Service Provider Directory

In 1991, Keith Barfield, Don Murphy and John Shank decided to leave a large, local firm to establish a new type of public accounting firm. The goal was to build a world-class advisory and accounting firm that values character, family and life/work balance while creating a professional environment where each individual is treated with respect.

Nearly 30 years later, BMSS has grown to become Alabama’s second largest accounting firm with five offices and approximately 230 people . Regardless of your size or situation, we will focus on your unique circumstances to learn how we can provide you with peace of mind.

Our multi-disciplinary team regularly represents ESOP companies, shareholders, trustees, and lenders, and we provide ongoing ESOP legal counseling needs. We have counseled both public and private corporations, trust companies, and financial institutions on the use of ESOPs in many transactions over the years, including mergers, acquisitions, leveraged buyouts, stock repurchases, and ownership-succession transactions. Whether our clients are using an ESOP as a part of their employee benefits offering, as a financial and succession planning tool, or in a strategic corporation transaction, we help them navigate all aspects of the intricacies involved. We then partner with our clients as needed to provide ongoing support on day-to-day ESOP operational issues.

Warren Averett is an advisory and accounting firm focused on your business's goals. Get the accurate accounting, HR guidance, technology insight and strategic know-how you need to reach the goals you've set for your company. Warren Averett's honest advice and hundreds of specialized professionals help organizations do what matters most to them by removing the worry of technical planning, security or compliance. Our passion for our clients underscores why we do what we do. That passion remains at the core of our promise and mission to help you thrive and accomplish more of what’s important to you, always. We do that by being on and at your side—helping you make the most of opportunities to create, grow and protect value.

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.

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.

At RBG Capital we are a boutique, sell-side Investment Bank and Wealth Advisory. We have been in business since 1986. We work on 4-6 IB deals per year. Last year we closed 2 deals: a toll road saas co (EV $164M) and an automotive lift (and related equipment) importer selling B2B (EV $35M) which was sold to an ESOP. We have engagements in various states throughout the US and are always happy to speak to founders/entrepreneurs/owners free of charge about strategy eg divestiture, recapitalization, estate and financial planning, etc. We have developed significant ESOP collateral, displaying our expertise. We like to view ourselves as a knowledgeable, trusted advisor.

ERISA Attorney
ESOP plan design
"ESOF" plan design, an employer and employee friendlier version of the normal requirements of an ESOP
Executive compensation planning for insiders
ESOP Transactions and documentation
Legal advice for fiduciaries and non-fiduciaries

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 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.

Since 1982, our expertise is the design, installation, administration, and operation of qualified retirement plans. We provide plan consultation, design, installation, administrative, and actuarial services on a fee only basis. We believe in continuity of account management and close contact with our clients, their legal counsel, and tax advisors. We know that the same answer is not right for every employer, so we focus on your objectives and design plans that are workable and congruent with your goals.

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.

Common Trust helps business owners exit to their employees and community through Employee Ownership Trusts (EOTs). We work with business owners and next generation leadership from first impression through financing, supporting them to evaluate the feasibility of a transition, design a customized purpose trust to protect the people, purpose and business through the transition, and finance the transaction to ensure equitable outcomes across sellers, employees and investors.

Our model allows you to:

- Get a competitive, tax advantaged sale
- Set your company up for long-term success
- Ensure your people, mission and values are protected long-term
- Incentivize next generation leadership
- Maintain flexibility for growth and change
- Exit over time, while staying involved

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

We are a full service CPA and Business Advisory firm. We specialize in helping business owners successfully exit their businesses, create legacies, provide opportunities for team members within their organizations.

We have a team of experts at Eide Bailly who help assess the feasibility of an ESOP transition and if it makes sense, assist with structuring and executing the transaction. We work with a firm who has attorneys on staff to help with the legal aspects of the transaction.

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.

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.

A business valuation and investment banking firm with offices located in Los Angeles, San Diego, and Irvine, Greymar Partners has close to 25 years of experience providing ESOP valuation and financial advisory services to mid-sized private companies located throughout Southern California.

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.

Founded by Jim MacNee in 1999, Maitland Partners Executive Search is a retained executive search firm based in Southern California that serves clients nationwide. We have a proven track record recruiting C-level leaders, senior executives and members of their teams.

We have substantial interest and experience working with ESOP companies having placed President, Chief Financial Officer, Controller and VP Sales roles.

Jim is active in the NCEO having spoken at the 2019 pre-conference on succession planning and he has attended numerous educational/certification courses with the Beyster Institute on employee ownership.

Menke & Associates, Inc. is the nation’s oldest and most active firm dedicated to designing, installing, financing, and administering ESOPs.  We provide comprehensive ESOP services that include feasibility analysis, investment banking services, legal services, and plan administration services. We have installed over 3,500 ESOPs since 1974, and we have designed, installed and  administered ESOPs in all 50 states.  

Menke & Associates, Inc. is the nation’s oldest and most active firm dedicated to designing, installing, financing, and administering ESOPs.  We provide comprehensive ESOP services that include feasibility analysis, investment banking services, legal services, and plan administration services. We have installed over 3,500 ESOPs since 1974, and we have designed, installed and  administered ESOPs in all 50 states.  

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.

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.

Financial analyst.

Dale Lowe is the Associate Vice President.

ROI Communication, an ESPOP, is an internal communication agency that crafts strategies that inspire employees and take business performance from average to awesome.

As a leading employee engagement company, we know what it takes to turn companies into employee-owned communities. We’ve spent the last 21 years crafting innovative, purpose-driven strategies that connect people, invigorate cultures and create brand champions.

From comprehensive strategies to designing integrated communication systems, we focus on solving whatever your employees — and business — need to thrive.

Shareholder at RP& CPAs, a firm that specializes in the accounting and taxation of ESOP companies.

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.
 

Since 2007, Mark has been active as an Independent Director of several 100% ESOP Board of Directors throughout the West and Midwest areas of the United States. He currently serves as the Board Chair, Audit Committee Chair and Compensation Committee Chair.
Bringing over 30 years of Corporate Banking, ESOP M&A experience, Corporate financial Planning and Strategic planning to the boards he serves.

The Price Company designs, installs, and administers qualified retirement plans for corporations, partnerships, and the self-employed. The firm has over 25 years’ experience and serves clients throughout the Western states. The highly trained staff focuses on assisting clients in obtaining their financial goals through the unique regulatory environment of qualified retirement plan administration.

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

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.

Senior Analyst at Ventura Trust, provider of ESOP trustee and fiduciary services.

Specializing in ESOP plan audits

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.

Holland & Hart encourages every employee to think like an owner, so we feel a kinship to ESOP companies. Together with our clients, the ESOP team at Holland & Hart can create comprehensive ESOP structures to help businesses grow while promoting a culture that truly values employees. And for clients ready to wind down an ESOP, our lawyers help with that, too. Throughout the Mountain West, from coast to coast and beyond, Holland & Hart provides clients with astute legal service from a vantage like no other. For more information, visit hollandhart.com.

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.

Shoemaker Consulting helps companies determine if an ESOP is the right tool for their succession and provides expert guidance to management and the Board regarding all things ESOP during their first year after the transaction, including accounting for all aspects of the transaction. Sandy Shoemaker also serves on Boards of ESOP companies.

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 also represents clients in dealing with the IRS and the DOL regarding employee benefits matters and advises clients on fiduciary responsibility and prohibited transactions matters.  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.

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.

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.

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.

For over 30 years, we have provided succession and strategic planning services to hundreds of family owned and ESOP companies. Our services include management and fiduciary training (ESOPTraining.com), Employee/Management and Ownership Culture Surveys (ESOPOwnershipCulture.com), and Governance Certificates/ board development (GoveranceCertificate.com; ESOPDirectors.com). We also have two workbooks: "SuddenDeathChecklist.com" and "Creating Strategic Innovation"

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.

A&H Capital Partners is a private equity firm that invests in Real Economy businesses that generate $2-6M in EBITDA with at least 40 full-time employees (where, at minimum, ⅓ of employees are People of Color). A&H’s core industries are (1) landscaping, (2) commercial cleaning, (3) mechanical contracting (eg HVAC, plumbing, roofing, etc.), (4) food processing, (5) waste hauling, (6) transportation/trucking and logistics, (7) warehousing and (8) manufacturing. We have raised over $50M from the nation’s leading impact investors and foundations and we establish ESOPs for the entire workforce as we make acquisitions. We do this to provide greater long-term wealth for the employees, a core function of our mission to improve worker wealth through employee ownership.

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.

We approach ESOP formation as a team to support companies that are a good fit for an ESOP by a step by step process that has proven to support multiple industries and small to large companies at a cost effective approach, making ESOPs viable for even small companies. We have been able to provide support to the ESOP community by podcasting on key issues and educational topics that support the ongoing learning necessary for new and existing ESOPs. This podcast is under the name of The ESOP Guy - journeytoanesop.com. We also support ESOP companies with ongoing needs including ESOP accounting, ESOP benefit plan audits, and ongoing consulting.

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

This office of Menke & Associates, Inc. provides ESOP and 401(k) plan administration services, together with ESOP repurchase obligation studies. We have administered ESOPs since 1974, and we have ESOP administration clients in all 50 states.

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.

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.

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).

Sheldrick, McGehee & Kohler (SMK) is one of the largest privately held business valuation firms in the eastern U.S., specializing in ESOP valuations and feasibility studies and providing fair market valuations to meet a wide range of business needs for more than 70 years. SMK is also one of the leading providers of valuations for estate tax filings (Form 706) and gift tax filings (Form 709).

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.

The BDO Capital ESOP Advisory team consists of professionals with a wide range of experience in investment banking, tax, valuation, benefits, and commercial banking. We help business owners understand how an ESOP may suit their exit and liquidity objectives and guide them through every step of selling their business. Our ESOP professionals work collaboratively to assess ESOP feasibility, valuation, and tax impact and advise companies through the transaction process with selection of the ESOP trustee, transaction structuring and negotiation, capital raising, benefit plan design, M&A comparative analysis, tax analysis, and accounting.

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.

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.

I provide financial advisory for ESOP sponsor companies and companies considering installing an ESOP. I help shareholders determine whether an ESOP is right for them (via ESOP feasibility studies and considering other options) and assist ESOP sponsor companies with raising capital and performing acquisitions and divestitures. I also provide valuation and financial advisory services for trustees and boards.

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.

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

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

Warren Averett is an advisory and accounting firm focused on your business's goals. Get the accurate accounting, HR guidance, technology insight and strategic know-how you need to reach the goals you've set for your company. Warren Averett's honest advice and hundreds of specialized professionals help organizations do what matters most to them by removing the worry of technical planning, security or compliance. Our passion for our clients underscores why we do what we do. That passion remains at the core of our promise and mission to help you thrive and accomplish more of what’s important to you, always. We do that by being on and at your side—helping you make the most of opportunities to create, grow and protect value.

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 valuation, transaction, and consulting services to ESOPs across the U.S. Our accredited analysts perform appraisals for transactions and annual compliance, consult on ESOP matters, and issue fairness opinions. Our approach is comprehensive and fully compliant. We are ESOP valuation experts and are committed to your company's ESOP.

BrownWinick Law Firm provides bold and wise legal advice to private companies and their owners as they consider setting up an ESOP and with nearly all stages of the process, including structuring transactions, plan formation, negotiating financing terms and structure, tax planning, collaborating with other advisors, experts, and independent trustees, setting up governance, and all the issues that come up in any sale transaction.

If you need someone who is able to communicate complicated issues in everyday language while also being able to tackle the complexities of ERISA and other ESOP-related laws, don’t hesitate to reach out for an initial consultation.

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!

Scot Storjohann is a Sr. V.P. at GreatBanc Trust and he has over 30 years of experience in the retirement plan and ESOP industry. He works with ESOP companies across the U.S. on transactions (initial, second-stage, redemptions, loan refinancing, M&A, etc.) and provides ongoing trust services once the ESOP is established. His clients range in size from the small to very large, and from very basic in structure to the most complex. He speaks regularly at local, regional and national ESOP events. He is a member of the ESOP Association, a committee member of the Fiduciary Advisory Committee, Immediate Past-President of the IA/NE Chapter of the TEA, Trustee of the Employee Ownership Foundation and a member of the NCEO.

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.

Mr. Crotty is a Managing Director with HDH Advisors, LLC with over twenty years of experience in business appraisals and ESOP's. Mr. Crotty was elected by his industry peers to the National American Society of Appraisers’ (“ASA”) Business Valuation Discipline Committee (2022’–2025’) and was subsequently appointed to the Board of Examiners (2022’-2023’). He was also elected and serves on the National Association of Certified Valuators and Analysts’ (“NACVA”) Valuation Credentialing Board (2022’–2025’). He previously served on the NACVA Standards Board (2018’-2021’). 
 

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.

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.

Acclaro Valuation Advisors is a trusted business valuation firm made up of highly principled, experienced valuation professionals dedicated to clarifying the value of a business for business owners, ESOP trustees, attorneys, and other financial professionals and stakeholders. With decades of experience working with privately held and family owned businesses, we're committed to providing every client with balanced perspective, keen attention to detail, a focus on problem-solving, and consultative, professional service.

American Working Capital is a merchant bank focused on the privately held middle market of USA based firms. We function both as direct investor and as a provider of co-investment capital. We also perform a wide range of advisory services for firms contemplating change of control transactions. AWC has particular expertise in utilizing Employee Stock Ownership Plans (ESOPs) as a tool of corporate finance. ESOP structures facilitate ownership succession and provide an inclusive, broad based benefit plan for management and employees. Headquartered in Chicago, AWC maintains additional offices in New York, Boston and Atlanta.

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.

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.

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, headquartered in Chicago, IL, works with middle market companies throughout the U.S. providing specialized financing solutions, treasury management services and other ancillary banking services (i.e. Wealth Management, Private Banking, Derivative Products, Capital Markets including Investment Banking) to our clients. Our clients tend to be 2nd/3rd generation family owned businesses seeking financing in the $10 million - $100 million range. In addition to lending to traditional manufacturers, distributors and service companies, we also do a significant amount of business with private equity firms (for new platforms and add-ons) and for ESOP transactions.

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.

Kroll is the firm of choice for ESOP transaction opinions, structuring, raising financing and valuing stock held in an ESOP. A pioneer in ESOP planning and transaction execution, we guide principals, companies and fiduciaries through the complex financial and valuation implications of the financial, regulatory and tax aspects of these transactions.

Navigating ownership transition and ESOP fiduciary matters for your company and employees

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.

Our group is dedicated to educating business owners. We cover everything from very early ESOP 101 education through advanced execution of Section 1042 tax deferral. I have spoken on a local, regional and national level for the NCEO and the ESOP Association, where I serve on the National Advisory Committee for Ownership Culture. We help clients execute Section 1042 tax deferral by assisting with portfolio buildout and monetization loans when appropriate.

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.

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

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

GreatBanc Trust Company is nationally recognized as a highly skilled, independent 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.

ESOP Trustee

Grant McCorkhill specializes in representing companies, sellers, trustees and lenders in all aspects of ESOP transactions. He has worked for many years representing companies and ESOP trustees in structuring, negotiating and closing ESOP transactions. He also represents both lenders and borrowers in ESOP finance transactions, including single bank and syndicated transactions.

Renee Lewis is a partner in Holland & Knight's Chicago office and a member of the firm's Financial Services Practice Group. Renee is the co-chair of the firm's ESOP (Employee Stock Ownership Plans) practice. Renee advises company executives and owners on strategically structuring complex financing transactions. Her practice focuses on counsel for financial institutions, privately held companies and trustees in the structuring, negotiation and documentation of ESOP transactions, which may entail leveraged buyouts, equity repurchases and corporate reorganizations. Renee speaks regularly at national and local conferences on ESOP matters.

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.

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

“Bill Merten is a Partner at Krieg DeVault in its Employee Benefits and ESOP practices. He has authored numerous articles and has been recognized by leading publications such as Martindale-Hubbell, American Lawyer Media, Super Lawyers, The Legal 500, and Leading Lawyers Network. He advises corporations, shareholders, directors, ESOP trustees and various professionals regarding the use of ESOPs and related strategies including management buyouts, ownership succession, private equity transactions, going-private transactions, ESOP company sales, and mergers & acquisitions. Bill speaks frequently for various organizations and has served as an executive compensation professor for DePaul University's Masters of Law in Taxation program.”

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.

The Loop Capital team has undertaken over 1,000 valuation and quality-of-earnings related projects over the past 10 years. This has included for ESOP’s advisory projects in support of independent boards, expert testimony including on behalf of the Department of Labor, and Solvency/Fairness Opinions. Our team is led by Steve Sherman who spent over 30 years at KPMG LLP. During his last eight years there, he led their global valuations business, overseeing a network of 1,200 professionals in more than 50 countries.

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.

Menke & Associates, Inc. is the nation’s oldest and most active firm dedicated to designing, installing, financing, and administering ESOPs.  We provide comprehensive ESOP services that include feasibility analysis, investment banking services, legal services, and plan administration services. We have installed over 3,500 ESOPs since 1974, and we have designed, installed and  administered ESOPs in all 50 states.  

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 helps ESOP participants with large balances gain confidence in their retirement planning. We help with critical decisions about diversification of your ESOP beginning at age 55 and create plans to invest your money for steady retirement income. Through our financial planning process we advise on what age you can comfortably retire, when to take social security, whether to pay off your mortgage, help you get a will done, and plan for your children’s future. We work with your CPA and estate attorney to minimize your taxes. Peter Newman, CFA founded the firm in 2014 as a fee only registered investment advisor. Contact Peter and the Peak Wealth team to gain confidence in your financial future.

The PNC Financial Services Group, Inc. (PNC) is a leading relationship-based provider of traditional banking solutions and services for its Corporate Banking clients. PNC proudly delivers ESOP Solutions as part of its full suite of Corporate & Institutional Banking services. Our ESOP experience includes full and partial leveraged ESOP transactions, follow-on transactions, and providing relationship-focused banking solutions to companies navigating corporate finance transactions with the added complexity of ESOP ownership.

I am an ESOP lawyer with 46 years of experience in representing companies that sponsor ESOPs, ESOP trustees and other fiduciaries, ESOP lenders and selling shareholders. I also serve as an expert witness in ESOP litigation and arbitrations.

Chris’ 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.

Chris regularly writes for national publications and speaks at national conferences on ESOP, executive compensation and employee benefits matters.

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. 

Building on over 65 years of experience, TI-TRUST, Inc. is a leading provider of fiduciary services for ESOPs, 401ks, Personal Trust, Wealth Managment, and Farm Services. With solid core values and decades of proven commitment to high ethical standards, our experienced team of financial, legal, and administrative professionals is dedicated to earning and maintaining the trust and confidence of our clients.

Today, TI-TRUST is a regulated financial services entity, has a dedicated team of individuals with locations in five states, and more than $17 billion in assets under management. We are an employee-owned company with our own ESOP.

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.

Building on 65 years of experience, TI-TRUST offers clients comprehensive fiduciary services for employee benefit plans, including ESOPs, 401(k)s, 403(b)s, and Nonqualified Plans.

TI-TRUST proudly enjoys a reputation as a “high-touch” client centered fiduciary service provider. Our flexibility allows us to offer service solutions whether we serve as trustee, custodian, or consultant.

With a clear understanding of the industry’s many rules and regulations, TI-TRUST is able to successfully navigate complex fiduciary matters. Our strong team brings diversified skill sets, attention to detail, and unparalleled expertise that seamlessly integrate all our services and products to make your employee benefit program successful.

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. Elizabeth Di Cola brings over 30 years' experience as a corporate finance professional, attorney and commercial lender to her trustee work with TI-TRUST.

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 capital markets, mergers and acquisitions, valuation, and board advisory services. Verit, founded in 2009 and based in Chicago, IL, works with clients nationally in evaluating and executing strategic alternatives. Integrity, teamwork, service, and innovation are at the heart of the organization, as Verit strives to provide independent, unparalleled advice and custom solutions to its clients.

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.

Verit Advisors unites sophisticated investment banking capabilities with a client centric boutique, fluent in ESOPs, debt capital markets, mergers and acquisitions, valuation, and board advisory services. Verit, founded in 2009 and based in Chicago, IL, works with clients nationally in evaluating and executing strategic alternatives. Integrity, teamwork, service, and innovation are at the heart of the organization, as Verit strives to provide independent, unparalleled advice and custom solutions to its clients.

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. 

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.

Our experienced professionals provide financing for ESOP-owned companies in a variety of industries throughout the U.S. Our experts partner with businesses to ensure a smooth transition to employee ownership and remain active throughout the life cycle of the company. We understand that, as your financing partner, the needs of our clients do not stop at just the ESOP transaction. Our relationship-focused approach, paired with the resources of a multi-billion dollar financial services company, allows our lenders to support clients as they transform through many economic and business cycles.

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.

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.

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.

With over 30 years ESOP experience, Jackie is now consulting with ESOP companies and their CEO/CFOs, as well as assisting in educating and training those involved with ESOPs in any respect. She is also on the boards of ESOP companies.

The professionals of KSM combine the depth of ESOP Valuation and Financial Advisory experience with the breadth that comes from the firm's position as a leader in the areas of advisory, tax, and audit services. KSM knows the value and challenges of an ESOP firsthand. Since implementing our own ESOP in 2001, we have benefited from the same values and overcome the same obstacles that you may face. We understand the distinct opportunities an ESOP provides and know the importance of having knowledgeable, trusted advisors on your side. KSM serves as business, tax, accounting, consulting, and valuation advisors to employee-owned companies across a variety of industries. Our in-depth knowledge, experience, and resources help manage an ESOP's many moving parts, protect assets, and provide innovative ideas and guidance to navigate this complex plan structure. 

The professionals of KSM combine the depth of ESOP Valuation and Financial Advisory experience with the breadth that comes from the firm's position as a leader in the areas of advisory, tax, and audit services. KSM knows the value and challenges of an ESOP firsthand. Since implementing our own ESOP in 2001, we have benefited from the same values and overcome the same obstacles that you may face. We understand the distinct opportunities an ESOP provides and know the importance of having knowledgeable, trusted advisors on your side. KSM serves as business, tax, accounting, consulting, and valuation advisors to employee-owned companies across a variety of industries. Our in-depth knowledge, experience, and resources help manage an ESOP's many moving parts, protect assets, and provide innovative ideas and guidance to navigate this complex plan structure. 

The professionals of KSM combine the depth of ESOP Valuation and Financial Advisory experience with the breadth that comes from the firm's position as a leader in the areas of advisory, tax, and audit services. KSM knows the value and challenges of an ESOP firsthand. Since implementing our own ESOP in 2001, we have benefited from the same values and overcome the same obstacles that you may face. We understand the distinct opportunities an ESOP provides and know the importance of having knowledgeable, trusted advisors on your side. KSM serves as business, tax, accounting, consulting, and valuation advisors to employee-owned companies across a variety of industries. Our in-depth knowledge, experience, and resources help manage an ESOP's many moving parts, protect assets, and provide innovative ideas and guidance to navigate this complex plan structure. 

The professionals of KSM combine the depth of ESOP Valuation and Financial Advisory experience with the breadth that comes from the firm's position as a leader in the areas of advisory, tax, and audit services. KSM knows the value and challenges of an ESOP firsthand. Since implementing our own ESOP in 2001, we have benefited from the same values and overcome the same obstacles that you may face. We understand the distinct opportunities an ESOP provides and know the importance of having knowledgeable, trusted advisors on your side. KSM serves as business, tax, accounting, consulting, and valuation advisors to employee-owned companies across a variety of industries. Our in-depth knowledge, experience, and resources help manage an ESOP's many moving parts, protect assets, and provide innovative ideas and guidance to navigate this complex plan structure.

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.

Krieg DeVault's ESOP practice features more than 100 years of combined experience counseling clients in a wide range of industries on ESOP-related matters. The firm represents companies, boards of directors, shareholders, banks and trustees and other fiduciaries in ESOP design and implementation, buy and sell transactions and plan administration, corporate governance, litigation and more. Our attorneys also deliver services relating to other benefit plans and various executive compensation arrangements. Krieg is a premier business-focused law firm founded in Indianapolis more than 140 years ago.

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

Stokastique's founders are ex CEO's of a mature ESOP and have consulted and served on boards of ESOP's. Our specialty is to help clients keep the ESOP indefinitely. We do this by performing robust actuarial repurchase studies that are unparalleled in the industry. We also treat ESOP's as a pension plan that require funding and we model funding based upon actuarial techniques.

C5 Business Advisors is committed to helping owners understand the value of their business by providing business valuation, business coaching, and ownership transition services. C5 Business Advisors helps business owners understand and increase the value of their business, beyond the numbers, so they can move forward in their pursuit of success with significance.

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.

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

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 29 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 on the advisory group for 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.

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.

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.

Drew Schaefer is an Independent Trustee and Fiduciary with over 13 years of ESOP experience. While he serves as Trustee on many ESOP formations, his ultimate goal is to support ESOPs ongoing through its full life cycle. With the help of his team at SCJ Fiduciary Services, he is able to support his clients through all stages of an ESOP, from communication and celebration to repurchase obligations and ESOP sustainability. Drew and his team serve clients throughout the US and pride themselves on exceptional, practical ESOP trustee service.

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.

An award-winning leveraged ESOP expert, David advises middle-market firms across New England and beyond. His industry specializations include construction, healthcare, media, staffing, and technology.

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.

Mary is an attorney at Maselan & Jones, P.C. in downtown Boston. Mary frequently counsels companies, selling shareholders, and ESOP trustees in all aspects of business succession planning, ESOPs, and ESOP transactions, including drafting and negotiation of transaction documents, ERISA and Internal Revenue Code compliance, synthetic equity plans, and fiduciary duties.