services designed to optimize ownership and corporate capital structure. Valuations, fairness options, structuring & feasibility, mergers & acquisitions, equity compensation, capital markets, and sustainability.

CIBC Bank USA has had a commitment to deep client relationships since its beginning in 1991. Our expertise includes providing independent trustee, directed trustee, and ESOP lending to existing and potential ESOP companies. Our team of experienced professionals bring an average of over 30 years experience working with qualified plans. In addition to ESOP services, we provide consulting, investment advisory, and trustee services to all qualified plans. We work closely with benefits attorneys, recordkeepers, and valuation firms to provide highly specialized skills for plan sponsors and their participants.

Specializes in providing financing and ancillary bank solutions to primarily privately-held, family owned businesses, that are, or considering converting to an ESOP.

Crowe Horwath LLP is one of the nation's largest accounting and consulting firms. We also have extensive expertise in ESOP administration, providing a full complement of plan and participant level services for more than 500 ESOPs nationwide. These services include recordkeeping, compliance testing, Form 5500 preparation, benefit plan auditing, repurchase liability studies, and general consulting.

Mr. Campbell's practice focuses on corporate and tax matters, with an emphasis on mergers, acquisitions, and other transactions, employee benefits (retirement and welfare), ESOPs, executive compensation, and business continuity planning. Mr. Campbell and his firm also handle a wide variety of tax and employee benefits controversies and litigated matters.

Duff & Phelps, LLC, a Chicago-based investment bank, is a leading financial advisor to ESOP companies and fiduciaries. D&P has provided financial and valuation services in many large and complex ESOP transactions and has used the same expertise in deals involving smaller, closely held companies. Financial services for new ESOP companies include financing, transaction feasibility, valuation, and security design. D&P also advises existing ESOP companies on stock sales, recapitalizations, and other signficant corporate transactions.

Providing ESOP administration and recordkeeping services for over 30 years to leveraged and non-leveraged ESOPs with special focus on combination clients with defined contribution paired plan administration needs. Services range from day to day support to technical compliance and consulting needs.
 

Peter is the founder of ESOP Structuring Specialists, Inc., a sell side ESOP advisory firm focused on designing and implementing optimal ESOP structures for companies and their owners. Es2 also provides mature ESOP consulting services to management teams and company boards with respect to strategic value issues, ESOP repurchase liability and capital allocation topics. Peter has been providing ESOP advisory services for 18 years and he has spoken at numerous conferences regarding advanced ESOP valuation and transaction structuring topics.

First American Bank is a privately-held financial institution that has been providing financing to ESOP companies nationwide for more than 25 years. Our experienced team of ESOP lenders have a strong knowledge across a broad range of industries and place a high emphasis on customer service. As an ESOP ourselves, First American Bank understands the value of being employee-owned.

First Midwest Bank's ESOP Finance Group is a team of bankers focused on addressing the banking needs of ESOP-owned companies nationally. Collectively, we have deep experience in lending, employee benefits law, capital markets, capital equipment financing, and working capital management, enabling us to bring a holistic approach to providing banking services, financing and guidance to middle market companies, their owners and management. In addition to initial ESOP transaction financing, we provide financing to support on-going strategic and growth goals, second stage transactions, seller note refinancing and repurchase obligations. First Midwest Bank is a Chicago-based bank serving clients both regionally and nationally.

As a team of experienced lenders with complementary corporate finance and legal backgrounds, our First Midwest Bank ESOP Finance Group provides debt financing and a full range of banking services to employee-owned companies. The types of financing we provide includes:
• Initial transactions where an ESOP or other employee ownership structure acquires a majority or minority ownership interest in their company;
• Secondary stage transaction financing as a follow-on to employees' initial ownership interest investment;
• Repurchase financing to help more mature ESOP-owned companies plan for and manage their longer-term capital requirements; and
• Traditional growth, acquisition and/or working capital financing needs.

Please ask us for client testimonials!

First Midwest Bank's ESOP Finance Group is a team of bankers focused on addressing the banking needs of ESOP-owned companies nationally. Collectively, we have deep experience in lending, employee benefits law, capital markets, capital equipment financing, and working capital management, enabling us to bring a holistic approach to providing banking services, financing and guidance to middle market companies, their owners and management. In addition to initial ESOP transaction financing, we provide financing to support on-going strategic and growth goals, second stage transactions, seller note refinancing and repurchase obligations. First Midwest Bank is a Chicago-based bank serving clients both regionally and nationally.

GreatBanc Trust Company is nationally recognized as a highly skilled, independent ERISA fiduciary with a specialization in ESOPs. GreatBanc provides ESOP trustee services for hundreds of ESOPs throughout the United States, with plan assets ranging from approximately $1 million to $9 billion. GreatBanc has extensive experience with ESOP purchases and sales, ESOP administration, corporate governance and ESOP valuation. Kjersti Cory currently serves as Sr. Vice President in the Employee Stock Ownership Plan Client Services group, focusing on managing client relationships and ESOP transactions. Her experience includes the implementation of new ESOPs, second-stage transactions, redemption & sales, mergers & acquisitions, refinancing, restructuring, bankruptcy and liquidation transactions.

GreatBanc Trust Company is nationally recognized as a highly skilled, independent ERISA fiduciary with a specialization in ESOPs. GreatBanc provides ESOP trustee services for hundreds of ESOPs throughout the United States, with plan assets ranging from roughly $1 million to $9 billion. GreatBanc has extensive experience with ESOP purchases and sales, ESOP administration, corporate governance and ESOP valuation. Kevin Kolb currently serves as Sr. Vice President in the ESOP Client Services group, focusing on managing client relationships and ESOP transactions. Mr. Kolb has a LL.M degree in employee benefits and a juris doctor from The John Marshall Law School, experience in 100+ transactions and has handled the negotiation, structure of purchases and sales of both private & public companies

GreatBanc Trust Company is nationally recognized as a highly skilled, independent ERISA fiduciary with a specialization in ESOPs. GreatBanc provides ESOP trustee services for hundreds of ESOPs throughout the United States, with plan assets ranging from roughly $1 million to $9 billion. GreatBanc has extensive experience with ESOP purchases and sales, ESOP administration, corporate governance and ESOP valuation. Patrick DeCraene currently serves as Sr. Vice President in the Employee Stock Ownership Plans Client Services group. He manages business development for custom engagements for ESOPs and fiduciary trusteeships. He has extensive experience in the design and administration of qualified and non-qualified plans, including ESOPs, defined benefit, 401(k), profit sharing and 403(b) plans.

GreatBanc Trust Company is nationally recognized as a highly skilled, independent trustee specializing in serving as a fiduciary for ERISA retirement plans, with an emphasis in ESOPs. As one of the largest independent trust companies in the nation, we provide a comprehensive range of fiduciary and financial services. GreatBanc brings together a team of professionals whose average experience in the industry exceeds 20 years. Our team offers exceptional expertise embracing a wide range of professional disciplines, including legal, financial, fiduciary, investment, retirement planning, financial planning, and trust and estate planning. Our process is designed to meet expectations by both the US Department of Labor and the IRS.

Holland & Knight is a global law firm with more than 1,250 lawyers and other professionals in 27 offices throughout the world. Among the nation's largest law firms, Holland & Knight provides representation in litigation, business, real estate and governmental law. Interdisciplinary practice groups and industry-based teams provide clients with access to attorneys throughout the firm, regardless of location.

Houlihan Lokey is a leading investment banker and financial advisor to companies and independent fiduciaries in engagements involving ERISA benefit plans and ESOPs. We have structured hundreds of ESOP transactions, enabling us to (i) devise a variety of unique capital structures to meet clients' goals and (ii) bring current and directly applicable transaction experience to bear. Houlihan Lokey provides ESOP companies with strategic alternative/feasibility analysis in addition to financing, valuation, and mergers & acquisition advice in completing transactions. We also provide ESOP and ERISA fiduciaries with fairness, solvency, and valuation advisory services in the context of transactions and ongoing administrative requirements

J.P. Morgan's ESOP Advisory Group is dedicated to assisting bankers and their privately held clients evaluate the benefits of selling stock to an ESOP as an alternative to an outright sale of stock, a leveraged recapitalization, or an IPO. This group helps make J.P. Morgan more than just a financing source for ESOP transactions; with more than 100 years of collective experience, we can help you structure financing that not only provides strategic & financial benefits to your business, but also aligns with your long-term ownership strategy.

Katten Muchin Rosenman LLP is a national law firm headquartered in Chicago, with offices in New York, Los Angeles, Washington, DC, and Charlotte. The firm represents both closely held and publicly traded businesses and is regularly engaged in assisting those clients with their ownership, management, and business succession issues, including those involving ESOPs. ESOPs are approached on a multi-disciplinary basis, involving where appropriate, lawyers from its employee benefits and executive compensation, corporate, tax, securities law and other related practices. Its ESOP lawyers are leaders in their field and have written and spoken about ESOPs extensively.

Ann Kim advises employers on a broad range of ERISA and employee benefit-related matters. She focuses on employee-owned companies and has extensive experience with ESOPs, and options, restricted stock, and phantom stock plans. Ann also works with other tax-qualified retirement plans, such as 401(k) plans. A significant portion of Ann's practice consists of advising clients on Code Section 409A compliance and finding practical compliance solutions. She assists employers in becoming employee-owned through the adoption of an ESOP, counsels ESOP trustees on their fiduciary duties, helps employers establish and maintain committees for proper governance of benefit plans, and provides fiduciary training to benefit plan fiduciaries.

We are advisors to the leaders of employee-organizations who need simple, practical and straightforward counsel for building organizational capacity and sustainable businesses on a foundation of Cultures of Ownership, Leadership and Character-based Capitalism.

Contact us when you want to:

• Unleash the power of having your employees thinking and acting like owners;
• Increase the odds that your soon-to-be formed or relatively new ESOP realizes its full potential (e.g., preserving your culture or legacy, or rewarding your employees);
• Strengthen trust, communication, and collaboration at all levels of your organization; and/or
• Attract and retain more "A" team employees and customers.

Levenfeld Pearlstein has extensive experience in the legal and financial issues involved in the formation and administration of ESOPs and has represented clients throughout the United States in various aspects of ESOP transactions. Our attorneys are nationally recognized for their experience in working with owners who have sold their business to an ESOP and for their skill in assisting ESOP companies comply with the complex laws and regulations involved in the administration of their plans. We also have experience restructuring companies wishing to form an ESOP to fully realize preferential tax benefits available to them, as well as representing fiduciaries in various types of transactions involving ESOPs, including acquisitions and divestitures involving the plan sponsor and termination.

Ted is a partner in McDermott Will & Emery LLP. He focuses on employee benefits and ERISA litigation and has special expertise relating to ESOPs. For thirty years, Ted has defended some of the highest-profile lawsuits involving ESOPs. He represents ERISA and ESOP plan sponsor companies, their directors and officers, plan fiduciaries, administrators, investment advisors, and other service providers in a wide variety of matters, including U.S. Department of Labor investigations and lawsuits brought by plan participants and the DOL.

This office of Menke & Associates, Inc. administers ESOPs in the Midwest area. Nationwide, our firm administers nearly 1,000 ESOPs which range in size from 20 participants to 15,000 participants.

Millennium Trust Company is an industry leader in administrative and IRA custodial services specializing in rollover programs for individual retirement accounts. To help reduce expenses associated with employer-sponsored retirement plans, the Economic Growth and Tax Relief Reconciliation Act of 2001 allows plans to establish IRAs for former employees who are missing or non-responsive. Implementing an automatic rollover solution allows plan sponsors to outsource former employee balances to a qualified IRA provider, thereby, saving money, time, and personnel resources while preserving tax deferred retirement savings for former employees.

Morgan Lewis has one of the largest interdisciplinary teams of lawyers in the United States dedicated to advising public and private companies, family businesses, private equity groups, lenders, and fiduciaries involved with ESOP transactions. We advise clients on M&As of ESOP companies and companies using ESOPs for shareholder liquidity, and counsel boards of directors of ESOP companies on their fiduciary duties. Regarding ERISA, we advise companies and fiduciaries on regulatory matters affecting an ESOP and counsel boards of directors of ESOP companies and fiduciaries involved in DOL investigations or litigations.

PCE, a leading investment bank for middle-market companies, offers clients a full range of investment banking services including M&A, business valuations, ESOP, growth capital, fairness opinions, advisory planning, and litigation support. PCE has a dedicated ESOP group that is focused on financial advisory services for shareholders evaluating ESOP opportunities as well as ESOP-owned companies. PCE advises on feasibility studies, structuring and financing ESOPs, sales to ESOPs, sales of companies owned by ESOPs, and buy-side opportunities for ESOP owned companies. PCE Investment Bankers is a member of FINRA & SIPC. Area offices in Orlando, Chicago, New York, and Atlanta.

Peak Wealth Planning specializes in helping employee owners plan your retirement. We listen to your unique vision for retirement. Do you want to spend time with grandchildren? Volunteer? Work part time? Travel? Start a business? Once we understand your vision, we estimate your retirement spending budget and take into account tax considerations. Next, we catalogue your current investments (employee stock, 401k, IRA, and real estate). We consider what age you can retire. The goal is to comfortably live off your social security, ESOP, and other investments. We have the expertise to diversify your company stock into an investment portfolio to meet your lifestyle needs. We manage that portfolio during your transition to retirement and distribute your retirement income each month or quarter.

Prairie provides investment banking, ESOP advisory, valuation advisory and financial reporting valuations to support the growth and ownership transition strategies of middle-market companies. Since 1996, we have helped hundreds of companies structure, value, and sustain their ESOP. We take pride in our well-earned reputation of providing independent guidance, industry expertise, and outstanding results to our clients nationwide.

Prairie provides investment banking, ESOP advisory, valuation advisory and financial reporting valuations to support the growth and ownership transition strategies of middle-market companies. Since 1996, we have helped hundreds of companies structure, value, and sustain their ESOP. We take pride in our well-earned reputation of providing independent guidance, industry expertise, and outstanding results to our clients nationwide.

Prairie provides investment banking, ESOP advisory, valuation advisory and financial reporting valuations to support the growth and ownership transition strategies of middle-market companies. Since 1996, we have helped hundreds of companies structure, value, and sustain their ESOP. We take pride in our well-earned reputation of providing independent guidance, industry expertise, and outstanding results to our clients nationwide.

The Principal Financial Group(R) is a leader in offering businesses, individuals, and institutional clients a wide range of financial products and services to help them achieve their financial goals. The Principal(R) provides ESOP clients with full-service consulting, actuarial, administration, and recordkeeping services through our consultative approach, commitment to the industry, and proactive, personalized service model.

Independent fiduciary and trustee services for middle market ESOP companies including transaction fiduciary, corporate board governance and ESOP trustee services
 

SC Stone Consulting offers full service ESOP administration and consulting services to small privately-held ESOP companies. Mr. Stone has over 30 years of experience helping ESOP owned companies design, manage and administer employee stock ownership plans. 

Steve Lifson is a partner in the national law firm of Seyfarth Shaw LLP, where he practices in the areas of employee benefits law, ESOPs, estate planning, and related taxation. Mr. Lifson has considerable experience in the design, implementation, and administration of employee benefit plans of all kinds, including ESOPs, non-qualified deferred compensation arrangements, stock option plans, phantom stock plans, and other equity-based incentive arrangements. Mr. Lifson teaches various courses as part of the graduate program at The John Marshall Law School, in Chicago, Illinois.

Stout is a nationally recognized, independent valuation and financial advisory firm with professionals specializing in ESOP and ERISA advisory services. Stout completes more than 300 engagements annually for ESOP companies nationwide. Stout's ESOP professionals have extensive experience in some of the largest and most complex leveraged and non-leveraged ESOP transactions. Having collectively completed more than 1,200 ESOP and ERISA-related engagements, Stout's ESOP professionals offer unrivaled execution capabilities.

TI-TRUST, Inc., providing trust services since 1956, offers a comprehensive range of trustee services including ESOP, 401(k), custodial, and estate planning services. As a well recognized, institutional provider of specialized fiduciary and trustee services for ERISA retirement plans and their sponsors, we have a specialized, nationally recognized expertise in employee stock ownership plans. Our highly skilled, dedicated team of industry professionals allows TI-TRUST to provide the highest quality fiduciary services designed to meet the complex and rigorous requirements of both the Department of Labor and the Internal Revenue Service.

TI-TRUST, Inc., providing trust services since 1956, offers a comprehensive range of trustee services including ESOP, 401(k), custodial, and estate planning services. As a well recognized, institutional provider of specialized fiduciary and trustee services for ERISA retirement plans and their sponsors, we have a specialized, nationally recognized expertise in employee stock ownership plans. Our highly skilled, dedicated team of industry professionals allows TI-TRUST to provide the highest quality fiduciary services designed to meet the complex and rigorous requirements of both the Department of Labor and the Internal Revenue Service.

TI-TRUST, Inc., providing trust services since 1956, offers a comprehensive range of trustee services including ESOP, 401(k), custodial, and estate planning services. As a well recognized, institutional provider of specialized fiduciary and trustee services for ERISA retirement plans and their sponsors, we have a specialized, nationally recognized expertise in employee stock ownership plans. Our highly skilled, dedicated team of industry professionals allows TI-TRUST to provide the highest quality fiduciary services designed to meet the complex and rigorous requirements of both the Department of Labor and the Internal Revenue Service.

TI-TRUST, Inc., providing trust services since 1956, offers a comprehensive range of trustee services including ESOP, 401(k), custodial, and estate planning services. As a well recognized, institutional provider of specialized fiduciary and trustee services for ERISA retirement plans and their sponsors, we have a specialized, nationally recognized expertise in employee stock ownership plans. Our highly skilled, dedicated team of industry professionals allows TI-TRUST to provide the highest quality fiduciary services designed to meet the complex and rigorous requirements of both the Department of Labor and the Internal Revenue Service.

TI-TRUST, Inc., providing trust services since 1956, offers a comprehensive range of trustee services including ESOP, 401(k), custodial, and estate planning services. As a well recognized, institutional provider of specialized fiduciary and trustee services for ERISA retirement plans and their sponsors, we have a specialized, nationally recognized expertise in employee stock ownership plans. Our highly skilled, dedicated team of industry professionals allows TI-TRUST to provide the highest quality fiduciary services designed to meet the complex and rigorous requirements of both the Department of Labor and the Internal Revenue Service.

TI-TRUST, Inc., providing trust services since 1956, offers a comprehensive range of trustee services including ESOP, 401(k), custodial, and estate planning services. As a well recognized, institutional provider of specialized fiduciary and trustee services for ERISA retirement plans and their sponsors, we have a specialized, nationally recognized expertise in employee stock ownership plans. Our highly skilled, dedicated team of industry professionals allows TI-TRUST to provide the highest quality fiduciary services designed to meet the complex and rigorous requirements of both the Department of Labor and the Internal Revenue Service.

Vedder Price is a full-service law firm with offices in Chicago and New York. The firm has a very sophisticated ESOP, Employee Benefits and executive compensation practice. Accordingly, the firm has the experience and insight to assist clients with their ESOPs and stock option plans. The firm also has up- to-date plan and administration documents that can easily be customized to fit clients' needs.

Verit Advisors unites sophisticated investment banking capabilities with a client-centric boutique, fluent in ESOPs, debt and equity capital markets, fairness opinions, board advisory work, and mergers and acquisitions. Verit's unbiased advice and custom solutions drive successful outcomes while alleviating transaction obstacles. Verit's team has successfully completed hundreds of transactions on a national basis across a multitude of industries. Our team has the breadth, ability, expertise, and independence to design a unique transaction for each situation. Whether new or existing ESOP companies, our clients utilize our portfolio of debt, equity, ESOP, M&A, and finance solutions to best understand strategies to optimize shareholder value over time.

Wells Fargo seeks to satisfy all of our customers' financial needs and help them succeed financially. With over 400 existing ESOP customers, Wells Fargo is one of the leaders in lending to ESOP companies nationally. Through our regional commercial banking offices we serve customers in all parts of the country. Our ESOP expertise includes financing initial ESOP purchases, refinancing seller debt, second stage ESOP transactions, acquisitions by ESOP companies, and repurchase obligation funding. We also offer a complete platform of traditional banking and brokerage products, including investment banking services, asset based lending, wealth management, and equipment finance.

Meredith is an educational resource for leveraged ESOP transactions, helping clients and prospects to understand the ESOP opportunity. She remains supportive throughout the transaction and helps to structure 1042 QRP portfolios, works with clients post transaction to manage their liquidity needs, and works with trustees on ESOP cash management and investment services. Meredith also educates employee owners regarding the transaction and their own wealth profile as a result of being an employee owner.

Wells Fargo & Company is a diversified, community-based financial services company with $1.9 trillion in assets, and provides banking, investments, mortgage, and consumer and commercial finance. With 2,300+ existing ESOP customers, Wells Fargo is a leading ESOP lender with expertise in initial purchase financing, second stage transactions, acquisitions, ESOP terminations, repurchase obligation funding, and refinancing seller debt and warrants.
 

Wintrust is a leading financial services company with sophisticated tools to assist clients with long-term business needs, day-to-day operations as well as personal financial goals. Our solutions include traditional banking services for commercial lending, asset based lending, treasury management, international services, wealth management, capital markets, and equipment finance. Our experienced and relationship oriented ESOP professionals provide financing for ESOP-owned companies in a variety of industries throughout the United States. We remain involved throughout the lifecycle of the company, from the initial transaction and second stage transactions, to the refinancing of seller debt and repurchase obligations.

Barnes & Thornburg has extensive experience advising public and private companies and plan fiduciaries on employee ownership and equity participation issues. We understand ESOPs and bring a talented team with a multidisciplinary approach to plan design, transaction structuring, implementation, and administration. With over 450 legal professionals in seven offices, we have the experience and capacity to handle ESOP compliance, compensation, finance, fiduciary, governance, and tax issues seamlessly, efficiently, and creatively.

Business valuations and feasibility studies for ESOP purposes for:
Construction/Contractors
Small and Medium Manufacturing
Distribution and Wholesale
Retail
Convenience Stores
Professional Services
Agribusiness
Healthcare
 

I am a CPA and co-owner of the firm. Our firm specializes in business services including controllership/CFO services, tax planning, and preparation, ESOP consulting and fiduciary services, and merger & acquisition services. My partner, Mark Hannah, and I have a combined 45- plus years' of experience in business consulting. I have personally been involved in many ESOP deals, representing both the business owner and the ESOP plan & trust. I am qualified to consult on many different aspects of the ESOP- owned company, including ownership culture, financial responsibilities, trustee services, etc.

Dave Van Ness is an ESOP Trust Officer for Horizon Trust & Investment Management in Carmel, IN. Horizon serves as an Independent Trustee for a wide variety of ESOP companies across the United States. Along with belonging to NCEO, Dave is a member of the Horizon ESOP Committee, Indiana Chapter of The ESOP Association, The ESOP Association's Administrative Committee and the Ohio Employee Ownership Center. Dave has over 25 years of experience in the Employee Benefit field including compliance, auditing, administration and trust work. He graduated from Indiana State University with a B.S. in Accounting and passed the CPA exam in 1989.