Service Provider Directory

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

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

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.

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.

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.

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.

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.

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

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.

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) and ESOP fairness opinions for mergers & acquisitions. Other valuation services provided include mergers & acquisitions, succession planning, estate and gift tax compliance, IRC §409A compliance, capital gains tax conversion compliance, purchase price allocations, goodwill impairment, intellectual properties, litigation (partner disputes, divorces, bankruptcy, probate, damages).

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

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

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

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

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.

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.

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.

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

We understand employee-owned companies operate with some of the most diverse and complex challenges an organization can face. As a top 25 CPA firm in the nation, Eide Bailly has made employee-owned companies a priority, offering proven solutions to your unique challenges.

We offer a variety of services to ensure success for your ESOP, Including:
• ESOP Consulting, Including Transaction Analysis and Feasibility
• Audit, Review and Compilation Compliance Services
• Tax Compliance and Consulting
• Data Analytics
• Cybersecurity
• And More!

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

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

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

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

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

Faegre Drinker is a top 50 firm designed for clients. With a team of attorneys focused on the ERISA, tax, corporate, securities and banking laws that affect ESOP transactions, our ESOP practice group at Faegre Drinker has a proven record of success in this important area of legal services. Effectively integrating the many disciplines that bear on successful plans, we provide proactive, innovative solutions that help companies, fiduciaries and selling shareholders achieve their goals while complying with the legal requirements involved in the implementation and maintenance of an ESOP.

Faegre Drinker is a top 50 firm designed for clients. With a team of attorneys focused on the ERISA, tax, corporate, securities and banking laws that affect ESOP transactions, our ESOP practice group at Faegre Drinker has a proven record of success in this important area of legal services. Effectively integrating the many disciplines that bear on successful plans, we provide proactive, innovative solutions that help companies, fiduciaries and selling shareholders achieve their goals while complying with the legal requirements involved in the implementation and maintenance of an ESOP.

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

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

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

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

Valuation expert with more than three decades of ESOP-centric experience.

Khorsand ESOP Advisory specializes in Employee Stock Ownership Plan (ESOP) services for organizations and business owners at any stage along their ESOP journey. We help evaluate, design, and implement ESOP transactions to achieve ownership transition and liquidity for shareholders while at the same time creating a benefit plan that aligns the incentives of the employees with that of the company. We also provide tailored consulting services to existing ESOP companies for issues such as repurchase obligation, plan design, compliance, plan operations, mature ESOP issues, benefit level analysis, and sustainability. For more information about our services, please visit https://www.esopadvisory.com/esop-consulting-services.

At the 408 Group, we specialize in business transition planning for entrepreneurs, typically middle market privately held company owners. We take a “solution agnostic” approach to this important work and include general education on the pros and cons of transition alternatives. As part of this process, we include an overview of ESOP’s and take care to dispel many of the common erroneous assumptions about ESOP’s as a viable exit strategy.

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

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

Newport Valuations, Inc. is specialized in ESOP valuations for the initial transactions and fairness opinion, on-going annual ESOP updates, ESOP termination and ESOP litigation.

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.

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

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

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.

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

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

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.

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.

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.
 

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.

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

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

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.

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

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

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

Gibraltar Business Valuations is a full service valuation firm. We help ESOP trustees in their duty to determining fair market value and adequate consideration. We also help ESOP companies develop reasonable and well supported financial forecasts.

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

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

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

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

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

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

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

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.

Reset Healthcare is a health risk management company designed to provide self-funded health plans a better way to control costs around medical claims, specialty pharmacy, provider over-utilization & waste, stop loss increases, and fixed expenses. We know there is a better way, and our results show – increased member engagement, improved quality in patient care, and overall lower healthcare costs. Our programs directly impact how you finance your health plan, the overall cost of claims and stop loss insurance.
Reset Healthcare has identified the most effective way to drive consumer engagement through technology, advocacy, and vendor resources. We empower your members to become true consumers of healthcare. Reset Healthcare is unbiased, transparent, and works for our members.

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

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

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

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

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.

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.

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.

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

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

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

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

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

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

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.

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

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

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.

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.

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.

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

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

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

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

Censeo Advisors, 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.

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

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

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.

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

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

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

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

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

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

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

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.

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

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

We understand employee-owned companies operate with some of the most diverse and complex challenges an organization can face. As a top 25 CPA firm in the nation, Eide Bailly has made employee-owned companies a priority, offering proven solutions to your unique challenges.

We offer a variety of services to ensure success for your ESOP, Including:
• ESOP Consulting, Including Transaction Analysis and Feasibility
• Audit, Review and Compilation Compliance Services
• Tax Compliance and Consulting
• Data Analytics
• Cybersecurity
• And More!

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

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

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

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

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

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

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

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

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.

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.

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.

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

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

ComStock Advisors is a national financial advisory firm that specializes in business valuations. The main focus of ComStock is the valuation
of capital stock for Employee Stock Ownership Plans, estate planning and gifting transactions, estate tax, and merger & acquisition transactions, and relate corporate advisory services. ComStock Advisors also provide turnkey structuring services for implementing ESOP transactions and litigation support services.

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.

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.

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.

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.

Faegre Drinker is a top 50 firm designed for clients. With a team of attorneys focused on the ERISA, tax, corporate, securities and banking laws that affect ESOP transactions, our ESOP practice group at Faegre Drinker has a proven record of success in this important area of legal services. Effectively integrating the many disciplines that bear on successful plans, we provide proactive, innovative solutions that help companies, fiduciaries and selling shareholders achieve their goals while complying with the legal requirements involved in the implementation and maintenance of an ESOP.

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

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

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

Please ask us for client testimonials!

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

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

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

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

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

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.

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

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

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

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

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

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

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

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

Chris Buch is a Chicago business attorney with a multi-disciplinary practice that focuses on a variety of executive compensation, employee stock ownership plan (ESOP) and employee benefits matters.

A significant portion of his practice focuses on ESOPs, representing plan sponsors, ESOP trustees, selling shareholders, ESOP committees, lending institutions and other fiduciaries in connection compliance matters and with the use of ESOPs and ESOP strategies in numerous types of transactions including ownership succession transactions, going-private transactions, management buyouts, corporate conversions, releveragings, ESOP company sales and transactions involving private equity.

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

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

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

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

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

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

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

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

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

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

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

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

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

Meredith is an educational resource for leveraged ESOP transactions, working with both internal and external partners to help clients and prospects understand the ESOP opportunity. She presents on a variety of ESOP topics at conferences and seminars across the country, in addition to the work she does with individual clients. She remains supportive to the client and their representatives throughout an ESOP transaction and helps clients with structuring 1042 portfolios and securing qualified replacement properties (QRP). Her team also provides support and financial guidance to ESOP trustees charged with the responsibility to manage ESOP trust assets. She is a member of both the National Center for Employee Ownership (NCEO), and the ESOP Association.

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

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

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

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

Faegre Drinker is a top 50 firm designed for clients. With a team of attorneys focused on the ERISA, tax, corporate, securities and banking laws that affect ESOP transactions, our ESOP practice group at Faegre Drinker has a proven record of success in this important area of legal services. Effectively integrating the many disciplines that bear on successful plans, we provide proactive, innovative solutions that help companies, fiduciaries and selling shareholders achieve their goals while complying with the legal requirements involved in the implementation and maintenance of an ESOP.

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

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

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.

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.

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

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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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

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.

Joseph D. Verri CRPS® CEPA

As a Certified Exit Planning Advisor, I help business owners identify and implement an exit strategy to meet their personal and financial goals. While I have been involved in many different transitions over the years, I provide specific guidance and education on the use of an ESOP. I work with numerous ESOPs nationally as an investment fiduciary in areas such as: repurchase liability funding, corporate cash investing and implementation and maintenance of qualified plans (401k).

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.

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.

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.

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

T&M is a full service business valuation firm specializing in valuations for ESOP owned companies. We prepare valuations and fairness opinions for transactions as well as valuations for annual reporting purposes.

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.

Jamie M. Waldren , CFP is a Managing Director - Investments for Wells Fargo Advisors. Mr. Waldren leads a integrated Virtual Family Office Wealth Management practice for wealthy clients. He helps entrepreneurs from inception through exit and provides guidance along the way, including a full or partial sale to an ESOP, including IRS Section 1042 Election - structuring QRP portfolios, providing investment management services as well as access to advanced estate planning, strategies, bank lending, trusts and insurance services.

Mr. Waldren has been serving clients as a financial advisor since 1992. He lives in Highland, Maryland with his wife Nora, son Matthew and daughter Alexandra. He enjoys playing golf, fishing and skiing.

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.

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.

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.

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.

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.

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.

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.

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.

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!

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.

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.

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