Note: The descriptions here are provided by the firms themselves. A listing here does not constitute an NCEO endorsement. Check references and read our article on choosing consultants before hiring someone.

Displaying 333 Service Providers

Arizona

Brueggeman and Johnson Yeanoplos, P.C.

Kevin R. Yeanoplos, CPA/ABV, ASA
Brueggeman and Johnson Yeanoplos, P.C.
Tucson, AZ
United States

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.

Listed under:
ESOP valuation
Equity compensation valuation

Henry & Horne, LLP

Stephen Koons
Henry & Horne, LLP
Scottsdale, AZ
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Mack Business Appraisals, LLC

John Mack, ASA, MCBA, ABAR
Mack Business Appraisals, LLC
Peoria, AZ
United States

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.

Listed under:
ESOP valuation
Equity compensation valuation

Mack Business Appraisals, LLC

John Mack
Mack Business Appraisals, LLC
Peoria, AZ
United States

Phone:

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.

Listed under:
ESOP valuation

Solium Capital

Toby Warner
Solium Capital
Tempe, AZ
United States

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.

Listed under:
Equity compensation accounting
Equity compensation administration
Equity compensation brokerage services
Equity compensation plan design
Equity compensation valuation
Employee communications
Software
Equity plans in a non-U.S. country
Equity plans for multinationals

California

Acuity Advisors

Chris Kramer
Acuity Advisors
Santa Ana, CA
United States

Acuity Advisors is an investment banking and valuation advisory firm dedicated to helping middle-market businesses through ownership transition. Serving business owners, fiduciaries, leadership teams, and their advisors since 1989, the firm's professionals have extensive expertise in ESOP company valuation, transaction advisory and fairness opinions, new ESOP formation, and seller representation in the sale of existing ESOP-owned companies. The firm is based in California, and serves a nationwide footprint of ESOP clients, with well over 100 engagements across more than a dozen states on an annual basis.

Listed under:
Employee education and financial advice
Equity compensation valuation
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

Acuity Advisors

Chase Hoover
Acuity Advisors
Santa Ana, CA
United States

Phone:

Acuity Advisors is an investment banking and valuation advisory firm dedicated to helping middle-market businesses through ownership transition. Serving business owners, fiduciaries, leadership teams, and their advisors since 1989, the firm's professionals have extensive expertise in ESOP company valuation, transaction advisory and fairness opinions, new ESOP formation, and seller representation in the sale of existing ESOP-owned companies. The firm is based in California, and serves a nationwide footprint of ESOP clients, with well over 100 engagements across more than a dozen states on an annual basis.

Listed under:
Employee education and financial advice
Equity compensation valuation
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

Acuity Advisors

Michael Lovett
Acuity Advisors
Santa Ana, CA
United States

Phone:

Acuity Advisors is an investment banking and valuation advisory firm dedicated to helping middle-market businesses through ownership transition. Serving business owners, fiduciaries, leadership teams, and their advisors since 1989, the firm's professionals have extensive expertise in ESOP company valuation, transaction advisory and fairness opinions, new ESOP formation, and seller representation in the sale of existing ESOP-owned companies. The firm is based in California, and serves a nationwide footprint of ESOP clients, with well over 100 engagements across more than a dozen states on an annual basis.

Listed under:
Employee education and financial advice
Equity compensation valuation
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

AmbroseAdvisors

Marcus Piquet
AmbroseAdvisors
Riverside, CA
United States

Phone:

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.

Listed under:
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
ESOP administration
ESOP repurchase obligation consulting

AmbroseAdvisors

Marcus Piquet
AmbroseAdvisors
Riverside, CA
United States

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

Listed under:
ESOP accounting and liquidity studies
ESOP administration
ESOP financing and investment banking
ESOP general consulting
ESOP repurchase obligation consulting

Avenue M Advisors, Inc.

Melisa Silverman
Avenue M Advisors, Inc.
Tarzana, CA
United States

Phone:

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).

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Bank of America

Kevin Trieber
Bank of America
Los Angeles, CA
United States

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.

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice

Beyster Institute, Rady School of Management, UCSD

Martin Staubus
Beyster Institute, Rady School of Management, UCSD
La Jolla, CA
United States

Phone:

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.

Listed under:
ESOP general consulting
Equity compensation plan design
Employee communications
Employee participation
Independent board member

Butterfield Schechter LLP

Marc S. Schechter, Esq.
Butterfield Schechter LLP
San Diego, CA
United States

Phone:

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.

Listed under:
ESOP law firm
Equity compensation law firm
Equity compensation plan design

Campbell Taylor Washburn

Lia Bekalu
Campbell Taylor Washburn
Roseville, CA
United States

Phone:

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.

Listed under:
Equity compensation accounting
ESOP accounting and liquidity studies
ESOP general consulting

CapitalSmith Financial & Insurance Services, Inc.

Kelly Smith
CapitalSmith Financial & Insurance Services, Inc.
Irvine, CA
United States

CapitalSmith is a boutique, Advanced Planning Business Consulting Group within Pacific Advisors, a California-based, financial planning firm. CapitalSmith specializes in bespoke, proprietary strategies for business transitions, "Offset Strategies™" providing a "Fully Insured Financial Infrastructure™" creating "Tax-Exempt-Retained-Capital™ (TERC™)," that allows for the business owner to keep all of their profits, for accelerated growth, full risk mitigation, including funding for the ESOP Repurchase Obligation and "Pre-Leveraged™ and/or Capitalized™" plans that enable smooth, funded, ownership transition and repurposed, Estate liquidity funding.

Listed under:
Employee education and financial advice
Equity compensation plan design
ESOP administration
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting

Chartwell

Richard Joseph
Chartwell
Costa Mesa, CA
United States

Phone:

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.

Listed under:
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation plan design
Equity compensation valuation
ESOP administration
ESOP repurchase obligation consulting

ClearPath Business Advisors

Patrick Bormann
ClearPath Business Advisors
Pleasanton, CA
United States

ClearPath helps business owners and executives build a healthy sellable business whether you plan to sell or not. Healthy sellable businesses bring the most value to a company. Over the years, we have helped ESOPs along with other privately-held businesses with Exit Strategies, Valuations, Salability Assessments, Business Strategy, Planning and Execution, Budgeting and Forecasting, Part-Time CFO and COO services, Banking and CPA relationships tailored to your business, Talent Optimization, Recruiting and Predictive Index.

Listed under:
Employee communications
ESOP financing and investment banking
ESOP general consulting
ESOP valuation
Independent board member

CSG Partners

Eitan Milstein
Kentfield, CA
United States

Phone:

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

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting

Employee Benefits Law Group

Kevin Long
Employee Benefits Law Group
San Jose, CA
United States

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.

Listed under:
ESOP law firm
Equity compensation law firm

Equity Business Valuations, Inc.

Sharyl David
Equity Business Valuations, Inc.
El Dorado Hills, CA
United States

Phone:

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.

Listed under:
Equity compensation valuation
ESOP general consulting
ESOP valuation

Equity Business Valuations, Inc.

Sharyl David
Equity Business Valuations, Inc.
El Dorado Hills, CA
United States

Phone:

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.

Listed under:
Equity compensation valuation
ESOP general consulting
ESOP valuation

ESOP Law Group LLP

Laurence Goldberg
ESOP Law Group LLP
San Francisco, CA
United States

Phone:

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.

Listed under:
ESOP law firm

ESOP Services, Inc

Paige Ryan
ESOP Services, Inc
San Diego, CA
United States

Phone:

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.

Listed under:
ESOP accounting and liquidity studies
ESOP investment and 1042 rollover advice
ESOP general consulting
Equity compensation plan design
Employee communications
Equity plans in a non-U.S. country
Equity plans for multinationals
Independent board member
ESOP administration
ESOP repurchase obligation consulting

Fiduciary Services, Inc.

Daniel Reser
Fiduciary Services, Inc.
San Rafael, CA
United States

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.

Listed under:
ESOP trustee and fiduciary services
Independent board member

Gelman LLP

Lisa Green
Gelman LLP
Santa Ana, CA
United States

Phone:

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.

Listed under:
ESOP accounting and liquidity studies
ESOP general consulting
Equity compensation accounting

Gelman LLP

Lisa Green
Gelman LLP
Irvine, CA
United States

Phone:

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.

Listed under:
Equity compensation accounting
ESOP accounting and liquidity studies
ESOP general consulting

GreatBanc Trust Company

Fred Kaseff
GreatBanc Trust Company
Westlake Village, CA
United States

Phone:

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

National Center for Employee Ownership

Corey Rosen
National Center for Employee Ownership
Oakland, CA
United States

Phone:

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.

Listed under:
Independent board member

National Center for Employee Ownership

Loren Rodgers
National Center for Employee Ownership
Oakland, CA
United States

Phone:

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.

Listed under:
ESOP general consulting
Employee communications
Employee education and financial advice
Employee participation
Independent board member

Options4Growth

Jill Pappenheimer
Options4Growth
Walnut Creek, CA, CA
United States

Phone:

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.

Listed under:
ESOP general consulting
Employee communications
Employee participation
Software

PENSCO Trust Company

Bill Papp
PENSCO Trust Company
San Francisco, CA
United States

Phone:

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.

Listed under:
ESOP general consulting
ESOP administration
ESOP repurchase obligation consulting

Performensation

Dan Walter, CEP
Performensation
San Francisco, CA
United States

Phone:

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.

Listed under:
Equity compensation administration
Equity compensation plan design
Employee communications
Employee education and financial advice
Employee participation
Software
Equity plans in a non-U.S. country
Equity plans for multinationals

Principal Financial Group

Damien Vira
San Diego, CA
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com.

Listed under:
Employee communications
Equity compensation administration
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Private Capital Corporation

Bryan Golden
Private Capital Corporation
Carmel Valley, CA
United States

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.

Listed under:
Equity compensation plan design
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP general consulting
Independent board member

Prudent Fiduciary Services

Miguel Paredes
Prudent Fiduciary Services
WEST COVINA, CA
United States

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.

Listed under:
ESOP trustee and fiduciary services

Rubicon Valuation

William Dietrich
Rubicon Valuation
Sacramento, CA
United States

Phone:

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.

Listed under:
ESOP valuation
ESOP general consulting

Scale LLP

Natasha Fedder
Scale LLP
Los Angeles, CA
United States

Phone:

Natasha Fedder is a dedicated advocate with over a decade of civil litigation experience. She focuses her practice on ESOP litigation and DOL investigations. She has defended selling shareholders and trustees in litigation challenging ESOP stock purchase transactions. She has also represented ESOP service providers responding to third-party document and deposition subpoenas. At the administrative level, Natasha has guided clients through DOL investigations. She has narrowed DOL subpoenas and document requests, responded to voluntary compliance letters, negotiated voluntary resolutions, and obtained closing letters. Natasha graduated from The University of Pennsylvania Carey Law School, and previously practiced law at O'Melveny & Myers, Groom Law Group, and Akin Gump Strauss Hauer & Feld.

Listed under:
ESOP law firm

Securieon Inc.

Tony Quintong
Securieon Inc.
Gilroy, CA
United States

Phone:

The Securieon Group is a business optimization and M&A advisory firm that guides privately held companies in a quandary, to achieve better performance and higher valuations. Our team has extensive experience in ESOP, complex financial, and traditional M&A transactions.

We provide operational and financial performance expertise while focusing on supporting shareholders and management teams in analyzing the ESOP's impact on their company, employees, cash flow, tax savings, shareholder liquidity, and employee benefits.
 

Listed under:
Employee education and financial advice
Equity compensation employee financial advice
Equity compensation valuation
ESOP general consulting
Independent board member

Sensiba San Filippo LLP

Bill Norwalk
Sensiba San Filippo LLP
Pleasanton, CA
United States

Phone:

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.

Listed under:
ESOP investment and 1042 rollover advice
ESOP general consulting
Equity compensation accounting
Employee education and financial advice

Stock & Option Solutions

Henley Hom
Stock & Option Solutions
Campbell, CA
United States

Phone:

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.

Listed under:
Equity compensation accounting
Equity compensation administration
Equity compensation plan design
Employee communications
Employee education and financial advice
Software
Equity plans in a non-U.S. country
Equity plans for multinationals

The Beyster Institute, UCSD Rady School of Management

Kim Blaugher
The Beyster Institute, UCSD Rady School of Management
La Jolla, CA
United States

Phone:
Listed under:
ESOP accounting and liquidity studies
ESOP general consulting
Equity compensation accounting
Equity compensation plan design

The Price Company

Philip D. Price
The Price Company
Fresno, CA
United States

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.

Listed under:
ESOP administration
ESOP repurchase obligation consulting

Trucker Huss, APC

Joseph Faucher
Trucker Huss, APC
Los Angeles, CA
United States

Phone:

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.

Listed under:
ESOP law firm
Equity compensation law firm

Vantage Point Advisors

Rich Barth
Vantage Point Advisors
San Diego, CA 92130
United States

Phone:

Vantage Point Advisors is an independent business valuation firm with offices in San Diego, Dallas, New York, Portland and Seattle. We offer a full complement of business valuation and financial advisory services. Collectively our team has completed thousands of engagements across many industries.

Listed under:
ESOP valuation

Colorado

ATI Capital Group of Colorado, LLC

Ron Lint, ASA
ATI Capital Group of Colorado, LLC
Monument, CO
United States

Phone:

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.

Listed under:
ESOP valuation
ESOP trustee and fiduciary services
ESOP general consulting
Equity compensation administration
Equity compensation plan design
Equity compensation valuation
Independent board member
ESOP administration
ESOP repurchase obligation consulting

Berenbaum Weinshienk PC

Stephen Rickles
Berenbaum Weinshienk PC
Denver, CO
United States

Phone:

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.

Listed under:
ESOP law firm
Equity compensation law firm

Brownstein Hyatt Farber Schreck, LLP

Nancy Strelau
Brownstein Hyatt Farber Schreck, LLP
Denver, CO
United States

Phone:

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.

Listed under:
ESOP law firm
Equity compensation law firm
Employee communications
Independent board member

Harper Hofer & Associates, LLC

Greg Weiss
Harper Hofer & Associates, LLC
Denver, CO
United States

Phone:

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.

Listed under:
ESOP accounting and liquidity studies
ESOP valuation
ESOP general consulting
Equity compensation valuation

Intrinsic, LLC

Josh Cashman
Intrinsic, LLC
Denver, CO
United States

Phone:

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.

Listed under:
ESOP valuation
Equity compensation valuation

Jason Wiener|p.c., a public benefit corporation

Jason Wiener
Jason Wiener|p.c., a public benefit corporation
Boulder, CO
United States

Phone:

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.

Listed under:
Equity compensation law firm

KeyBank

Doug Dell
KeyBank
Denver, CO
United States

Phone:

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.

Listed under:
ESOP financing and investment banking
ESOP general consulting

KeyBank

Doug Dell
KeyBank
Denver, CO
United States

Phone:
Website:

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.

Listed under:
ESOP financing and investment banking

Lewis Roca Rothgerber Christie LLP

Jan A. Steinhour
Lewis Roca Rothgerber Christie LLP
90 S Cascade Ave
Ste 1100
Colorado Springs, CO 80903-1677
United States

Phone:

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.

Listed under:
Equity compensation law firm
Equity compensation plan design
ESOP accounting and liquidity studies
ESOP general consulting
ESOP law firm
ESOP trustee and fiduciary services

Mosaic Creation

Jennifer Briggs
Mosaic Creation
Windsor, CO
United States

Phone:

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

Listed under:
Employee participation
ESOP general consulting
Independent board member

Principal Financial Group

Amy Hartnett
Principal Financial Group
Telluride, CO
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com.

Listed under:
Equity compensation administration
ESOP accounting and liquidity studies
ESOP administration
ESOP financing and investment banking
ESOP general consulting
ESOP repurchase obligation consulting

Shoemaker Consulting

Sandy Shoemaker
Larkspur, CO
United States

Phone:

Shoemaker Consulting is focused on the expansion on the use of ESOPs. We are available to discuss the ESOP alternative with you as a consideration, and work with you through feasibility and through the transaction. In addition, Sandy is seeking companies that would like to add an advisor to their board that has a depth of ESOP knowledge to assist the Board in its decision making and analysis. Sandy also has a depth a experience in ESOP accounting for the company and the ESOP plan.

Listed under:
Equity compensation accounting
ESOP general consulting
Independent board member

Trebuchet Group

Diana Hutchinson
Trebuchet Group
Fort Collins, CO
United States

Phone:

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.
 

Listed under:
Employee communications
Employee participation
ESOP general consulting

Zick Business Advisors, Inc., CPAs and Certified Valuation Analysts

Matt Ransick, CPA/CVA
Zick Business Advisors, Inc., CPAs and Certified Valuation Analysts
Englewood, CO
United States

Phone:

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.

Listed under:
Equity compensation valuation
ESOP general consulting
ESOP valuation

Zick Business Advisors, Inc., CPAs and Certified Valuation Analysts

Eric Ransick, CPA/CFF, CVA
Zick Business Advisors, Inc., CPAs and Certified Valuation Analysts
Englewood, CO
United States

Phone:

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.

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Connecticut

CSG Partners

Patrick Trask
CSG Partners
Greenwich, CT
United States

With over 25 years of banking, consulting, and public accounting experience, Patrick offers ESOP investment banking clients a diverse financial services toolkit.

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting

Empire Valuation Consultants

Chuck Coyne, ASA
Empire Valuation Consultants
West Hartford, CT
United States

Phone:

Chuck is a Sr. Managing Director of Empire Valuation Consultants, a 100% employee-owned company. He leads the Firm's ESOP Advisory and Transactional Consulting services, including; assistance with ESOP Valuations, Fairness Opinions, ESOP feasibility studies, transaction design, and sourcing transaction financing. Over the past 30+ years, He has provided hundreds of ESOP feasibility and design studies to companies throughout the country. He has worked with dozens of ESOP Trustees on hundreds of ESOP transactions and annual update valuations. Chuck received his MBA from the University of Hartford and has an ASA designation in Business Valuation from the American Society of Appraisers. He is the Past Chair of the National ESOP Valuation Advisory Committee.

Listed under:
Equity compensation valuation
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

Marcum LLP

Kenneth Pia, Jr., CPA, ABV, ASA, MCBA
Marcum LLP
New Haven, CT
United States

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.

Listed under:
ESOP accounting and liquidity studies
ESOP valuation
ESOP general consulting

Principal Financial Group

Scott Shuryn
Principal Financial Group
Fairfield, CT
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com.

Listed under:
Employee communications
Equity compensation administration
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

PTCFO, Inc.

Jack Veale
PTCFO, Inc.
West Hartford, CT
United States

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.

Listed under:
ESOP general consulting
Employee communications
Employee education and financial advice

Schatz Brown Glassman LLP

Robert Schatz
Schatz Brown Glassman LLP
West Hartford, CT
United States

Phone:

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.

Listed under:
ESOP law firm
ESOP trustee and fiduciary services
ESOP general consulting
Equity compensation law firm
Equity compensation plan design
Independent board member

USI Consulting Group

Christopher J. Martin
USI Consulting Group
Glastonbury, CT
United States

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".

Listed under:
ESOP law firm
ESOP general consulting
Employee communications
Employee education and financial advice
Employee participation
ESOP administration
ESOP repurchase obligation consulting

District of Columbia

Advanced Valuation Analytics, Ltd.

Barry Goodman
Advanced Valuation Analytics, Ltd.
Washington, DC
United States

Phone:

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.

Listed under:
ESOP valuation
Equity compensation valuation

Dinsmore & Shohl, LLP

Ben Wells
Dinsmore & Shohl, LLP
Washington, DC
United States

Phone:

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.

Listed under:
ESOP law firm
Equity compensation law firm
Equity plans for multinationals

JMK-WAY,LLC

J. Michael Keeling
JMK-WAY,LLC
Washington, DC
United States

Phone:

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services
Independent board member

RSM US LLP

Anne Bushman
RSM US LLP
Washington, DC
United States

Phone:
Website:

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.

Listed under:
ESOP accounting and liquidity studies
ESOP general consulting
Equity compensation accounting
Equity compensation plan design
ESOP administration
ESOP repurchase obligation consulting

Florida

Crowe Horwath LLP

Hugh E. Reynolds, III
Crowe Horwath LLP
Fort Lauderdale, FL
United States

Phone:

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.

Listed under:
ESOP general consulting
Independent board member
ESOP administration
ESOP repurchase obligation consulting

Fiduciary Trustee Services, LLC

Thomas Potts
Fiduciary Trustee Services, LLC
Ft Myers, FL
United States

Phone:

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.
 

Listed under:
Employee communications
ESOP general consulting
ESOP trustee and fiduciary services
ESOP valuation
Independent board member

Greenberg Traurig

Brandon Feingold
Greenberg Traurig
Fort Lauderdale, FL
United States

Phone:

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

Listed under:
ESOP law firm

PCE Investment Banking | ESOP | Valuation | Advisory

Will Stewart
PCE Investment Banking | ESOP | Valuation | Advisory
Winter Park, FL
United States

Phone:

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.

Listed under:
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation valuation

Principal Financial Group

Cindy Prodoehl
Principal Financial Group
Ft. Myers, FL
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com.

Listed under:
Employee communications
Equity compensation administration
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Principal Financial Group

Peter Prodoehl
Principal Financial Group
Ft. Myers, FL
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com.

Listed under:
Employee communications
Equity compensation administration
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

SES ESOP Strategies

Steven B. Greenapple
SES ESOP Strategies
Fort Lauderdale, FL
United States

Phone:

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).

Listed under:
ESOP accounting and liquidity studies
ESOP law firm
ESOP investment and 1042 rollover advice
ESOP general consulting
Equity compensation law firm
Equity compensation plan design

Sheldrick McGehee & Kohler, Inc.

Steve Rosenbloom
Sheldrick McGehee & Kohler, Inc.
Jacksonville, FL
United States

Phone:

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.

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Vision Point Capital, Inc.

Will Rodriguez
Vision Point Capital, Inc.
Tampa, FL
United States

Phone:

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.
 

Listed under:
Equity compensation valuation
ESOP financing and investment banking
ESOP valuation

Georgia

Applied Economics, LLC

Eric Kreimer
Applied Economics, LLC
Atlanta, GA
United States

Phone:

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

Listed under:
ESOP financing and investment banking
ESOP valuation

Censeo Advisors, LLC

Adrian Loud
Censeo Advisors, LLC
Marietta, GA
United States

Phone:

Censeo Advisors, LLC is a professional services firm dedicated to providing economic peace of mind to clients nationwide by delivering proven business valuation, financial advisory, tangible asset appraisal, and forensic analysis services, including work performed in conjunction with employee stock ownership plan ("ESOP") needs and requirements. Our team of highly experienced and accredited practitioners assists ESOP clients and other professional service providers with feasibility, implementation, transaction due diligence, annual valuation updates, and litigation support. Please please visit our website or call us to see if we may assist you.

Listed under:
Equity compensation valuation
ESOP general consulting
ESOP valuation

GreatBanc Trust Company

Bucky Wright
GreatBanc Trust Company
Marietta, GA
United States

Phone:

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

Greenberg Traurig

Todd Wozniak
Greenberg Traurig
Atlanta, GA
United States

Phone:

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.

Listed under:
ESOP law firm
ESOP general consulting
Equity compensation law firm
Employee communications

Krieg DeVault LLP

Stephen Smith
Krieg DeVault LLP
Atlanta, GA
United States

Phone:

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.

Listed under:
ESOP law firm
ESOP general consulting
Equity compensation law firm
Equity compensation plan design

PCE Investment Banking | ESOP | Valuation | Advisory

Paul Vogt
PCE Investment Banking | ESOP | Valuation | Advisory
Atlanta, GA
United States

Phone:

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.

Listed under:
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation valuation

Prairie Capital Advisors

Michael McGinley
Prairie Capital Advisors
Atlanta, GA
United States

Phone:

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.

Listed under:
Equity compensation plan design
Equity compensation valuation
ESOP financing and investment banking
ESOP valuation

Swerdlin & Company

Joanne Swerdlin
Swerdlin & Company
Atlanta, GA
United States

Phone:

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.

Listed under:
ESOP administration
ESOP repurchase obligation consulting

Synovus Bank

Brad Beard
Synovus Bank
Atlanta, GA
United States

Phone:

Southeast Regional Bank with specialty offerings through the Wholesale Bank including ESOP financing, acquisition lending and general Commercial & Industrial Banking.

Listed under:
ESOP financing and investment banking

The ESOP Group | UBS Finanicial Services Inc.

Leslie Lauer
The ESOP Group | UBS Finanicial Services Inc.
Atlanta, GA
United States

Phone:

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.

Listed under:
ESOP financing and investment banking
ESOP investment and 1042 rollover advice

The ESOP Group | UBS Finanicial Services Inc.

Keith Mericka
The ESOP Group | UBS Finanicial Services Inc.
Atlanta, GA
United States

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.

Listed under:
ESOP financing and investment banking
ESOP investment and 1042 rollover advice

TI-TRUST, Inc.

Frank "Chip" Brown
TI-TRUST, Inc.
Atlanta, GA
United States

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

Willamette Management Associates

Kyle Wishing
Willamette Management Associates
Atlanta, GA
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Windham Brannon, LLC

Donna Caruso
Windham Brannon, LLC.
Atlanta, GA
United States

Phone:

Exit strategy consulting and coordination with other ESOP providers, company financial statement presentation and accounting consulting, ESOP and KSOP plan audits and compliance consulting, tax preparation.

Listed under:
Equity compensation accounting
ESOP accounting and liquidity studies
ESOP general consulting
ESOP investment and 1042 rollover advice

Iowa

Bankers Trust Company ESOP Finance Group

Joe DeJong
Bankers Trust Company ESOP Finance Group
Des Moines, IA
United States

Phone:

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.

Listed under:
ESOP trustee and fiduciary services

BCC Advisers

Lindy Ireland
BCC Advisers
Des Moines, IA
United States

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.

Listed under:
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation valuation

Folience, Inc.

Daniel Goldstein
Folience, Inc.
Cedar Rapids, IA
United States

Phone:

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.
 

Listed under:
Independent board member

GreatBanc Trust Company

Scot Storjohann
GreatBanc Trust Company
Elkhart, IA
United States

Phone:

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.
 

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

GreatBanc Trust Company

Debra Williams
GreatBanc Trust Company
Van Meter, IA
United States

Phone:

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

HDH Advisors LLC

Duane Tolander
HDH Advisors LLC
West Des Moines, IA
United States

Phone:

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.

Listed under:
ESOP financing and investment banking
ESOP valuation
ESOP trustee and fiduciary services
ESOP general consulting

Holmes Murphy & Associates

Miles Weis
Holmes Murphy & Associates
Waukee, IA
United States

Phone:

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.

Listed under:
ESOP general consulting
ESOP insurance and workers compensation

Holmes Murphy & Associates

Steve McManus
Holmes Murphy & Associates
Waukee, IA
United States

Phone:

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.

Listed under:
ESOP insurance and workers compensation
Employee communications
Employee education and financial advice
Employee participation

Prairie Capital Advisors

Hillary Hughes
Prairie Capital Advisors
Cedar Rapids, IA
United States

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.

Listed under:
Equity compensation plan design
Equity compensation valuation
ESOP financing and investment banking
ESOP valuation

Idaho

Alturas Fiduciary Services, LLC

Kayla Adams
Alturas Fiduciary Services, LLC
Boise, ID
United States

Phone:

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.

Listed under:
ESOP trustee and fiduciary services

Tenor Capital Partners

Anthony Levi
Tenor Capital Partners
Boise, ID
United States

Phone:

Tenor Capital Partners is a boutique financial advisory practice focused exclusively on advising companies and shareholders considering an Employee Stock Ownership Plan. For the past 10 years we’ve built an exclusive network representing Companies, Boards of Directors, Employees, Lenders and Institutional Investors in the creation of ESOPs for use in shareholder liquidity, and corporate finance transactions.

Listed under:
ESOP financing and investment banking
ESOP general consulting

Illinois

Chartwell

Will Bloom
Chartwell
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation plan design
Equity compensation valuation
ESOP administration
ESOP repurchase obligation consulting

CIBC Bank USA

Rosemarie Panico-Marino, AIF, ERPA, QPA, c(k)p
The Private Bank
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP financing and investment banking
ESOP investment and 1042 rollover advice
ESOP trustee and fiduciary services

Crowe Horwath LLP

Tim Daum
Crowe Horwath LLP
Oak Brook, IL
United States

Phone:

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.

Listed under:
Equity compensation accounting
Equity compensation plan design
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Crowe LLP

Monika Zimmer
Crowe LLP
Oak Brook Terrace, IL
United States

Phone:

Crowe is a national leader in ESOP administration. Along with full ESOP TPA services, we also prepare repurchase obligation studies and develop customized strategies based on results, feasibility studies to determine if the ESOP structure will meet the company's objective and complex compliance rules, and an array of employee communication services.

Listed under:
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Duff & Phelps, LLC (Chicago)

Elyse Bluth
Duff & Phelps, LLC (Chicago)
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP financing and investment banking
ESOP valuation
Equity compensation valuation

ESOP Structuring Specialists, Inc.

Peter Abrahamson
ESOP Structuring Specialists, Inc.
Lake Barrington, IL
United States

Phone:

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.

Listed under:
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

First American Bank

Jamie Walrack
First American Bank
Elk Grove Village, IL
United States

Phone:

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.

Listed under:
ESOP financing and investment banking

First Midwest Bank

Edward Weisto
First Midwest Bank
Chicago, IL
United States

Phone:

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!

Listed under:
ESOP financing and investment banking

First Midwest Bank

Ashley Kirchner
First Midwest Bank
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP financing and investment banking

GreatBanc Trust Company

Kjersti Cory
GreatBanc Trust Company
Quincy, IL
United States

Phone:

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

GreatBanc Trust Company

Kevin Kolb
GreatBanc Trust Company
Lisle, IL
United States

Phone:

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

GreatBanc Trust Company

Patrick DeCraene
GreatBanc Trust Company
801 Warrenville Road Suite 500, IL
United States

Phone:

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

Holland & Knight LLP

Gregory Brown
Holland & Knight LLP
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP law firm

Houlihan Lokey

Kreg J. Jackson
Houlihan Lokey
Chicago, IL
United States

Phone:

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

Listed under:
ESOP financing and investment banking
ESOP valuation

Ice Miller LLP

Kathleen Scheidt
Ice Miller LLP
Chicago, IL
United States

Phone:

Ice Miller LLP is a full service law firm dedicated to helping clients stay ahead of a changing world. Ice Miller professionals advise a broad range of clients on all aspects of complex legal issues across more than 20 practice areas. Kathleen Scheidt is a partner in Ice Miller’s Chicago office. She collaborates with clients throughout the country (and around the world for those with employees outside the country) on ESOP and other employee benefits and executive compensation matters.

Listed under:
Employee communications
Equity compensation law firm
Equity compensation plan design
Equity plans for multinationals
ESOP law firm

Katten Muchin Rosenman LLP

Gregory Brown
Katten Muchin Rosenman LLP
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP law firm
Equity compensation law firm
Equity plans in a non-U.S. country
Equity plans for multinationals

Katten Muchin Rosenman LLP

Ann Kim
Katten Muchin Rosenman LLP
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP law firm
Equity compensation law firm
Equity compensation plan design

Levenfeld Pearlstein, LLC

David Solomon
Levenfeld Pearlstein, LLC
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP law firm
Equity compensation law firm

McDermott Will & Emery LLP

Theodore Becker
McDermott Will & Emery LLP
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP law firm
Equity compensation law firm

Millennium Trust Company

Terry Dunne
Millennium Trust Company
Oak Brook, IL
United States

Phone:

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.

Listed under:
ESOP general consulting
ESOP administration
ESOP repurchase obligation consulting

Morgan, Lewis & Bockius LLP

Brian Hector
Morgan, Lewis & Bockius LLP
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP law firm
ESOP insurance and workers compensation
ESOP investment and 1042 rollover advice
ESOP general consulting
Equity compensation law firm
Equity compensation plan design
ESOP administration
ESOP repurchase obligation consulting

PCE Investment Banking | ESOP | Valuation | Advisory

Eric Zaleski
PCE Investment Banking | ESOP | Valuation | Advisory
Hoffman Estates, IL
United States

Phone:

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.

Listed under:
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation valuation

Peak Wealth Planning, LLC

Peter Newman
Peak Wealth Planning, LLC
Champaign, IL
United States

Phone:

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.

Listed under:
Equity compensation employee financial advice

Prairie Capital Advisors

Rocky Fiore
Prairie Capital Advisors
Oakbrook Terrace, IL
United States

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.

Listed under:
Equity compensation plan design
Equity compensation valuation
ESOP financing and investment banking
ESOP valuation

Prairie Capital Advisors, Inc.

Franco Silva
Prairie Capital Advisors, Inc.
Chicago, IL
United States

Phone:

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.

Listed under:
Equity compensation plan design
Equity compensation valuation
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

Prairie Capital Advisors, Inc.

Dave Diehl
Prairie Capital Advisors, Inc.
Oakbrook Terrace, IL
United States

Phone:

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.

Listed under:
Equity compensation plan design
Equity compensation valuation
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

SC Stone Consulting

Steve Stone
SC Stone Consulting
Breese, IL
United States

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. 

Listed under:
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Seyfarth Shaw LLP

Steven Lifson
Seyfarth Shaw LLP
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP law firm
Equity compensation law firm
Employee communications

TI-TRUST, Inc.

Kelly Poncé
TI-TRUST, Inc.
Hinsdale, IL
United States

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

TI-TRUST, Inc.

Dawn Goestenkors
TI-TRUST, Inc.
Quincy, IL
United States

Phone:

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.

Listed under:
ESOP trustee and fiduciary services
Independent board member

TI-TRUST, Inc.

Brian Ippensen
TI-TRUST, Inc.
Quincy, IL
United States

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

TI-TRUST, Inc.

Kimberly Serbin
TI-TRUST, Inc.
Quincy, IL
United States

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

TI-TRUST, Inc.

Teresa Daggett
TI-TRUST, Inc.
Quincy, IL
United States

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

TI-TRUST, Inc.

Craig Baker
TI-TRUST, Inc.
Quincy, IL
United States

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

Verit Advisors

Mary Sullivan Josephs
Verit Advisors
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP financing and investment banking
ESOP valuation
ESOP general consulting

Wells Fargo

Kim Abello
Wells Fargo
Chicago, IL
United States

Phone:

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.

Listed under:
ESOP financing and investment banking
ESOP investment and 1042 rollover advice
ESOP general consulting

Wells Fargo Bank NA

Kim Abello
Wells Fargo Bank NA
Chicago, IL
United States

Phone:

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.
 

Listed under:
ESOP financing and investment banking

Wintrust

Patrick Stoltz
Wintrust
Des Plaines, IL
United States

Phone:

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.

Listed under:
ESOP financing and investment banking

Indiana

Barnes & Thornburg LLP

Eric Moy
Barnes & Thornburg LLP
Indianapolis, IN
United States

Phone:

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.

Listed under:
ESOP law firm
Equity compensation law firm
Equity compensation plan design

Blue & Co., LLC

Brad Minor
Blue & Co., LLC
Carmel, IN
United States

Phone:

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
 

Listed under:
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP valuation

Fiduciary Trust Services, Inc.

Thomas Potts
Fiduciary Trust Services, Inc.
Indianapolis, IN
United States

Phone:

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.

Listed under:
ESOP accounting and liquidity studies
ESOP investment and 1042 rollover advice
ESOP valuation
ESOP trustee and fiduciary services
ESOP general consulting
Employee communications
Employee education and financial advice

Horizon Trust & Investment Management

Dave Van Ness
Horizon Trust & Investment Management
Carmel, IN
United States

Phone:

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.

Listed under:
ESOP trustee and fiduciary services
ESOP general consulting
Employee participation
ESOP administration
ESOP repurchase obligation consulting

Krieg DeVault LLP

Alexander Mounts
Krieg DeVault LLP
Indianapolis, IN
United States

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.

Listed under:
ESOP law firm

McCready and Keene, Inc. (a OneAmerica Company)

Jackie Salmon
McCready and Keene, Inc. (a OneAmerica Company)
Indianapolis, IN
United States

Phone:

McCready and Keene, Inc., a OneAmerica® company, is an actuarial and retirement benefits consulting firm that focuses on designing, installing, and administering customized retirement plans. Based in Indianapolis, McCready and Keene provides trust programs that can use an open architecture investment platform for defined benefit, 401(k), 403(b), 457, employee stock ownership, money purchase pension, and profit sharing retirement plans. McCready and Keene, Inc. has over 80 years of retirement administration experience. Please contact Jackie Salmon for proposals and consulting.

Listed under:
ESOP general consulting
Employee communications
ESOP administration
ESOP repurchase obligation consulting

SIGMA Appraisal

Randa Doleh
SIGMA Appraisal
Evansville, IN
United States

Description

SIGMA Appraisal is the solution when you need to make data-driven decisions about your assets. We use our proprietary systems that leverage metrics from thousands of actual, observed sales transactions, combined with our 20+ years of industry experience, to help you quantify the true market value of your assets.

Our USPAP certified reports are the industry standard for financial and equipment divestment decision making. Our appraisers are designated with the American Society of Appraisers and abide by the highest ethics and performance standards set forth by the Appraisal Foundation

 

Listed under:
ESOP administration
ESOP financing and investment banking
ESOP general consulting
ESOP repurchase obligation consulting
ESOP trustee and fiduciary services
ESOP valuation

Kansas

Prairie Capital Advisors, Inc.

Melissa Goetz
Prairie Capital Advisors, Inc.
Overland Park, KS
United States

Phone:

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.

Listed under:
Equity compensation plan design
Equity compensation valuation
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

Kentucky

C. Johnston Cramer, III, PLLC

John Cramer
C. Johnston Cramer, III, PLLC
Lexington, KY
United States

Phone:

Primary business advisory and law practice focus: Formation of employee stock ownership plans (ESOPs) and merger and acquisition and other transactions involving ESOP-owned companies. Beyond primary focus areas, general ESOP law matters. Nationwide focus with particular attention since 2013 to middle market companies located in Southern California. In addition to NCEO Membership, a Professional Member of The ESOP Association; former Associate Member and current active participant in activities of the ESOP Association Legal & Regulatory Advisory Committee; Member of the American and Kentucky Bar Associations and the ABA Business Law Section. Since 2011, I have worked on ESOP formation transactions and other ESOP matters involving approximately $860,000,000 in total transaction value.

Listed under:
ESOP general consulting
ESOP law firm

Canavera Financial Group, LLC

Clifford Canavera, CFP®, MBA
Canavera Financial Group, LLC
Louisville, KY
United States

Phone:

Canavera Financial Group, LLC is a financial planning and investment advisory practice for both individuals and businesses, with particular emphasis on employee-owned companies. We provide a wide range of professional services, such as strategic planning, exit strategy/financial/legacy planning and implementation for the outgoing owners, Section 1042 rollover planning, compensation planning, and repurchase obligation strategy development. Much of our work is on the development of strategies for the proactive management and funding of repurchase obligation so as to increase sustainability of the company and provide for employee-owners to thrive in their business and personal lives. See my website for pertinent regulatory disclosures and disclaimers.

Listed under:
ESOP investment and 1042 rollover advice
ESOP administration
ESOP repurchase obligation consulting

Findley

Alex Grasser
Findley
Louisville, KY
United States

Phone:

Findley is an independent human resources and employee benefits consulting and solutions firm that delivers value, responsiveness, and expertise to help clients navigate today's evolving business environment. We support ESOP companies and their employee-owners with our recordkeeping, customized participant communications, and consulting services.

Listed under:
ESOP general consulting
Employee communications
Employee participation
ESOP administration
ESOP repurchase obligation consulting

Prairie Capital Advisors, Inc.

Tim Jamison
Prairie Capital Advisors, Inc.
Louisville, KY
United States

Phone:

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.

Listed under:
Equity compensation plan design
Equity compensation valuation
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

Retirement Management Services, LLC

Amber Lloyd, APA, CMFC, CFP, ERPA
Louisville, KY
United States

Phone:

Amber M. Lloyd, Managing Member and Owner of RMS, began her career in retirement plan administration and consulting in 1994. She is credentialed as an Accredited Pension Administrator and an Enrolled Retirement Plan Agent. Throughout her 27 years in the retirement field, she has worked on all types of retirement programs, including both qualified and nonqualified plans and often speaks on retirement plan topics. Amber is an active member of the National Institute of Pension Administrators, the ESOP Association (where she currently serves as VP of the OH/KY Chapter). Amber currently devotes most of her time to new business development, consulting on 401(k), Profit Sharing, and Employee Stock Ownership Plans and heads up the firm’s ESOP Practice Group.

Listed under:
ESOP administration
ESOP repurchase obligation consulting

Retirement Management Services, LLC

Laura Lyvers
Retirement Management Services, LLC
Louisville, KY
United States

Phone:

Founded in 1997, we are an independent, fee-based, third party administrator and consulting firm for hundreds of qualified plans in 26 states. Our ESOP Practice Group can assist employers with feasibility studies, plan design, repurchase obligation analysis, ongoing administration, and compliance services. We work closely with employers and their advisors to make sure all of their retirement plans operate smoothly, while continuing to fit their human resource and business objectives.

SCJ Consulting Services, LLC

Stephen James
SCJ Consulting Services, LLC
Smithfield, KY
United States

Phone:

Stephen C. James is an Independent Trustee with over 12 years of experience. He and his team serve clients throughout the US and pride themselves on exceptional, practical ESOP trustee service.

Listed under:
Employee communications
Employee education and financial advice
Employee participation
ESOP trustee and fiduciary services
Independent board member

Louisiana

Chaffe & Associates, Inc.

Marc Katsanis, CPA/ABV, CFA, CPVA
Chaffe & Associates, Inc.
New Orleans, LA
United States

Phone:

Chaffe & Associates, Inc. provides valuation and merger and acquisition services to public and private companies, family-owned partnerships, and limited-liability companies in a wide range of industries across the United States. Whether Chaffe's client is pursuing the valuation for tax or corporate planning, a company sale, financial reporting, litigation support, issuance of employee stock options (409A) or employee stock ownership plans (ESOPs), Chaffe documents every detail to provide a rational, defensible basis for the valuation. All these factors combine to make valuations fair, accurate, and able to withstand rigorous scrutiny.

Listed under:
ESOP valuation
Equity compensation valuation

Massachusetts

E.J. Callahan & Associates, LLC

Steve Zaremba
E.J. Callahan & Associates, LLC
Woburn, MA
United States

Phone:

The partners at E.J. Callahan & Associates (EJC) have been serving ESOP companies for over a decade. EJC assists clients through every step of the ESOP process, ensuring that the best result is achieved for all stakeholders. EJC also specializes in ESOP and other ERISA employee benefit plan audits.

Listed under:
ESOP accounting and liquidity studies
ESOP general consulting
Equity compensation accounting

Edelman & Associates

Paul Edelman
Edelman & Associates
Lakeville, MA
United States

Former NCEO board member, Paul Edelman, is an executive coach, facilitator, and board advisor with a special interest in working with ESOP companies to set clear goals, make sound decisions, and take effective action to capitalize on the potential of employee ownership.

linkedin.com/in/pauledelman
 

Listed under:
Employee communications
Employee education and financial advice
Employee participation
ESOP general consulting
Independent board member

Maselan & Jones P.C.

Terence Jones
Maselan & Jones P.C.
Boston, MA
United States

Phone:

We have been a recognized member of the Boston and New England legal community for three decades, serving a sophisticated and diverse client base. We are unique in our ability to provide personal attention, efficiency, and creative approaches to successful businesses, families and individuals and business owners in the following specialized areas which are often found only in larger firms –
• Business and Tax Planning
• Mergers and Acquisitions
• Ownership Succession for Successful Businesses, including ESOPs
• Employee Benefits/ERISA, including --
o Implementation, Compliance and Problem Remediation
o Equity-Based Compensation
o Fiduciary Compliance/DOL and IRS audits
o Transitioning Benefit Plans in M&A
• Sales of ESOP Companies
• Trusts, Estate Planning and Probate

Listed under:
Equity compensation plan design
ESOP law firm

Maselan & Jones, P.C.

W. Terence Jones
Maselan & Jones, P.C.
Boston, MA
United States

Maselan & Jones has provided businesses with ESOP, ERISA, and business succession planning expertise for over thirty years. We counsel clients on business succession planning, mergers and acquisitions, ESOPs and ESOP financing transactions, and a broad range of employee benefits issues, including issues involving qualified and nonqualified retirement plans, executive compensation plans, ERISA fiduciary duties and prohibited transactions, and health and welfare plans. Personal attention, efficiency, and creative approaches to complex problems, regardless of the magnitude of the project, are the hallmark of the firm's approach in serving its clients.

Listed under:
Equity compensation law firm
ESOP law firm

Ownership Associates, Inc.

Christopher Mackin
Ownership Associates, Inc.
Cambridge, MA
United States

Phone:

Ownership Associates provides strategic transaction advice as well as support for organizational culture development exclusively to employee-ownership companies. Services include communications, organizational design, feasibility analysis, transaction support and employee training. OA is the original developer of the Ownership Culture Survey(tm), an attitude survey for employee-ownership companies now owned and managed by the NCEO. OA is headquartered in Harvard Square, Cambridge, Massachusetts, with a satellite office in Mondragon, Spain. Clients include ​Web Industries, ​ New Belgium Brewing Company​ and ​ Carris Reels.

Listed under:
ESOP financing and investment banking
ESOP general consulting
Employee communications
Employee education and financial advice
Employee participation
Independent board member

Maryland

ESOP Services, Inc.

David Binns
ESOP Services, Inc.
Silver Spring, MD 20910
United States

Phone:

ESOP Services, Inc.’s experienced professionals specialize in all aspects of Employee Stock Ownership Plans for both private and public companies throughout the United States and internationally. Our unique approach emphasizes the financial aspects of ESOPs, while coordinating the many diverse elements necessary to successfully establish an ESOP.

Listed under:
Employee communications
ESOP general consulting
Independent board member

Menke & Associates, Inc.

Phillip DeDominicis
Menke & Associates, Inc.
Chesapeake City, MD
United States

Phone:

This office of Menke & Associates, Inc. designs and installs ESOPs. Services provided include financial consulting, employee communications and investment banking. Our firm has designed and installed over 3,000 ESOPs since 1974.

Listed under:
ESOP financing and investment banking
ESOP general consulting

SC&H Group

Duke Allen
SC&H Group
Sparks, MD
United States

Phone:

SC&H has dedicated professionals to serve ESOP clients nationwide, assisting plan sponsors and trustees in establishing and maintaining well designed ESOP's. As an ESOP-owned company, SC&H has the real world experience needed to help our clients navigate the unique aspects of an ESOP. Service we provide include: (i) Pre-ESOP Planning - assess strategic alternatives, preliminary valuations, feasibility studies; (ii) ESOP Transactions - advise on structuring, assist with negotiations, formal valuations and fairness opinions, S-Corp tax opinions; (iii) Annual Valuations & Other Services - Plan audit services, Company sponsor financial statement audits, tax compliance and ESOP accounting assistance; and (iv) Sales of ESOP Companies - Fairness opinions, M&A advisory, appraisals required for ESOP terminations

Listed under:
Equity compensation valuation
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

Wells Fargo

Joseph Gilbert
Wells Fargo
Bethesday, MD
United States

Phone:

As a Financial Advisor whom has focused on assisting ESOP Selling Shareholders and ESOP Companies for his entire over a decade long career, Joe is dedicated to helping clients achieve their financial goals. Whether you are business owner looking to retire and transition ownership while preserving hard earned wealth, or you are an individual or family saving for retirement while looking to leave a legacy and create opportunity for your heirs, Joe can assist by helping you to achieve all of these financial goals. Joe has a particular area of expertise assisting clients execute an IRS Section 1042 election and QRP portfolio construction, most frequently utilizing a monetization loan strategy.

Listed under:
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP investment and 1042 rollover advice
ESOP valuation
ESOP trustee and fiduciary services
ESOP general consulting
Equity compensation accounting
Equity compensation administration
Equity compensation brokerage services
Equity compensation plan design
Equity compensation valuation
Equity compensation employee financial advice
Employee education and financial advice
ESOP administration
ESOP repurchase obligation consulting

Maine

BerryDunn

William Enck
BerryDunn
Portland, ME
United States

Phone:

As the largest independent certified public accounting and management consulting firm in Northern New England, BerryDunn provides audit and accounting, tax, information technology, and management consulting services to a wide range of organizations. Within our staff, we have business valuation experts, employee benefit plan and executive compensation consultants, and individuals who have experience provide tax, audit, and accounting services to ESOP companies.

Listed under:
ESOP accounting and liquidity studies
ESOP valuation
ESOP general consulting
Equity compensation accounting
Equity compensation administration
Equity compensation plan design
Equity compensation valuation
ESOP administration
ESOP repurchase obligation consulting

BerryDunn

Katherine Whitehead
BerryDunn
Portland, ME
United States

Phone:

As a member of the Top 100 accounting firms, and northern New England’s largest, BerryDunn is a full-service accounting, assurance, and consulting firm, working with wide array of clients coast to coast in the US and around the world. BerryDunn's team of ESOP advisors work closely with clients to provide insight and guidance from start to finish. With the plan in place, the BerryDunn team provides ongoing ESOP maintenance and support, including but not limited to, annual business valuation updates and updates on policy and regulatory changes that impact the plan.

Listed under:
Equity compensation accounting
Equity compensation valuation
ESOP accounting and liquidity studies
ESOP general consulting
ESOP valuation

Spinnaker Trust

Jeannine Pendergast
Spinnaker Trust
Portland, ME
United States

Phone:

Spinnaker Trust provides specialized trustee and custodial services for your ESOP. Our experienced staff is dedicated to providing you with the customized, professional fiduciary services your plan deserves. From objective guidance on complex company decisions to helping navigate the ever-changing sea of regulations, Spinnaker remains focused on the primary goal; long term growth and prosperity for the participants of your ESOP. We can serve as trustee for both ESOP purchase/sale transactions and ongoing ESOP trust needs.

Listed under:
ESOP trustee and fiduciary services

Spinnaker Trust

Jeannine Penderagst
Spinnaker Trust
Portland, ME
United States

Phone:

Spinnaker Trust provides specialized trustee and custodial services for your ESOP. Our experienced staff is dedicated to providing you with the customized, professional fiduciary services your plan deserves. From objective guidance on complex company decisions to helping navigate the ever-changing sea of regulations, Spinnaker remains focused on the primary goal; long term growth and prosperity for the participants of your ESOP. We can serve as trustee for both ESOP purchase transactions and ongoing ESOP trust needs.

Listed under:
ESOP trustee and fiduciary services

Michigan

Deborah Groban Olson, Attorney at Law, PLLC

Deborah Olson
Deborah Groban Olson, Attorney at Law, PLLC
Grosse Pointe Park, MI
United States

Phone:

Since 1981, Attorney Deborah Groban Olson, has created and advised employee-owned companies including ESOPs, co-ops and employee ownership trusts (EOTs), representing sellers, buyers and unions. See www.esoplaw.com for case studies. Former chair of the National Center for Employee Ownership, Olson is Board Chair of the employee owned Once Again Nut Butter Collective, where she facilitated creation of an inclusive and efficient employee participation system. She was the founding Executive Director of both the Center for Community Based Enterprise, Inc., and the Capital Ownership Group (COG), a global online think-tank and conference center. Graduated, Order of the Coif, 1976 Univ. of Wisconsin Law School, Olson has a Martindale Hubbell AV rating as a preeminent attorney in her field.

Listed under:
Employee participation
ESOP law firm
Independent board member
Other EO (Co-ops, LLCs, employee ownership trusts)

Ferguson & Widmayer, P.C.

Warren Widmayer
Ferguson & Widmayer, P.C.
Ann Arbor, MI
United States

Phone:

Warren and Larry concentrate their Ann Arbor law practice on employee benefit planning, business succession planning, and tax and estate planning, particularly for small- to medium- size businesses. Both have been listed in "The Best Lawyers in America" for several years, and Warren is past chairperson of the Employee Benefits Committee of the the State Bar of Michigan Taxation Section. They approach ESOP operation and ESOP transactions as a team: Larry focuses on the structure and strategy of the transaction, and Warren handles all ESOP technical issues from plan drafting to compliance advice and consulting.

Listed under:
ESOP law firm
Equity compensation law firm

Greenwich Capital Group

Brian Hock
Greenwich Capital Group
Birmingham, MI
United States

Phone:

Greenwich Capital Group (GCG) is a middle-market focused investment bank offering a range of strategic and financial advisory services to privately held businesses, private equity investors and publicly traded companies. GCG's ESOP services include performing feasibility studies, transaction structuring, raising capital, transaction negotiation, and guiding companies through a successful transaction process. GCG also assists existing ESOP-owned companies with buy-side (acquisition) advisory, second-stage transactions, and sell-side advisory. GCG has transaction experience in nearly every industry and offers unique expertise to help shareholders complete successful transactions while maximizing value and minimizing risk.

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP valuation
Independent board member

Maddin, Hauser, Roth & Heller, P.C.

William Sigler
Maddin, Hauser, Roth & Heller, P.C.
Southfield, MI
United States

Maddin Hauser has provided legal services to ESOP companies for over 30 years. The firm assists in the feasibility, design, implementation, and termination of such plans; representing clients in IRS and Department of Labor audits; preparing and amending plan documents, summary plan descriptions, distribution policies and other plan-related documents; preparing filings for IRS determination letter requests and applications to correct plan document or operational errors through the IRS's correction programs; providing counsel on S corporation ESOPs, Section 1042 rollovers, ESOP loans, mergers and acquisitions, and private equity and ESOP combinations.

Listed under:
ESOP law firm
Equity compensation law firm

Ventura ESOP Fiduciary Services

Alex Perry
Ventura ESOP Fiduciary Services
Grand Rapids, MI
United States

Phone:

ESOP professional with experience in valuation and independent trustee services. Alex is passionate about employee ownership and is happy to be a resource for anyone in the industry!

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services
ESOP valuation

Minnesota

Boulay

Dan Markowitz
Boulay
Minneapolis, MN
United States

Phone:

Dan is the leader of Boulay's ESOP practice. He specializes in audit and other financial reporting engagements for public, private and ESOP-owned clients in a variety of industries including retail, engineering, professional services, real estate, and manufacturing and distribution. Dan analyzes business operations to provide recommendations for enhancing overall business performance, and he provides financial and consulting services to ESOP companies, including ESOP feasibility studies, ESOP sustainability projects, repurchase obligation studies, and managing annual ESOP administration. Dan also leads the due diligence team in evaluating the financial and operational reporting system of acquisition target companies, and he assists clients with merger and acquisition activities.

Listed under:
ESOP accounting and liquidity studies
ESOP investment and 1042 rollover advice
ESOP general consulting
Equity compensation accounting
Equity compensation administration
Employee education and financial advice
ESOP administration
ESOP repurchase obligation consulting

Bremer Trust, N.A.

Kevin Weise
Bremer Trust, N.A.
Minneapolis, MN
United States

Phone:

Bremer Trust offers complete retirement plan services including trustee, recordkeeping, administrative and compliance testing to establish and administer ESOPs for organizations of every size. As a leading provider of ESOP and 401k services, we know that each company has different goals. As a full-service provider we offer everything from employee education and participant communication to repurchase forecasts and shareholder transaction services. We work with you to create a solution that meets your objectives. Bremer Trust is also an ESOP. Our first-hand knowledge of the benefits of ESOP participation puts us in a unique position to help our clients establish an effective program. We are committed to providing solutions that are cost-effective and focused on your needs and goals.

Listed under:
ESOP trustee and fiduciary services
ESOP administration
ESOP repurchase obligation consulting

Chartwell Financial Advisory

Steve Nelson
Chartwell Financial Advisory
Minneapolis, MN
United States

Phone:

Chartwell is a national leader in financial advisory, corporate finance, transaction opinions, and valuation, serving the unique needs of middle-market companies.
 

Listed under:
ESOP valuation

CLA (CliftonLarsonAllen)

Darren Paumen
CLA (CliftonLarsonAllen)
Waite Park, MN
United States

Phone:

CLA exists to create opportunities for our clients, our people, and our communities through our industry-focused advisory, outsourcing, audit, tax, and consulting services. CLA's employee benefit plan (EBP) team has served the industry for more than 60 years and is the leading provider of employee benefit plan audits in the country.* We offer assurance, tax, valuation, feasibility and other consulting services to both ESOP sponsors and their related benefit plans. For more information, visit CLAconnect.com *According to the most recent data from the Department of Labor (2017)

Listed under:
ESOP accounting and liquidity studies
ESOP valuation
ESOP general consulting

Fredrikson & Byron, P.A.

Debra Linder
Fredrikson & Byron, P.A.
Minneapolis, MN
United States

Phone:

Fredrikson & Byron's Compensation Planning & Employee Benefits Group works with clients to design, draft, implement and maintain all types of benefit programs. Our experience includes health and welfare programs; flexible benefit/cafeteria plans; executive incentive/nonqualified deferred compensation arrangements; equity incentive/stock option programs; and retirement plans, including defined benefit pension, 401(k), profit sharing, employee stock ownership (ESOPs), 403(b) and 457 plans. Our attorneys think creatively to find a solution that best fits the client's business needs.

Listed under:
ESOP law firm
Equity compensation law firm

John A. Knutson & Co., PLLP

Kyla Hansen
John A. Knutson & Co., PLLP
Falcon Heights, MN
United States

Phone:

Kyla specializes in audits, financial reporting and succession planning for non-ESOP owned and ESOP owned businesses. She is the leader of JAK’s assurance and ESOP practice and focuses on the construction, manufacturing, real estate and retail industries. She also assists clients with mergers & acquisitions. By analyzing her clients’ business operations and understanding their business goals, she provides consulting with the thought process that no two businesses are alike.

Listed under:
Equity compensation accounting
ESOP accounting and liquidity studies
ESOP administration
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting
ESOP valuation

KeyStone Search

Mike Frommelt
KeyStone Search
Minneapolis, MN
United States

Phone:

KeyStone Search is a retained executive recruiting firm based in Minneapolis, Minnesota. The firm specializes in C-Suite and VP level search, as well as Business Succession planning and search. KeyStone works primarily with privately held businesses, ESOP companies, EOS/Traction companies, healthcare organizations and professionals associations. KeyStone is known for its passion for cultural fit and aligning executive teams around shared core values. KeyStone has deep expertise working with Employee Owned companies. We know how critical culture fit is for an ESOP, especially when hiring a leader from outside the company. Our search process allows us to incorporate our clients' unique cultures and identify executives who are not only talented, but also "fit."

Listed under:
ESOP general consulting

Kovell Advisory Services, LLC

Bob Kovell
Kovell Advisory Services, LLC
Saint Cloud, MN
United States

Phone:

Kovell Advisory Services, LLC provides board of director services to ESOP companies. Bob currently serves on the boards of three ESOP companies and is available as an independent board member for other companies. He also has been working as a consultant with ESOP companies for over 20 years, reviewing and analyzing their financial statements, evaluating the appraisal of their stock, and providing strategic planning services. Bob is a CPA/ABV, CVA who has over 40 years of accounting and tax experience with regional and local CPA firms, and over 20 years of business appraisal experience. Bob can help your board achieve its goals. Willing to travel.

Listed under:
ESOP general consulting
Independent board member

Principal Financial Group

Joel Davis
Principal Financial Group
Minneapolis, MN
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com.

Listed under:
Employee communications
Equity compensation administration
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Saul Ewing Arnstein & Lehr LLP

Andy Daly
Saul Ewing Arnstein & Lehr LLP
Minnapolis, MN
United States

SEA&L's ESOP attorneys help closely held companies operate efficiently within legal and regulatory parameters. With a deep understanding of the technical tax rules and ERISA's fiduciary requirements, our attorneys regularly advise clients on plan design and establishment, ongoing administration and compliance, ESOP transactions, and federal investigations. Providing practical counsel with creative problem-solving advice, our ESOP team includes attorneys with extensive backgrounds in plan administration and employee benefits law. As part of a full-service law firm, the team regularly coordinates with attorneys in complementary areas to help ensure that our clients receive efficient and streamlined support to address any issues that might arise during or after an ESOP transaction.

Listed under:
ESOP law firm
ESOP general consulting
Equity compensation law firm
Equity compensation plan design

Stinson LLP

Jeffrey Cairns
Stinson LLP
Minneapolis, MN
United States

Phone:

ESOP and Equity Plan legal services, feasibility. Represent employer sponsors and trustees. Over 30 years experience.

Listed under:
Equity compensation law firm
Equity compensation plan design
ESOP general consulting
ESOP law firm

Value Consulting Group

Patrick Schmidt
Value Consulting Group
Mendota Heights, MN
United States

Phone:

Value Consulting Group provides ESOP appraisals that meet the stringent standards of the Uniform Standards of Professional Appraisal Practice (USPAP), as well as ERISA. The firm's partners and senior staff all hold the Accredited Senior Appraiser (ASA) designation from the American Society of Appraisers.

Listed under:
ESOP valuation
Equity compensation valuation

Ventura ESOP Fiduciary Services

Neil Brozen
Ventura ESOP Fiduciary Services
Minneapolis, MN
United States

Phone:

Neil has provided ESOP trustee services since 2005. He currently serves as ongoing trustee for more than 100 ESOPs in 24 states and has served as transaction ESOP trustee for more than 300 engagements. Ventura team members have many professional designations including CPA, JD, ASA, QKA, SHRM-CP and several with Master's degrees.

We provide premier ESOP trustee services while developing long-term relationships with our clients.

We are passionate about employee ownership and love our work.

Listed under:
ESOP trustee and fiduciary services
Independent board member

Missouri

GRITT Business Coaching

Patrick Carpenter
GRITT Business Coaching
Holts Summit, MO
United States

Phone:

GRITT Business Coaching offers superior business coaching designed to empower corporate leadership, and our results-driven strategies ensure positive and lasting outcomes. You need the confidence to move your company forward and we help you to thrive through assessment, tracking, and customized tools and strategies that help you to set and reach suitable goals. GBC offers performance coaching, leadership coaching, and even CEO coaching services based on 80 years of collective leadership and coaching experience and over 100 years of industry experience, not to mention proven results – our combined highest grossing revenue year for clients clocked in at $875,000,000. Are you ready to thrive? GBC has the customized solutions you need.

Listed under:
Employee communications
Employee participation

Polsinelli

Jamie Zveitel Kwiatek
Polsinelli
St Louis, MO
United States

Jamie Zveitel Kwiatek focuses her practice on employee benefits law. She assists clients located throughout the country in plan design, implementation, and operation of employee benefit programs, including qualified and non-qualified plans, welfare benefit plans, cafeteria plans, stock option plans, phantom stock plans, deferred bonus plans and other types of compensation arrangements. Ms. Kwiatek also has significant experience with ESOPs, representing companies establishing ESOPs, lenders making ESOP loans, ESOP trustees, and management employees involved in ESOP buyouts. Ms. Kwiatek has significant experience representing clients on benefit plan matters before the Internal Revenue Service and the Department of Labor.

Listed under:
ESOP law firm
Equity compensation law firm

Polsinelli PC

Michael Conger
Polsinelli PC
Kansas City, MO
United States

Phone:

Michael Conger is one of the most-experienced and sought-after ESOP and ERISA attorneys, with more than 40 years of experience. He is listed in Best Lawyers in America 2008-date. Conger has advised clients nationally, regionally and locally on ESOPs, stock options, deferred compensation, and tax matters. Conger offers expertise advising selling shareholders, sponsors, trustees, and committees on ERISA fiduciary responsibilities and all other aspects of ERISA. Conger is also the innovator of ESOF, an alternative plan design to ESOPs. His law firm is a full-service firm with 20 locations nationwide, including St. Louis, Chicago, Denver, Phoenix, New York, Washington, D.C., Dallas, and Atlanta.

Listed under:
ESOP law firm
Equity compensation law firm

Sean Power

Sean Power
Polsinelli
Kansas City, MO
United States

Phone:

Sean Power brings a pragmatic, experienced perspective to clients’ business challenges and strategies.

With a primary focus on Employee Stock Ownership Plan (ESOP) matters, such as ESOP transaction planning and design, ESOP formation, operation, and regulation, Sean is well-suited to represent various parties to an ESOP transaction, including selling shareholders, companies, lenders, and trustees.

In a career spanning more than twenty five years, Sean has held both business and legal roles, which makes him uniquely positioned to develop a clear understanding of commercial drivers and business goals in order to efficiently provide legal solutions to help businesses achieve their goals.

Listed under:
ESOP law firm

Stern Brothers Valuation Advisors

John Korschot
Stern Brothers Valuation Advisors
Kansas City, MO
United States

Phone:

John C. Korschot, CFA, ASA, MCBA, CPA/ABV, CGMA is the President of Stern Brothers Valuation Advisors. Stern Brothers’ professionals provide business valuation, financial advisory and expert witness services that are of the highest quality, completed on time for a reasonable fee. Our firm of highly qualified and experienced professionals provide services to companies of all sizes and industries throughout the United States primarily for ESOP purposes having completed over 6,000 valuation assignments since 1984. Each of the senior professionals at Stern Brothers have over 25 years of experience in finance and have taken active roles in the valuation business community with the ASA, AICPA and NACVA.

Listed under:
ESOP general consulting
ESOP valuation

Stern Brothers Valuation Advisors

John Korschot
Stern Brothers Valuation Advisors
Kansas City, MO
United States

Stern Brothers was established in 1917 as an investment banking firm. Stern Brothers Valuation Advisors (Stern Brothers) is committed to performing business appraisals of the highest quality. John C. Korschot, CFA, ASA, CBA, CPA/ABV, is the president of Stern Brothers and has been involved in the areas of finance and business appraisal since 1976. Stern Brothers has issued over 1,500 valuation reports performed by six financial analysts since 1985.

Listed under:
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation valuation

Stern Brothers Valuation Advisors

John Korschot
Stern Brothers Valuation Advisors
Kansas City, MO
United States

Phone:

We provide valuation and financial advisory services to ESOP companies throughout the United States.
 

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

The Great Game of Business

Rich Armstrong
The Great Game of Business
Springfield, MO
United States

The Great Game of Business provides training and coaching services on the best practices of open-book management, employee engagement, business literacy and employee ownership. We are a subsidiary of SRC Holdings, Corp. One of America’s Top 100 Largest Employee Ownership Companies (#80). SRC’s CEO, Jack Stack, is the coauthor with Bo Burlingham of two best-selling books ‘The Great Game of Business’ and ‘A Stake in the Outcome’.

Listed under:
Employee communications
Employee education and financial advice
Employee participation
ESOP general consulting

The Great Game of Business, Inc

Steve Baker
The Great Game of Business, Inc
Springfield, MO
United States

Phone:

Unleash the entrepreneur inside every employee with The Great Game of Business. An employee-owned company, The Great Game of Business, Inc. provides affordable training and coaching services on the best practices of open-book management and business literacy. We offer publications, products, tools, and sponsor an international conference and recognition program to identify and celebrate exceptional open-book companies. With the Great Game, you can create a business of business people who think, ac,t and feel like owners.

Listed under:
Employee communications
Employee education and financial advice
Employee participation

Montana

Benefits & Business Law Advisor PLLC

Mark Sletto
Benefits & Business Law Advisor PLLC
Lakeside, MT
United States

Phone:

Since 1988, I have worked exclusively as an employee benefits attorney providing legal and consulting services for tax-qualified and non-qualified retirement plans. Approximately 70% of my time is spent working with ESOPs, representing employers, trustees and selling shareholders. I plan and execute transactions, provide goal-based plan design, operational compliance and accounting reviews, IRS/DOL corrections, problem solving, repurchase liability consulting, etc. I am also available to act as an independent board member for ESOP companies where I do not provide legal or consulting services.

Listed under:
ESOP law firm
ESOP general consulting
Equity compensation law firm
Equity compensation plan design
Independent board member
ESOP administration
ESOP repurchase obligation consulting

Holland & Hart LLP

Elizabeth Nedrow
Holland & Hart LLP
Billings, MT
United States

Phone:

Holland & Hart encourages every employee to think like an owner, so we feel a kinship to ESOP companies. Together with our clients, the ESOP team at Holland & Hart can create comprehensive ESOP structures to help businesses grow while promoting a culture that truly values employees. And for clients ready to exit an ESOP, our lawyers help with that, too. Holland & Hart LLP delivers integrated legal solutions to regional, national, and international clients of all sizes. Since its inception in 1947, Holland & Hart has grown into a firm of 450 lawyers in 15 offices. We stand apart in our footprint based on the breadth and depth of experience we offer, and our client-driven culture is personalized, responsive, and innovative.

Listed under:
ESOP law firm
Equity compensation law firm

North Carolina

Chartwell

Matt Keene
Chartwell
Raleigh, NC
United States

Phone:

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.

Listed under:
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation plan design
Equity compensation valuation
ESOP administration
ESOP repurchase obligation consulting

Principal Financial Group

Christel Jimenez
Mooresville, NC
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com. 

Listed under:
Employee communications
Equity compensation administration
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Thinc Strategy, Inc

Cindy Anderson, CPA
Thinc Strategy, Inc
Charlotte, NC
United States

Phone:

Thinc Strategy serves as the strategic advisor for ownership transitions. Whether you are considering a possible merger, sell, ESOP, or acquisition, we offer a complete list of business services ranging from strategic planning, ownership transition modeling, leadership transition planning, business valuations, due diligence, implementation, and the coordination required for a successful transition.

Listed under:
ESOP general consulting
Employee communications
Employee participation
Independent board member

Thompson Planning Group

Michael Thompson
Thompson Planning Group
Charlotte, NC
United States

Phone:

About Thompson Planning Group, LLC
TPG specializes in the design and implementation of strategic exit planning for business owners as well as the design of highly tax favored and selective Fortune 500 style strategies for business owners who are frustrated with losing key employees along with the funding limitations and future taxation of conventional qualified plans ie; 401(K) etc. These executive benefit strategies can include vesting periods and non-compete agreements and align very well with the many business transfer techniques that TPG recommends and these "exit plans" are greatly improved by these unique opportunities and strategies.

Listed under:
Employee education and financial advice
Equity compensation employee financial advice
Equity compensation plan design
ESOP administration
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting

North Dakota

Atlas Legal Services, PLLC

Bart McIlonie
Atlas Legal Services, PLLC
West Fargo, ND
United States

Atlas Legal Services provides comprehensive legal, financial, and tax services for businesses, including transitions to Employee Stock Ownership Plans (ESOPs), as well as management of the ESOP throughout the entire lifecycle. Under guidance from an experienced ESOP attorney, our strategic approach minimizes owner risk while maximizing business value and empowering employees.

Listed under:
Equity compensation law firm
Equity compensation plan design
ESOP general consulting
ESOP law firm

Core Corporation

Rodger Mohagen
Core Corporation
Fargo, ND
United States

Phone:

Core Corporation has vast experience with income and estate tax planning, financial accounting, ESOP formation feasibility, ESOP implementation, senior and subordinated debt structuring, complex ESOP administration requirements and ongoing plan governance. Core assists clients in making informed decisions with feasibility of sponsoring an ESOP, structuring and implementing a cost beneficial ESOP transaction, and formulating post ESOP implementation business and compensation plans. Core is directly involved in each step of the ESOP process, from feasibility and plan design to mature ESOP recapitalizations, including services related to the design and execution of executive compensation, the feasibility of merger and acquisitions opportunities and DOL and IRS examinations.

Listed under:
Equity compensation plan design
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting
Independent board member

Nebraska

McGrath North Mullin & Kratz, PC LLO

Joan Cannon
McGrath North Mullin & Kratz, PC LLO
Omaha, NE
United States

Phone:

We are a full service law firm that specializes in ESOPs, tax, ERISA, and executive compensation. We believe in working together as a team with the Company's owners and key managers, CPA, financial advisor and third-party administrator to bring the best, most cost-effective services to the ESOP Company. We are very experienced in ESOP plan design, implementation, completing a stock transaction, on-going plan administration, compliance, fiduciary training, designing and drafting executive compensation, etc. We believe in collaboration and work hard to have a successful team work together. We love ESOPs!

Listed under:
Equity compensation law firm
Equity compensation plan design
ESOP general consulting
ESOP law firm
Independent board member

New Hampshire

Atlantic Management Company, Inc.

John P. Murphy
Atlantic Management Company, Inc.
Portsmouth, NH
United States

Phone:

Atlantic Management Company Inc. is a leading valuation and financial advisory firm serving the business, legal and financial communities throughout New England from our offices in Portsmouth, New Hampshire. Founded in 1968, the firm's Valuation Group provides business valuations, fairness and solvency opinions, and litigation support for private and public companies. The Ownership Transition Group specializes in mergers and acquisitions, ESOPs, and business succession strategies for privately owned companies and public companies desiring to go private. Our client list includes a broad cross- section of New England's most successful companies, both public and closely held.

Listed under:
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation valuation

Caron & Bletzer, PLLC

John Bletzer
Caron & Bletzer, PLLC
Kingston, NH
United States

Phone:

Caron & Bletzer, PLLC is a highly specialized accounting firm focused on the employee benefit plan audit area. Leverage our wealth of experience and expertise in employee benefit plan audits and experience fantastic service delivery designed to make the audit process as painless as possible while complying with the highest of quality standards.

Listed under:
ESOP accounting and liquidity studies

Devine, Millimet & Branch

Tabitha Croscut
Devine, Millimet & Branch
Manchester, NH
United States

Phone:

The ESOP lawyers at Devine Millimet counsel businesses in all industries to understand the benefits, the pros, and the cons of establishing an ESOP. Our experienced Team has guided many companies and their owners throughout New England and across the US with their personalized ESOP investigation, feasibility, and transaction process. The Devine Millimet Team also has extensive experience representing both individual and institutional ESOP trustees in connection with their fiduciary role in an ESOP's sale or purchase of company stock and with ongoing decisions. Our Team can also assist companies ensure the ongoing compliance of the ESOP to ensure it remains a qualified retirement plan eligible for tax deferral.

Listed under:
ESOP law firm
ESOP general consulting
Equity compensation law firm
Equity compensation plan design

McLane, Graf, Raulerson & Middleton PA

John Bentas
McLane, Graf, Raulerson & Middleton PA
Manchester, NH
United States

Phone:

The McLane Law Firm combines legal excellence with creative thinking and superior client service to construct innovative and winning strategies for our clients. Founded in 1919, McLane has four offices throughout Massachusetts and New Hampshire. With 90 attorneys and more than 25 paralegals, our progressive approach has enabled us to work with all types of clients in New England and beyond to deliver solutions that are customized and cost-effective. See more at: http://www.mclane.com/#sthash.deXMpdvO.dpuf

Listed under:
ESOP law firm
Equity compensation law firm
Equity plans for multinationals

People's United Bank, N.A.

David Janelle
People's United Bank, N.A.
Concord, NH
United States

Phone:

People's United Bank, N.A. is a subsidiary of People's United Financial, Inc. (NASDAQ: PBCT), a diversified financial services company with more than $60 billion in assets. Founded in 1842, People’s United Bank is a premier, community-based, regional Northeast bank with more than 5,500 employees offering commercial and retail banking, as well as wealth management services. Specialization includes guidance on business ownership transition and lending for ESOP transactions.

Listed under:
ESOP financing and investment banking

ROI Cubed, LLC

George Raftopoulos
ROI Cubed, LLC
Portsmouth, NH
United States

Phone:

ROI Cubed is a consulting firm working with business owners looking to retire. We help owners maximize their business value, sell their company to a synergistic buyer or sell their ownership via an ESOP. Our ESOP consultation services include feasibility thru negotiation and implementation.

Listed under:
Employee communications
Employee education and financial advice
Employee participation
ESOP general consulting
Independent board member

New Jersey

Pilot Hill Advisors LLC

Robert E. Massengill
Pilot Hill Advisors LLC
Summit, NJ
United States

Phone:

Pilot Hill Advisors consults with the owners of privately held companies on employee centric ownership transition strategies. Among the most common used are ESOPs, management buyouts, and combinations of the two. The firm's primary areas of expertise are planning, transaction analysis, raising capital, consulting for mature ESOPs, and transaction execution. Through its national reach and long term industry relationships, Pilot Hill brings the most independent solution to each client's transactions.

Listed under:
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP general consulting

Nevada

John E. Johnson, LLC

John Johnson
John E. Johnson, LLC
Incline Village, NV
United States

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.

Listed under:
Equity compensation valuation
ESOP valuation

New York

Aegis Fiduciary Services

Robert E. Lesser
Aegis Fiduciary Services
Valley Stream, NY
United States

Phone:

Aegis Fiduciary Services, LLC offers transactional and ongoing trustee services to privately-held companies that sponsor an ESOP. As a transactional trustee, Aegis's experienced team of professionals follow a rigorous internal process exceeding the standards imposed by the DOL, ensuring that Aegis fulfills its fiduciary duties to act in the best interests of the employee-participants. Aegis also performs ongoing work on behalf of the participants of the ESOP after the conclusion of a transaction. Aegis's experienced fiduciary committee and its independent financial advisor meet or confer with company management several times a year to monitor the company's operations and financial performance in order to determine the appropriate value of the stock for the employee-participants.

Listed under:
ESOP trustee and fiduciary services

Aegis Fiduciary Services

Jeremy Crystal
Aegis Fiduciary Services
Valley Stream, NY
United States

Aegis Fiduciary Services, LLC offers trustee services to privately-held companies that sponsor employee stock ownership plans (“ESOPs”). In an ESOP transaction, some or all of the owners of a company individually decide to sell some or all of their stock to the company’s employees through a to-be-formed ESOP.

Listed under:
ESOP financing and investment banking
ESOP investment and 1042 rollover advice
ESOP law firm
ESOP trustee and fiduciary services
ESOP valuation

Benefit Concepts Systems, Inc.

Donald Israel
Benefit Concepts Systems, Inc.
New York, NY
United States

Phone:

BCSI specializes in the design, installation, and administration of ESOPs. David Weinstock, an actuary, and Don Israel, a CPA, and their firm of actuaries and consultants provide feasibility studies, actuarial and liquidity analyses, repurchase liability studies, employee communications, investment banking, and financing for ESOPs. Mr. Israel is a frequent lecturer on ESOPs.

Listed under:
Employee communications
ESOP accounting and liquidity studies
ESOP administration
ESOP financing and investment banking
ESOP general consulting
ESOP insurance and workers compensation
ESOP repurchase obligation consulting

CSG Partners

Patrick Fallon
New York, NY
United States

Phone:

A sought-after advisor by CEOs and CFOs, Patrick has extensive experience providing diversified finance and ESOP investment banking services to leading companies.

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting

CSG Partners

Lawrence Kaplan
New York, NY
United States

Phone:

Since founding CSG Partners in 2000, Lawrence and his team have evaluated, structured, and financed hundreds of leveraged ESOP transactions for middle market companies nationwide. 

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting

CSG Partners

Steve Berman
New York, NY
United States

Phone:

With over 40 years of finance leadership – from ESOP advisory, to restructuring, to fund management – Steve has managed numerous, complex transactions for middle market and corporate clients.

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting

CSG Partners

Harvey Granat
New York, NY
United States

Phone:

A founding member of CSG, Harvey is an ESOP advisor with an entrepreneur’s mentality, having launched two successful leasing firms and a small business investment corporation.

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting

CSG Partners

Alex Mumblat
CSG Partners
New York, NY
United States

Phone:

Alex has helped structure and finance hundreds of ESOP transactions across a range of industries including manufacturing, engineering, apparel, and telecom.

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting

CSG Partners

George Thacker
CSG Partners
New York, NY
United States

Phone:

Recognized by M&A Advisor and the Atlas Awards with multiple Deal of the Year honors, George has advised some of the nation’s largest ESOP companies.

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting

Empire Valuation Consultants, Inc.

Terence Griswold, ASA
Empire Valuation Consultants, Inc.
Rochester, NY
United States

Phone:

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.

Listed under:
ESOP valuation
Equity compensation valuation

EOT Advisors

Christopher Michael
EOT Advisors
New York, NY
United States

Phone:

EOT Advisors is the first advisory services and investment banking firm in the country dedicated to assisting business owners in selling to an Employee Ownership Trust (EOT). We work in all 50 states and internationally. Our aim is to provide a one-stop shop for EOTs. We assist with company structuring, transaction design, valuation, debt financing, capital raising, fiduciary services, and legal forms, as well as with creditors and the commercial real estate aspect of transactions. Through our affiliate law firm, EOT Law, we are able to provide the legal services required for an EOT transaction. We also advise and assist on other forms of employee ownership, including Employee Stock Ownership Plans (ESOPs), employee-owned cooperatives, and broad-based equity compensation.

Listed under:
ESOP financing and investment banking
Other EO (Co-ops, LLCs, employee ownership trusts)

EOT Law P.C.

Christopher Michael
EOT Law P.C.
New York, NY 10001
United States

Phone:

EOT Law is the first law firm in the country dedicated to assisting business owners in selling to an Employee Ownership Trust (EOT). Our subsidiary EOT Advisors provides advisory and investment banking services for EOTs in all 50 states and internationally. Our aim is to provide a one-stop shop for EOTs. We assist with company structuring, transaction design, legal documentation, valuation, debt financing, capital raising, and fiduciary services, as well as with creditors and the commercial real estate aspect of transactions. We also advise and assist on other forms of employee ownership, including Employee Stock Ownership Plans (ESOPs), employee-owned cooperatives, and broad-based equity compensation, in addition to broad-based profit and gain sharing.

Listed under:
Other EO (Co-ops, LLCs, employee ownership trusts)

Fox Rothschild LLP

Harvey Katz
Fox Rothschild LLP
New York, NY
United States

Phone:

My 34 year career has included extensive experience in designing, implementing, and terminating ESOPs, including many highly complex ESOP transactions. I also concentrate my practice in IRS and Department of Labor audits of ESOPs and have represented dozens of ESOPs in very difficult situations. The firm is a full service law firm with a very substantial executive compensation practice including experience in a broad array of equity compensation arrangements.

Listed under:
ESOP law firm
Equity compensation law firm
Equity plans in a non-U.S. country
Equity plans for multinationals

Jackson Lewis P.C.

Brian Goldstein
Jackson Lewis P.C.
Albany, NY
United States

Phone:

Brian P. Goldstein is an Equity Principal in the Albany, NY office of Jackson Lewis P.C. Brian has concentrated his practice for over 25 years in the areas of the design and implementation of employee benefit plans and executive compensation arrangements, related compliance matters and ERISA fiduciary counseling, with a particular focus on ESOPs, equity based compensation arrangements, ESOP transactions by public and private companies, and representing institutional and other ESOP fiduciaries in transactions and compliance matters, including DOL investigations and controversies, and IRS exams. Brian's practice spans from Alaska to Puerto Rico and all across the U.S. Jackson Lewis P.C. is included in the AmLaw 100 and Global 100 rankings of law firms.

Listed under:
ESOP law firm
ESOP general consulting
Equity compensation law firm
Employee communications

Long Point Capital

Ira Starr
Long Point Capital
New York, NY
United States

Phone:

Long Point Capital is a private investment firm that invests in great companies with highly capable management teams and strong growth prospects. We focus on founder, family and management-owned companies. We offer creative liquidity solutions. We take a partnership approach to building successful businesses.

Listed under:
ESOP financing and investment banking
Independent board member

Morrison Cohen LLP

Brian Snarr
Morrison Cohen LLP
New York, NY
United States

Phone:

Morrison Cohen LLP is a New York City-based international law firm. The firm represents benefits providers, business owners, fiduciaries, employers, venture capital firms, underwriters, and lenders in compensation and employee benefits matters, with an emphasis on equity-based compensation structures, including ESOPs. Mr. Snarr heads the firm's Compensation and Benefits practice.

Listed under:
ESOP law firm
Equity compensation law firm
Equity compensation plan design
Equity plans in a non-U.S. country

Principal Financial Group

Joseph Marx
Principal Financial Group
Hamburg, NY
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com.

Listed under:
Employee communications
Equity compensation administration
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Schatz Brown Glassman LLP

Robert Brown
Schatz Brown Glassman LLP
Rochester, NY
United States

Rob Brown is a lawyer, fellow in the American College of Employee Benefits Counse,l and co-manager of Schatz Brown Glassman's Rochester, New York, office. For over 30 years, Rob has represented selling owners, corporations, and all types of ESOP trustees and fiduciaries, including inside trustees, independent trustees, and institutional trustees. We perform the legal work necessary to establish and maintain ESOPs and have represented ESOP-owned companies and their ESOPs on transactions ranging in size from $500,000 to over $1.4 billion. We also represent clients in other areas of employee benefits including preparing stock option plans and stock purchase plans, in addition to synthetic equity programs such as phantom stock plans and SARs.

Listed under:
ESOP law firm
ESOP general consulting
Equity compensation law firm
Equity compensation plan design

South Park Advisors, LLC

Robert Hilton
South Park Advisors, LLC
ROCHESTER, NY
United States

Phone:

South Park Advisors specializes in business valuations for ESOPs. At South Park Advisors, we’ll work with either trustees or the selling shareholder to implement and administer and ESOP in the most professional manner, keeping in mind the framework of the Department of Labor (DOL) and the Internal Revenue Service (IRS). We’ll work with closely held businesses throughout every stage of an ESOP life cycle. Whether you’re a business owner contemplating retirement, or an ESOP trustee responsible for the benefits plan of the employees you represent, we are here to help.

Listed under:
ESOP general consulting
ESOP valuation

South Park Advisors, LLC

Robert Hilton
South Park Advisors, LLC
Rochester, NY
United States

Phone:

South Park Advisors specializes in valuation and exit planning. We are based in Rochester, NY and Charlotte, NC. We are a high quality, high service, value provider of services. We work with both ESOP and non-ESOP companies to help them with owner transition issues and other valuation needs. We have expertise in many areas, including ESOP transactions, ESOP valuation updates, non-competition agreement valuations, gift and estate tax valuations, and other business ownership change valuations.

Listed under:
ESOP valuation
Equity compensation valuation

Stout Risius Ross, LLC

Aziz El-Tahch
Stout
New York, NY
United States

Phone:

Stout is a global investment bank and advisory firm specializing in corporate finance, valuation, financial disputes, and investigations. We serve a range of clients, from public corporations to privately held companies in numerous industries. Our clients and their advisors rely on our premier expertise, deep industry knowledge, and unparalleled responsiveness on complex matters.

Listed under:
Equity compensation valuation
ESOP financing and investment banking
ESOP valuation

Vantage Point Advisors

Michael Pickerstein
Vantage Point Advisors
New York, NY 10111
United States

Vantage Point Advisors is an independent business valuation firm with offices in San Diego, Dallas, New York, Portland and Seattle. We offer a full complement of business valuation and financial advisory services. Collectively our team has completed thousands of engagements across many industries.

Listed under:
ESOP valuation

Ohio

Apple Growth Partners

Matthew Silla
Apple Growth Partners
Cleveland, OH
United States

Phone:

Matt Silla, ASA, CFA is a Principal with Apple Growth Partners ("AGP"). Mr. Silla has over 15 years of business valuation experience and significant ESOP related experience. AGP's dedicated team is focused on valuations, fairness opinions, feasibility analysis and advisory activities for existing or organizations pursuing an ESOP. Collectively, AGP works with 60+ ESOPs annually and serve as an advisor for several transactions each year. We strive to build effective relationships to better meet client’s needs.

Listed under:
Equity compensation valuation
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

B2B CFO

Jeff Matthews
B2B CFO
West Chester, OH
United States

Phone:

B2B CFO® is the nation's largest CFO and business transition services firm, helping small and medium sized businesses since 1987. We are unique in that we help companies grow until the enterprise value meets or exceeds entrepreneur goals. We then help decide whether a sale, ESOP, MBO or other mode of transition is optimal. Our partners manage the transition through completion, allowing the owners to focus on operations. The resulting employee owned business will also benefit from our CFO support. Service Providers are available in California, Idaho, Indiana, Kansas, Michigan, New York, Ohio, Texas, and Wisconsin.

Listed under:
ESOP general consulting

ComStock Advisors, Inc.

Lori Wilhelmy
ComStock Advisors
Cincinnati, OH
United States

Lori is an Accredited Senior Appraiser (ASA) of the American Society of Appraisers and is a Managing Director in ComStock Advisors’ Cincinnati office. She joined the firm in 2006 and has over 25 years of experience in valuation and finance. Her valuation experience on behalf of ESOPs includes the implementation of plans, purchase of large blocks of stock, annual updates, and the sale of ESOP companies. Lori is a member of The ESOP Association, National Center for Employee Ownership (NCEO), Ohio Employee Ownership Center (OEOC), and Tri-State Business Valuation Roundtable.

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

Crowe Horwath LLP

Pete Shuler
Crowe Horwath LLP
Columbus, OH
United States

Phone:

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.

Listed under:
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Fifth Third Bank

Nick Jevic
Fifth Third Bank
Cincinnati, OH
United States

Phone:

One of the few dedicated ESOP teams in the country with a 16 year history and a national focus, Fifth Third's ESOP Finance Group supports Fifth Third's commercial lines of business across the bank's footprint by working with deal teams to win, structure and close leveraged ESOP transactions.

The ESOP team are experienced corporate finance professionals who focus exclusively on providing the right financial solution for clients and prospects that are in the process of considering an ESOP, or who currently exist under an ESOP ownership structure.

Listed under:
ESOP financing and investment banking
ESOP investment and 1042 rollover advice

GBQ Consulting LLC

Brian Bornino
GBQ Consulting LLC
Columbus, OH
United States

Phone:

Brian D. Bornino, CPA/ABV, CFA, CBA, is the director of valuation services and national practice leader for GBQ Consulting, a 20-person valuation and financial advisory practice with offices in Ohio, Pennsylvania, New York, and Indiana. Brian has been involved in over 2,000 valuation engagements during the course of his career, including over 500 ESOP-related assignments. GBQ's valuation practice specializes in ESOP formations, valuations, and consulting, as well as valuations for various other reasons including corporate and shareholder planning, transaction advisory, and various others. GBQ's professionals are active within The ESOP Association and the NCEO, and serve as frequent speakers and authors on valuation, transaction, and ESOP-related issues.

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP valuation

Keating Muething & Klekamp PLL

Michael Scheier
Keating Muething & Klekamp PLL
Cincinnati, OH
United States

Phone:

Mike is an ERISA/ESOP trial lawyer who principally defends fiduciaries against ERISA-based claims and other federal and state law tort claims. He represents ESOP and other corporate benefit plan sponsors, their directors and officers and plan fiduciaries, in all stages of litigation, from discovery to trial and through appeal. Mike and our litigation team develop creative and cost effective ways of resolving cases through settlement and alternative dispute methods. He believes that an effort to settle is generally not a sign of weakness but typically an economic imperative that limits the disruption to business. He also counsels clients about litigation avoidance, pre-litigation planning and maximizing and negotiating fiduciary insurance policy coverage.

Listed under:
ESOP law firm
ESOP insurance and workers compensation
ESOP financing and investment banking
ESOP general consulting
Employee communications
ESOP administration
ESOP repurchase obligation consulting

Lazear Capital Partners

Ted Lape
Lazear Capital Partners
Columbus, OH
United States

Phone:

Our firm is an investment bank specializing in ESOPs. Our services include the feasibility study, ESOP design and structuring, financing, and leading all aspects of the ESOP formation. Our partners are experienced professionals from large firms who have completed hundreds of transactions and do all of the work themselves. Our philosophy is to understand your needs and design a solution around them rather than selling a product that may or may not fit your needs. Aside from ESOPs, we specialize in M&A and capital raises for solid, growing middle market companies as well as companies experiencing financing difficulties.

Listed under:
ESOP financing and investment banking

Libby Perszyk Kathman Holdings

Maura Schilling
Libby Perszyk Kathman Holdings
Cincinnati, OH
United States

Phone:

Libby Perszyk Kathman is the world's largest employee-owned international brand design agency. Our international portfolio attracts some of the best and brightest creative minds in the world.

Listed under:
Employee communications
Employee participation
Software

Ohio Employee Ownership Center

Bill McIntyre
Ohio Employee Ownership Center
Kent, OH
United States

Phone:

The Ohio Employee Ownership Center (OEOC) is a non-profit, university-based program established in 1987 that provides (1) general consulting for firms considering ESOPs, (2) organizational assessment and development services for ESOP companies, (3) employee involvement training for participatory ESOP companies, (4) business literacy and financial training for rank-and-file employee- owners, and (5) "front line leader" training for team leaders and supervisors who supervise employee-owners in a participatory setting. The OEOC has pioneered "1042 rollover" cooperatives for owners selling small businesses to employees. The OEOC works outside the state of Ohio on a fee- for- service basis. Rates are reasonable.

Listed under:
ESOP general consulting
Employee communications
Employee education and financial advice
Employee participation

Prairie Capital Advisors

Daniel Callanan
Prairie Capital Advisors
Columbus, OH
United States

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.

Listed under:
Equity compensation plan design
Equity compensation valuation
ESOP financing and investment banking
ESOP valuation

Schatz Brown Glassman LLP

Tim Jochim
Schatz Brown Glassman LLP
Columbus, OH
United States

Phone:

Tim Jochim is a recognized national authority on business succession and employee stock ownership plans (ESOPs). He is a trusted adviser to clients on general corporate and business matters. His expertise has been recognized by Chambers USA and Martindale-Hubbell. Tim is the author of one of the first books on ESOPs and of numerous articles on business succession and ESOPs. He has also been an adjunct professor of business policy at The Ohio State University and of corporate finance at the Capitol University School of Law.

Listed under:
ESOP law firm
ESOP general consulting

Tucker Ellis LLP

Scott Stitt
Tucker Ellis LLP
Columbus, OH
United States

Phone:

Law firm with offices in Ohio, California, Texas and Colorado, with significant depth in ESOPs and executive compensation - formation, termination, transactions, and ongoing maintenance and special issues. We also serve as special litigation counsel in audit and litigation situations, and have handled a wide variety of matters in numerous jurisdictions - including Ohio, New York, Illinois, California, Indiana, Missouri, Virginia, Pennsylvania, West Virginia, and others.

Listed under:
ESOP law firm
ESOP general consulting
Equity compensation law firm
Equity compensation plan design

Workplace Development

Jim Bado
Workplace Development
Findlay, OH
United States

Phone:

Workplace Development provides field-tested, award-winning communication, training and employee-engagement services to build and enhance your ownership culture.

For more than three decades, our practical, personalized services have helped newly established plans (rollouts) and existing ESOPs build engaged, informed, enthusiastic employee owners.

Because you want to make the most of ownership, we specialize in communicating your plan's benefits (ESOP: What's in it for Me?) and linking employees' daily efforts to company success and ESOP stock value (The Power of One Dollar).

Listed under:
Employee communications
Employee education and financial advice
Employee participation

Oregon

Alternative Ownership Advisors

Sarah Joannides
Alternative Ownership Advisors
Portland, OR
United States

Phone:

Alternative Ownership Advisors helps founders and owners achieve liquidity and legacy. We design and implement ownership structures that enable a company to protect their purpose, remain independent over the long term, share economic rewards with employees, and attract aligned financing/investment. As experts in the emerging field of Steward Ownership, we can support your journey to explore a variety of forms of broad-based employee ownership as alternatives to ESOPs, including Employee Ownership Trusts, Perpetual Purpose Trusts, Cooperatives and Non-Profit/For-Profit hybrids.

Listed under:
Other EO (Co-ops, LLCs, employee ownership trusts)

Business Transition Advisors, Inc.

Fred Thomas
Business Transition Advisors, Inc.
Portland, OR
United States

Phone:

Business Transition Advisors (BTA) assists owners of closely held businesses in the business succession planning process. Our collective business experience with hundreds of clients provides a unique perspective to address personal liquidity opportunities that may include a stock or asset sale, employee stock ownership plan (ESOP), recapitalization, estate and gift or other transfers of ownership. We advise business owners on ownership and management succession as well as exit strategies to ensure a smooth and effective transition to a new ownership and management structure.

Listed under:
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP investment and 1042 rollover advice
ESOP valuation
ESOP general consulting
Employee communications
ESOP administration
ESOP repurchase obligation consulting

Chartwell

Nick Braun
Chartwell
Portland, OR
United States

Phone:

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.

Listed under:
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation plan design
Equity compensation valuation
ESOP administration
ESOP repurchase obligation consulting

Columbia Financial Advisors, Inc.

Donny Springer
Columbia Financial Advisors, Inc.
Portland, OR
United States

Phone:

Columbia Financial Advisors, Inc. (CFAI) is an appraisal and financial advisory firm. The firm's ESOP specialists are fully accredited and combined have 100 years of appraisal experience. Our ESOP appraisal and financial advisory services include ESOP feasibility; equity allocation and securities design; appraisal of various classes of securities; prohibited transaction valuations; fairness opinions; acquisition/disposition of securities/companies; litigation support; and annual ESOP appraisals.

Listed under:
Equity compensation valuation
ESOP valuation

GreatBanc Trust Company

Lynn Archer
GreatBanc Trust Company
Portland, OR
United States

Phone:

 

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. Lynn Archer serves as Sr. Vice President and Business Development Officer in the Employee Stock Ownership Plans Client Services group, focusing on managing client relationships and ESOP transactions. Prior, she was Of Counsel for the ESOP group at Lathrop Gage LLP. She served as Director-ESOP Consulting for Principal Financial Group, and as Partner for Barnes & Thornburg LLP.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

Pagano Appraisal Group, LLC

Mark Pagano
Pagano Appraisal Group, LLC
Portland, OR
United States

Phone:

Pagano Appraisal Group, LLC specializes in valuing privately held business interests for ESOPs and other purposes. Principal Mark Pagano has over 30 years of experience appraising closely held companies. He is a Chartered Financial Analyst (CFA), an Accredited Senior Appraiser (ASA) with the American Society of Appraisers and a past member of The ESOP Association's Valuation Advisory Committee. Each appraisal prepared by Pagano Appraisal Group is tailored to the circumstances of the specific engagement. The reports are thorough and well documented, yet easy for an ESOP fiduciary to follow and understand. References are available upon request from clients who can attest to the consistent quality of the work product and the reasonableness of the fees.

Listed under:
ESOP valuation

Tenor Capital Partners

Anthony Levi
Tenor Capital Partners
Portland, OR
United States

Phone:

Tenor Capital Partners is a boutique financial advisory practice focused exclusively on advising companies and shareholders considering an Employee Stock Ownership Plan. For the past 10 years we’ve built an exclusive network representing Companies, Boards of Directors, Employees, Lenders and Institutional Investors in the creation of ESOPs for use in shareholder liquidity and corporate finance transactions.
 

Listed under:
ESOP financing and investment banking
ESOP general consulting

Vantage Point Advisors

Jason Bolt
Vantage Point Advisors
Portland, OR 97204
United States

Vantage Point Advisors is an independent business valuation firm with offices in San Diego, Dallas, New York, Portland and Seattle. We offer a full complement of business valuation and financial advisory services. Collectively our team has completed thousands of engagements across many industries.

Listed under:
ESOP valuation

Pennsylvania

Capital Trustees

Rich Heeter
Capital Trustees
Harrisburg, PA
United States

Phone:

Serving as an independent trustee and fiduciary, Capital Trustees, LLC was founded to provide better service and value for the ESOP community. The professional team at Capital Trustees has extensive business experience, which allows them to efficiently and effectively fulfill their fiduciary duties.

​Capital Trustees serves as ongoing trustee to over 40 ESOP companies. Additionally, Capital Trustees serves as transaction trustee and has worked with companies throughout the US ranging in size and value from $1 million and 15 employees to $400 million and 3,000 employees. 

Listed under:
ESOP trustee and fiduciary services

Crumling & Hoffmaster

Nic Hoffmaster
Crumling & Hoffmaster
Mount Joy, PA
United States

Phone:

Crumling & Hoffmaster specializes in providing business valuation and related consulting services for a variety of purposes including the establishment and annual administration of Employee Stock Ownership Plans (ESOPs). The team at C&H has been providing business valuation services for ESOPs for more than 20 years. We have an extensive knowledge of ESOPs and are often engaged to consult with business owners, trustees, and attorneys on ESOP transactions and feasibility studies. Our experienced professionals have been involved with hundreds of business valuations for ESOP purposes, including the preliminary valuations for ESOP feasibility and planning purposes, plan implementation (including fairness opinions), annual valuations for administrative purposes, and plan termination.

Listed under:
ESOP accounting and liquidity studies
ESOP valuation
Equity compensation valuation

Dunbar, Bender & Zapf., Inc.

Rebecca Hummer
Dunbar, Bender & Zapf., Inc.
Pittsburgh, PA
United States

Phone:

Dunbar, Bender & Zapf, Inc. provides design, administration and consulting services for employee stock ownership plans. Our staff is knowledgeable in all areas of ESOP record-keeping and reporting and is credentialed through the American Society of Pension Professionals and Actuaries (ASPPA) - ESOP plan administration certification.

Listed under:
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

ESOP Economics, Inc.

Judy Kornfeld
ESOP Economics, Inc.
Philadelphia, PA
United States

Phone:

ESOP Economics, Inc. specializes in ESOP repurchase obligation studies, consulting, and software. Founded in 1993, the firm has worked with hundreds of ESOP companies of all sizes and stages and in a broad range of industries to help them forecast and plan for their repurchase obligations. In addition to repurchase obligation studies and consulting. ESOP Economics offers its proprietary Telescope™ software to ESOP companies who want to do their own forecasting.

Listed under:
ESOP accounting and liquidity studies
Software
ESOP administration
ESOP repurchase obligation consulting

Grossman Yanak & Ford LLP

Melissa Bizyak
Grossman Yanak & Ford LLP
Pittsburgh, PA
United States

Grossman Yanak & Ford LLP has extensive experience developing and facilitating sophisticated ESOP-based business strategies. We work with business owners and independent trustees acting on behalf of employees by providing the following ESOP services:
• Transaction Consulting & Design – to ensure a successful adoption and implementation of the ESOP strategy
• Feasibility Assessment & Studies – to assess the viability of utilizing an ESOP to accomplish strategic planning objectives
• Business Valuations – performed to determine value for the initial ESOP transaction, prepare a Fairness Opinion, and meet ERISA valuation requirements
• Advisory Services – to help management/trustees evaluate proposed transaction to determine the potential economic effects on the value of the Plan's assets
 

Listed under:
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting
ESOP trustee and fiduciary services
ESOP valuation

Kleinbard Bell & Brecker LLP

Mary Beth H. Gray
Kleinbard Bell & Brecker LLP
Philadelphia, PA
United States

Phone:

Kleinbard Bell & Brecker LLP is a general practice corporate firm, with expertise in mergers and acquisitions and corporate finance, including the corporate, tax and fiduciary issues relating to employee stock ownership plans.

Listed under:
ESOP law firm
Equity compensation law firm

MMCA

Bob McCormack
MMCA
Lewisburg, PA
United States

Regional investment banking firm servicing PA, MD, DE, NY and NJ. We advise in succession planning, financing and business valuations with a team of experienced professionals.
 

Listed under:
ESOP financing and investment banking
ESOP valuation
Independent board member

Murray Insurance Associates

Jeffrey Gelburd
Murray Insurance Associates
Mechanicsburg, PA
United States

Phone:

Murray is a provider of Executive Liability Insurance (D&O, Fiduciary, EPL, Cyber and Crime) to ESOP companies and also provides E&O insurance to outside trustees and ESOP administrators.
 

Listed under:
ESOP insurance and workers compensation

Plan Management Corp.

Elena Thomas
Plan Management Corp.
Ardmore, PA
United States

Phone:

Plan Management Corp (PMC) provides full- service administration of stock option incentive plans and the market's most intuitive, comprehensive self-administration software, OptionTrax®, a web-based software application. PMC is distinguished by both its software capability and unparalleled customer service; our experts have 40 years of experience working with small to mid-size companies, especially private and pre-IPO stage. And post IPO, there is no need for a platform or data switch with OptionTrax. Capabilities: Full administration, reporting, ASC 718/FAS compliance, participant portal, and more. OptionTrax integrates with our InvestmenTrax® software for full featured shareholder and securities management, cap table, and record keeping.

Listed under:
Equity compensation accounting
Equity compensation administration
Equity compensation plan design
Equity compensation valuation
Software
Equity plans in a non-U.S. country
Equity plans for multinationals

Praxis Consulting Group, Inc.

Ginny Vanderslice
Praxis Consulting Group, Inc.
Philadelphia, PA
United States

Phone:

Praxis Consulting Group helps employee-owned companies develop leaders, plan for the future, and build high-performance ownership cultures for long-term sustainability. Our services include leadership development, coaching, executive assessment, succession planning, governance, strategic planning, ESOP communications and committee development, and employee engagement and participation.

Listed under:
ESOP general consulting
Employee communications
Employee education and financial advice
Employee participation

Private Capital Corporation

Patrick Flynn
Private Capital Corporation
Harrisburg, PA
United States

Phone:

Helping Companies and Their Owners Build a Secure Future through Comprehensive Succession Planning.
 

Listed under:
Equity compensation plan design
ESOP accounting and liquidity studies
ESOP general consulting

SES ESOP Strategies

James Steiker
SES ESOP Strategies
Bala Cynwyd, PA
United States

Phone:

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).

Listed under:
ESOP accounting and liquidity studies
ESOP law firm
ESOP investment and 1042 rollover advice
ESOP general consulting
Equity compensation law firm
Equity compensation plan design

SES ESOP Strategies

Edward Renenger
SES ESOP Strategies
Reading, PA
United States

Phone:

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).

Listed under:
ESOP accounting and liquidity studies
ESOP law firm
ESOP investment and 1042 rollover advice
ESOP general consulting
Equity compensation law firm
Equity compensation plan design

SES ESOP Strategies, Inc.

James Steiker
SES ESOP Strategies, Inc.
Bala Cynwyd, PA
United States

Phone:

SES ESOP Strategies, Inc. 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).

Listed under:
ESOP law firm
ESOP financing and investment banking
ESOP general consulting

Steven R. Fischer

Steven Fischer
Steven R. Fischer
Eagleville, PA
United States

Phone:

I am a retired ESOP legal and financial professional with almost 35 years experience advising and guiding ESOP companies. My background also includes owning and managing a variety of businesses. I currently serve on the boards of directors of three ESOP companies in a variety of industries. I also provide general consulting services to ESOP companies.

Listed under:
ESOP general consulting
Independent board member

Trout CPA

Nicole Cradic, CPA
Trout CPA
Lancaster, PA
United States

Phone:

Trout CPA serves ESOP companies across a variety of industries. Our services include ESOP audits, valuations, tax, consulting, and outsourced accounting.

Our firm consists of experts with various specialties, which allows us to pair each client with the best team of professionals to meet their unique needs. We have four convenient offices in Lancaster, Lancaster City, Carlisle, and Mechanicsburg, PA. Contact us to learn how Trout CPA can help with your specific needs.
 

Listed under:
Equity compensation accounting
Equity compensation valuation
ESOP accounting and liquidity studies
ESOP general consulting
ESOP valuation

Trout, Ebersole & Groff LLP

Nicole Cradic
Trout, Ebersole & Groff LLP
Lancaster, PA
United States

Phone:

Trout, Ebersole & Groff LLP is a full service certified public accounting firm founded in 1929. TEG provides audit, tax and other assurance services for ESOP companies and their ESOP plans. The firm specializes in valuations of ESOP company stock. Our breadth of experience with ESOP companies and plans sets us apart from other traditional accounting firms.

Listed under:
ESOP accounting and liquidity studies
ESOP valuation

Value Management Inc.

Edward Wilusz
Value Management Inc.
Jamison, PA
United States

Phone:

VMI is a consulting firm specializing in business valuations prepared for Employee Stock Ownership Plans. VMI professionals have valued the stock of some ESOP companies for more than 25 years. Members of our team keep current with changing laws and court cases affecting ESOP valuations. We also actively participate in ESOP-related organizations.

Listed under:
ESOP valuation
Equity compensation valuation

Puerto Rico

CSG Partners

Richard Harmon
Dorado, PR
United States

Phone:

With experience in public accounting, as a CFO, and as an entrepreneur, Richard's award-winning ESOP investment banking work leverages a unique mix of business insights and technical strategies.

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting

Tennessee

Benefit Resources, Inc

Beverly Allen
Benefit Resources, Inc
Cordova, TN
United States

Phone:

Specialists in design, implementation and administration of ESOPs and KSOPs, Benefit Resources (BRI) works together with business owners and managers to provide maximum retirement benefits on a cost effective basis. We partner with outstanding professionals, such as attorneys, trustees and appraisers, coordinating your access to the necessary disciplines that will keep your plan in compliance and best serve your company's objectives. Beverly Allen, CPA,CEBS,CFP and Anne Sutton, CPA,CFP,CEBS lead the professional staff of the 100% employee-owned company with over 80 years of combined ESOP experience. BRI is committed to building retirement security one step at a time, beginning with the selection and design or restructure of the benefit program that best fits your business circumstances.

Listed under:
ESOP accounting and liquidity studies
ESOP general consulting
ESOP administration
ESOP repurchase obligation consulting

Bradley

David Joffe
Bradley
Nashville, TN
United States

Phone:

David Joffe is a partner in the law firm of Bradley Arant Boult Cummings LLP and is the Chairperson of the firm's Employee Benefits and Executive Compensation Practice Group. With more than 30 years of practice, David has a wide range of experience representing employers in employee benefits matters. He regularly advises employers on the adoption of ESOPs, related compliance issues, and fiduciary duties. He has worked on a variety of leveraged and non-leveraged transactions including the structuring of synthetic equity arrangements. David represents ESOP trustees and advises lenders on ESOP issues in transactions. He also represents plan sponsors in IRS and DOL audits.

Listed under:
ESOP law firm
ESOP general consulting
Equity compensation law firm

Bradley Arant Boult Cummings LLP

Gordon Nichols
Bradley Arant Boult Cummings LLP
Nashville, TN
United States

Phone:

Gordon Earle Nichols is a partner in the Bradley Arant Boult Cummings LLP law firm and is the past Chair of the firm's Employee Benefits and Executive Compensation Practice Group. Licensed in both Tennessee and Texas, Gordon has more than 30 years of experience dealing with ESOP issues, representing plan sponsors, trustees and lenders in a broad range of transactions, disputes, investigations and terminations. He has also provided substantive support in ESOP-related litigation. Gordon has worked on both leveraged and non-leveraged transactions, second and third stage ESOP buyouts and complicated wind downs of ESOP companies. With nearly 40 years of experience with the benefits and employment aspects of M&A transactions, Gordon brings a wholistic approach to ESOP matters, including audits.
 

Listed under:
Equity compensation law firm
ESOP general consulting
ESOP law firm

Findley

John Stone
Findley
Brentwood, TN
United States

Phone:

Findley is an independent human resources and employee benefits consulting and solutions firm that delivers value, responsiveness, and expertise to help clients navigate today's evolving business environment. We support ESOP companies and their employee-owners with our recordkeeping, customized participant communications, and consulting services.

Listed under:
ESOP general consulting
Employee communications
Employee participation
ESOP administration
ESOP repurchase obligation consulting

Invictus Fiduciary Services, LLC

Michael New
Invictus Fiduciary Services, LLC
Memphis, TN
United States

Invictus Fiduciary Services, LLC services ESOPs in a variety of fiduciary capacities including transactional and ongoing trustee appointments. We pride ourselves on developing and maintaining a personal relationship with each of our ESOP clients. This allows us to identify and address their unique and specific needs, and enables us to provide them with the necessary fiduciary protection. To assist us with our duties as an ESOP fiduciary, we have fostered relationships with numerous ESOP professionals across the country. This gives us the flexibility to handpick local and trusted professional service companies that best suit the needs of each individual client, regardless of their market or location.

Listed under:
ESOP trustee and fiduciary services
ESOP general consulting

Woodall Group, LLC

Gregg Woodall
Woodall Group, LLC
Knoxville, TN
United States

Phone:

Our team is comprised of experienced professionals with expertise in structuring initial ESOP transactions in addition to providing on-going appraisal services to ESOP clients. We have successfully established an ESOP for our own government services company in 1999 and ultimately sold the company to a publicly traded company benefiting all employees. We are competent, qualified and passionate about helping clients realize their hard earned reward through an exit strategy that brings them significant value and long lasting positive results.

Listed under:
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting
ESOP valuation

Texas

Benefit Capital SouthWest, Inc.

Kenneth Winslow
Benefit Capital SouthWest, Inc.
Dallas, TX
United States

Phone:

Feasibility Studies; ESOP valuations; Repurchase Liability Studies; General Corporate Finance, including Capital Raising and M&A.

Listed under:
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP valuation

Emerson Rickstrew CPA, PLLC

Emerson Rickstrew
Emerson Rickstrew CPA, PLLC
Colleyville, TX
United States

Phone:

I have significant experience serving as a transactional and continuing trustee for ESOPs. I have also worked on several problem- solving projects for existing ESOPs including DOL issues, unfunded contributions resolution, and fraud detection and correction. I work with attorneys, valuation experts and third party administration firms to enact sound, compliant ESOPs.

Listed under:
ESOP trustee and fiduciary services
ESOP general consulting

ERISA Advisory Group

William Kropkof
ERISA Advisory Group
Dallas, TX
United States

The ERISA Advisory Group was founded in 1995 by William Kropkof. Mr. Kropkof has spent the last 26 years as an Independent Fiduciary and Independent Trustee for ESOPs and Retirement Plans and Health and Welfare Plans. Prior to founding the ERISA Advisory Group, he spent 7 years as an Investigator for the US Department of Labor/EBSA.

The ERISA Advisory Group performs its duties with all stages of ESOP's including sales to third parties. They can be hired for specific transactions or ongoing fiduciary/trustee duties.

In addition, members of the firm have vast experience providing expert witness services.

Listed under:
ESOP trustee and fiduciary services

Gardere Wynne Sewell LLP

Michael Abbott
Gardere Wynne Sewell LLP
Houston, TX
United States

Phone:

I am an employee benefits partner at Gardere Wynne Sewell LLP who advises clients on general employee benefits, ESOPs, and executive compensation matters. My ESOP-based clients are companies, trustees, and selling shareholders. Gardere is a general civil practice law firm with approximately 230 lawyers engaged in most areas of civil practice plus white collar crime with offices in Houston, Dallas, Austin, and Mexico City. We are involved in international transactions.

Listed under:
ESOP law firm
Equity compensation law firm

GreatBanc Trust Company

Rob Borowy
GreatBanc Trust Company
Mansfield, TX
United States

Phone:

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. Rob Borowy serves as Vice President, Trust Officer in the Employee Stock Ownership Plans Client Services group, focusing on managing client relationships and ESOP transactions. He has more than 25 years of experience with ESOPs and retirement plan services. Prior to his career in the finance industry, he served as a Minuteman III ICBM missile launch officer in the US Air Force.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

Isaacks & Associates

Wayne Isaacks
Isaacks & Associates
Houston, TX
United States

Phone:

Wayne serves as ESOP independent trustee and fiduciary for ESOP’s coast to coast including ESOP transactions - acquisitions, sales and mergers of ESOP companies. Wayne is a Texas attorney, board certified in tax law by the Texas Board of Legal Specialization and a CPA. Wayne advises closely-held businesses and owners in taxation, company structure, owner relations, mergers and acquisitions, and exit strategies including private equity transactions, business sales, recapitalization and ESOP transactions. His ESOP practice includes acting as “quarterback” in feasibility, design and closing ESOP transactions, and as counsel to ESOP trustees.
 

Listed under:
ESOP law firm
ESOP trustee and fiduciary services
Independent board member

Lazear Capital Partners

Doug Janowski
Lazear Capital Partners
Dallas, TX 75238
United States

Phone:

We work with business owners and their trusted advisors to understand employee ownership and an ESOP's benefits, tax advantages, feasibility, structures and formation process to help determine if an ESOP is the right solution for the owners, the business, the employees and the stakeholders.  If an ESOP is the right strategy, our team at Lazear Capital Partners - comprised of ESOP, M&A, lending and tax experts - works with the owners, management and advisors to plan, execute and ensure a successful outcome.

Listed under:
ESOP financing and investment banking
ESOP investment and 1042 rollover advice

Lubbock National Bank

Christopher Robinson
Lubbock National Bank
Lubbock, TX
United States

Phone:

Lubbock National Bank is multi-office, regional provider of ESOP trustee and fiduciary services. LNB serves as independent trustee for ESOPs across the country.

Listed under:
ESOP trustee and fiduciary services

McDermott Will & Emery

Allison Wilkerson
McDermott Will & Emery
Dallas, TX
United States

Phone:

McDermott Will & Emery (MWE) is a large, diversified international law firm of over 1,000 attorneys, representing a wide range of public and private enterprises. Erin Turley and Allison Wilkerson are both partners at MWE (Dallas) and focus their practice on employee benefits, including compliance and regulatory work relating to qualified plans, nonqualified plans, executive and deferred compensation arrangements, and welfare benefit plans. Erin and Allison also have extensive ESOP experience, focusing on the design and implementation of ESOP transactions and providing ongoing legal counsel to ESOP owned companies. Each has extensive experience in a multitude of ESOP transaction structures, including leveraged buyouts, mergers, acquisitions, and private equity transactions.

Listed under:
ESOP law firm
Equity compensation law firm

Principal Financial Group

Owen Schmidt
Principal Financial Group
Aledo, TX
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com.

Listed under:
Employee communications
Equity compensation administration
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Weaver

Jennifer Krieger
Weaver
Houston, TX
United States

Phone:

When you need an audit, fairness opinion or an annual valuation update for your employee stock ownership plan (ESOP), it’s important to find a team you trust.

That’s why Weaver has built a team specifically focused on serving plans like yours. Our professionals hold credentials such as Accredited Senior Appraiser (ASA), Certified Valuation Analyst (CVA), Chartered Financial Analyst (CFA), Certified Public Accountant (CPA) and Accredited in Business Valuation (ABV).

These professionals’ skills and knowledge are backed up with Weaver’s resources and quality as a national CPA firm. With our Technical Standards Committee and meticulous quality review processes, you can be confident that Weaver’s work is well-supported and reliable.

Listed under:
Equity compensation valuation
ESOP accounting and liquidity studies
ESOP valuation

Wilkins Finston Friedman Law Group LLP

Jay Friedman
Wilkins Finston Friedman Law Group LLP
San Antonio, TX
United States

Phone:

Our Firm is an ERISA boutique providing services exclusive to the employee plans/exempt organization area, including extensive work in the area of executive compensation, including equity and phantom equity forms of compensation. We are a Firm of 8 attorneys all with decades of global, national and regional experience in all aspects of ERISA work. My specialty is implementation of leveraged ESOP transactions. I have represented both the independent fiduciaries in those transactions and on other occasions the Company sponsoring the ESOP. Our Firm also assists ESOP sponsors in operational issues of ongoing ESOPs, frequently assisting in tax qualification maintenance of the ESOPs.

Listed under:
ESOP law firm
Equity compensation law firm

Virginia

Benefit Services LLC

Bob Bye
Benefit Services LLC
Roanoke, VA
United States

Phone:

I have a multi-state practice working with ESOP companies designing Executive Benefit Plans for the management team and establishing funding strategies for Repurchase Liability. Based on client assumptions to project liabilities and risk tolerance of the company, the client develops a plan to fund a percentage of the future liability, utilizing a combination of cash instruments, conservative COLI on large account balance holders, and client selected investments. ESOP Repurchase Liability is not unlike Retirement Plan Liability - it just makes good business sense to build reserves offsetting the liability. There is no fee for a meeting, so give me a call to discuss these issues.

Listed under:
Equity compensation administration
Equity compensation brokerage services
Equity compensation plan design
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Blue Ridge ESOP Associates, Inc.

Thomas Roback Jr., CEP, QKA
Blue Ridge ESOP Associates, Inc.
Charlottesville, VA
United States

Blue Ridge ESOP Associates was founded in 1988 to provide high quality, technically proficient, independent administration and recordkeeping services for employee benefit plans. We developed a specialized expertise in serving the unique needs of companies that sponsor Employee Stock Ownership Plans. We service clients nationwide with as few as 15 employees to over 25,000 employees. Blue Ridge ESOP Associates is the ONLY firm that provides ESOP administration services as the primary focus of our business, helping provide the highest-quality service to our clients. Blue Ridge has developed ESOPConnection, an online tool that can be integrated with your company's website or intranet or can stand on its own at a unique web address.

Listed under:
Employee communications
ESOP administration
ESOP repurchase obligation consulting

CSG Partners

Nathan Perkins
CSG Partners
Fairfax, VA
United States

Phone:

Throughout his 20-year career, Nathan has advised on hundreds of ESOP transactions – including GovCon, professional services, and materials handling deals – representing billions in value. 

Listed under:
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting

ESOP Services, Inc.

Ronald J. Gilbert
ESOP Services, Inc.
Scottsville, VA
United States

Phone:

Ronald J. Gilbert began his career working with Louis Kelso, "father" of the ESOP. Ron is President and Co-Founder of ESOP Services, Inc. ("ESI"). For over 30 years, ESI has specialized in structuring U.S. and international ESOP transactions, and providing feasibility studies. Ron serves on the boards of four ESOP companies, and on The ESOP Association's Board of Governors and Legislative Committee, and is a former NCEO board member. He is co- author and co-editor of Employee Stock Ownership Plans: ESOP Planning, Financing, Implementation, Law and Taxation, the most comprehensive work on the subject, published by the Beyster Institute. He speaks frequently in the U.S. and internationally.

Listed under:
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP investment and 1042 rollover advice
ESOP general consulting
Employee communications
Equity plans in a non-U.S. country
Equity plans for multinationals
Independent board member
ESOP administration
ESOP repurchase obligation consulting

Flora Pettit PC

Jennifer Shirkey
Flora Pettit PC
Harrisonburg, VA
United States

Phone:

Our attorneys have decades of experience assisting clients with their ESOP and other equity compensation needs. Ranging from small to large services firms and manufacturers located around the country, our ESOP clients are diverse. Our attorneys include tax, ERISA, business, and litigation specialists providing the full range of legal services required to establish, maintain, and (when necessary) unwind equity-based plans. Several of our attorneys have direct experience providing third party administration services to ESOPs. Our firm focuses on providing responsive and practical advice to closely held entities and their owners.

Listed under:
Equity compensation law firm
Equity compensation plan design
ESOP law firm

Gentry Locke Attorneys

W. William "Bill" Gust
Gentry Locke Attorneys
Roanoke, VA
United States

Phone:

W. William "Bill" Gust is part of a team of 50 lawyers at Gentry Locke focused on helping the business owner succeed. He understands that employee-owned businesses have unique challenges and opportunities. From the design and implementation of ESOPs, KSOPS, deferred compensation plans, or representation before the IRS and Department of Labor on ERISA matters, his goal is to provide the highest quality and most cost-efficient legal representation.

Listed under:
ESOP law firm
Equity compensation law firm

HCI - EBS, Inc.

David Anderson
HCI - EBS, Inc.
Lynchburg, VA
United States

Phone:

Employee Benefits Services is an employee owned (ESOP) company that has served the defined contribution plan market since 1981. We have extensive experience in 401(k) plans that includes daily valuation, balance forward, trustee directed accounts, and participant directed accounts. Our professional administrators can effectively administer both standalone ESOP and 401(k) plans and KSOP plans. Our staff includes benefits consultants, CPAs, QPAs, and QKAs.

Listed under:
ESOP accounting and liquidity studies
ESOP administration
ESOP repurchase obligation consulting

Kaufman & Canoles, P.C.

Christopher L. McLean
Kaufman & Canoles, P.C.
McLean, VA
United States

Christopher is a part of Kaufman & Canoles' ESOPs & Employee Benefits Group where he advises clients on a broad range of issues relating to ESOPs and corporate ownership succession transactions. His practice involves the design, implementation, maintenance and compliance of ESOPs as well as a variety of nonqualified executive compensation plans. He has represented ESOP Trustees in initial stock purchase, second stage, and sale transactions of successful ESOP companies. He has advised ESOP Sponsors in the management of mature ESOPs including evaluating repurchase obligation options, resolving administrative issues, counseling on acquisitions, and coordinating and designing executive compensation plans complimentary to ESOPs.

Listed under:
ESOP law firm
Equity compensation law firm
Equity compensation plan design

Lenhart Pettit PC

Jennifer Shirkey
Lenhart Pettit PC
Harrisonburg, VA
United States

Phone:

Our attorneys have decades of experience assisting clients with their ESOP and other equity compensation needs. Ranging from small to large services firms and manufacturers located around the country, our ESOP clients are diverse. Our attorneys include tax, ERISA, business, and litigation specialists providing the full range of legal services required to establish, maintain, and (when necessary) unwind equity-based plans. Several of our attorneys have direct experience providing third party administration services to ESOPs. Our firm focuses on providing responsive and practical advice to closely held entities and their owners.

Listed under:
ESOP law firm
ESOP general consulting
Equity compensation law firm
Equity compensation plan design
ESOP administration
ESOP repurchase obligation consulting

Matheson Financial Advisors

Colvin Matheson
Matheson Financial Advisors
McLean, VA
United States

Phone:

Matheson Financial Advisors is a corporate finance advisory and investment banking firm providing a broad range of services including business valuations, ownership transition planning, mergers and acquisitions consulting, and other advisory services for architecture, engineering, construction, and environmental consulting firms, as well as government contractors.

Listed under:
ESOP valuation
Equity compensation valuation

Principal Financial Group

Rebecca Hoffman
Principal Financial Group
Charlottesville, VA
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com.

Listed under:
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Washington

Business Advisory Services, Inc.

Jack B. Sparks
Business Advisory Services, Inc.
Seattle, WA
United States

Phone:

Business Advisory Services, Inc. specializes in the valuation of closely held businesses. We provide ESOP feasibility analyses, ESOP valuations, fairness opinions, and ESOP advisory services. We have over 50 years of combined experience and the most widely recognized appraisal certifications.

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Corporate Advisory Associates, Inc.

T.S. Tony Leung
Corporate Advisory Associates, Inc.
Seattle, WA
United States

Phone:

Corporate Advisory Associates, Inc. (CAA) is a Seattle-based valuation firm. We are a specialized independent professional firm dedicated to business valuations and related financial advice. The principals of CAA have been providing stock valuation services to Northwest businesses since 1978. With experience from over 2,000 valuation assignments, we bring technical expertise, financial insight, and credible valuation advice that are crucial for ESOP trustees to fulfill their fiduciary duties.

Listed under:
ESOP valuation
Equity compensation valuation

Foster Pepper PLLC

Philip J. Carstens
Foster Pepper PLLC
Spokane, WA
United States

Phone:

With the benefit of more than 50 years of experience, Foster Pepper attorneys have worked on hundreds of ESOP transactions. Our team provides a variety of legal services to facilitate the development, implementation and regulation of ESOPs, including: creating, design and implementation of an ESOP; advising companies on ERISA regulations; structuring of business transactions involving ESOPs; company Employee Stock Ownership Trust acquisitions; redemption strategies, and; tax planning. Practice chair, Philip J. Carstens has been recognized as one of the nation's most experienced attorneys in the design and implementation of employee stock ownership plans ("ESOPs") and other plans governed by ERISA.

Listed under:
ESOP law firm
ESOP financing and investment banking
ESOP investment and 1042 rollover advice
ESOP general consulting
Equity compensation law firm
Equity compensation plan design
Independent board member

Hemingway Law PLLC

Lara L. Hemingway
Hemingway Law PLLC
Spokane, WA
United States

Phone:

Lara Hemingway is a business lawyer counseling clients in the areas of employee benefits, compensation, mergers and acquisitions, fiduciary compliance and corporate governance, with both in-house and outside counsel experience. She has experience as a board member for several organizations, including ESOP companies, not-for-profits and officer service as Secretary, President and Committee Chair. Current practice includes employee benefit trust compliance and governance, ESOP transactions, and general business advice for ESOP-owned companies.
 

Listed under:
Equity compensation law firm
ESOP law firm
Independent board member

Moss Adams Advisory Services

Dennis H. Locke
Moss Adams Advisory Services
Seattle, WA
United States

Phone:

Moss Adams Advisory Service is a full-service national valuation and financial consulting firm providing supportable and timely valuation counsel and consulting services. The company specializes in the areas of ESOPs, merger, acquisition, and divestment services; financial feasibility, financing, ad valorem, estate and gift tax, insurance, property records, and litigation support. Asset valuations include all tangible and intangible assets.

Listed under:
ESOP valuation
Equity compensation valuation

Tenor Capital Partners

Anthony Levi
Tenor Capital Partners
Seattle, WA
United States

Phone:

Tenor Capital Partners is a boutique financial advisory practice focused exclusively on advising companies and shareholders considering an Employee Stock Ownership Plan. For the past 10 years we’ve built an exclusive network representing Companies, Boards of Directors, Employees, Lenders and Institutional Investors in the creation of ESOPs for use in shareholder liquidity and corporate finance transactions.

Listed under:
Equity compensation plan design
ESOP administration
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP valuation

Wisconsin

ESI Equity

Craig Olinger
ESI Equity
Delafield, WI
United States

Phone:

ESI Equity is an expert in ESOPs, business valuations and transition planning. ESI Equity specializes in meeting the transition planning needs of closely-held businesses, with a focus on employee stock ownership. Our expertise comes from years of technical financial experience, coupled with the practical perspective of industry management.

Listed under:
ESOP general consulting
ESOP valuation

ESI Equity

TJ Genz
ESI Equity
Delafield, WI
United States

Phone:

ESI Equity is an expert in ESOPs, business valuations and transition planning. ESI Equity specializes in meeting the transition planning needs of closely-held businesses, with a focus on employee stock ownership. Our expertise comes from years of technical financial experience, coupled with the practical perspective of industry management.
 

Listed under:
ESOP general consulting
ESOP valuation

ESOP Partners LLC

Aaron Juckett
ESOP Partners LLC
Appleton, WI
United States

Phone:

ESOP Partners is an ESOP consulting and administration firm. Our unique 360° business model utilizes a custom-built proprietary administration system and integrates ESOP consulting and administration, helping maximize the potential and long-term success of your ESOP throughout the ESOP lifecycle. Our services include: ESOP administration; repurchase liability studies; and feasibility and transaction services. We also provide services for distribution policies, corporate governance and fiduciary consulting services, employee culture and communications, executive compensation and incentive planning, and audit assistance.

Learn more about our proactive approach and our team by contacting us at: Main: 920-659-6000 or [email protected]https://www.esoppartners.com/

Listed under:
Employee communications
Employee participation
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

ESOP Partners LLC

Aaron Juckett
ESOP Partners LLC
Appleton, WI
United States

Phone:

ESOP Partners is an ESOP consulting and administration firm. Our unique 360° business model utilizes a custom-built proprietary administration system and integrates ESOP consulting and administration, helping maximize the potential and long-term success of your ESOP throughout the ESOP lifecycle. Our services include: ESOP administration; repurchase liability studies; and feasibility and transaction services. We also provide services for distribution policies, corporate governance and fiduciary consulting services, employee culture and communications, executive compensation and incentive planning, and audit assistance.
Learn more about our proactive approach and our team by contacting us at: Main: 920-659-6000 or [email protected]esoppartners.com

Listed under:
Employee communications
Employee participation
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Principal Financial Group

John Prodoehl
Principal Financial Group
Appleton, WI
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com.

Listed under:
Employee communications
Equity compensation administration
ESOP accounting and liquidity studies
ESOP administration
ESOP general consulting
ESOP repurchase obligation consulting

Principal Financial Group

Sara Bates
Principal Financial Group
Appleton, WI
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com.

Listed under:
ESOP administration

Principal Financial Group

Kevin Rettler
Principal Financial Group
Appleton, WI
United States

Principal® 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. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com.

Listed under: