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

Displaying 404 Service Providers

Arizona

Brueggeman and Johnson Yeanoplos, P.C.

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

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

Listed under:
ESOP valuation
Equity compensation valuation

Henry & Horne, LLP

Stephen Koons
Henry & Horne, LLP
Scottsdale, AZ

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Mack Business Appraisals, LLC

John Mack
Mack Business Appraisals, LLC
Peoria, AZ

Phone:

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

Listed under:
ESOP valuation

Solium Capital

Toby Warner
Solium Capital
Tempe, AZ

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

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

California

Acuity Advisors

Chase Hoover
Acuity Advisors
Santa Ana, CA

Phone:

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

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

Acuity Advisors

Michael Lovett
Acuity Advisors
Santa Ana, CA

Phone:

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

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

Acuity Advisors

Chris Kramer
Acuity Advisors
Santa Ana, CA

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

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

AmbroseAdvisors

Marcus Piquet
AmbroseAdvisors
Riverside, CA

Phone:

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

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

AmbroseAdvisors

Marcus Piquet
AmbroseAdvisors
Riverside, CA

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

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

Avenue M Advisors, Inc.

Melisa Silverman
Avenue M Advisors, Inc.
Tarzana, CA

Phone:

Avenue M Advisors, Inc. is a national, boutique company specializing in business valuation and consulting services. As members of NCEO and the ESOP Association, Avenue M Advisors has more than 20 years of experience providing valuation and consulting services which include ESOP valuations (initial and annual) 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).

Listed under:
Equity compensation valuation
ESOP general consulting
ESOP valuation

Bank of America

Kevin Trieber
Bank of America
Los Angeles, CA

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

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

Beyster Institute, Rady School of Management, UCSD

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

Phone:

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

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

Butterfield Schechter LLP

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

Phone:

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

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

Campbell Taylor Washburn

Lia Bekalu
Campbell Taylor Washburn
Roseville, CA

Phone:

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

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

CapitalSmith Financial & Insurance Services, Inc.

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

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

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

Chartwell Financial Advisory, Inc.

Richard Joseph
Chartwell
Costa Mesa, CA

Phone:

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

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

ClearPath Business Advisors

Patrick Bormann
ClearPath Business Advisors
Pleasanton, CA

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

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

CSG Partners

Eitan Milstein
CSG Partners
San Francisco, CA

Phone:

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

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

Eide Bailly, LLP

Glenn Carniello
Tustin, CA 92780

Phone:

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!

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

Employee Benefits Law Group

Kevin Long
Employee Benefits Law Group
San Jose, CA

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

Listed under:
ESOP law firm
Equity compensation law firm

Equity Business Valuations, Inc.

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

Phone:

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

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

Listed under:
Equity compensation valuation
ESOP general consulting
ESOP valuation

ESOP Law Group LLP

Laurence Goldberg
ESOP Law Group LLP
San Francisco, CA

Phone:

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

Listed under:
ESOP law firm

ESOP Services, Inc

Paige Ryan
ESOP Services, Inc
San Diego, CA

Phone:

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

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

Faegre Drinker Biddle & Reath LLP

Jeremy Pelphrey
Faegre Drinker Biddle & Reath LLP
Los Angeles, CA 90067

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.

Listed under:
ESOP general consulting
ESOP law firm

Faegre Drinker Biddle & Reath LLP

Michael Pasahow
Faegre Drinker Biddle & Reath LLP
San Francisco, CA 94111

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.

Listed under:
Equity compensation law firm
ESOP law firm

Fiduciary Services, Inc.

Daniel Reser
Fiduciary Services, Inc.
San Rafael, CA

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

Listed under:
ESOP trustee and fiduciary services
Independent board member

Gelman LLP

Lisa Green
Gelman LLP
Santa Ana, CA

Phone:

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

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

Gelman LLP

Lisa Green
Gelman LLP
Irvine, CA

Phone:

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

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

Greymar Partners

Enrique Mayer, ASA
Greymar Partners
Los Angeles, CA 90071

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.

Listed under:
ESOP financing and investment banking
ESOP valuation

Houlihan Lokey

Jeff Tarbell
Houlihan Lokey
San Francisco, CA 94104

Phone:

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

Listed under:
ESOP financing and investment banking
ESOP valuation

Khorsand ESOP Advisory

Brian Khorsand
Khorsand ESOP Advisory
San Diego, CA

Phone:

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.

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

Morgan Stanley Private Wealth Management

Ron Vyse
Morgan Stanley Private Wealth Management
San Jose, CA 95113

Phone:

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.

Listed under:
Equity compensation brokerage services
Equity compensation employee financial advice
ESOP financing and investment banking
ESOP general consulting
ESOP investment and 1042 rollover advice

National Center for Employee Ownership

Corey Rosen
National Center for Employee Ownership
Oakland, CA

Phone:

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

Listed under:
Independent board member

National Center for Employee Ownership

Loren Rodgers
National Center for Employee Ownership
Oakland, CA

Phone:

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

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

Newport Valuations

Michael Yi
Newport Valuations
Newport Beach, CA 92660

Phone:

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.

Listed under:
ESOP valuation

Options4Growth

Jill Pappenheimer
Options4Growth
Walnut Creek, CA, CA

Phone:

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

Listed under:
ESOP general consulting
Employee communications
Employee participation
Software

PENSCO Trust Company

Bill Papp
PENSCO Trust Company
San Francisco, CA

Phone:

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

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

Performensation

Dan Walter, CEP
Performensation
San Francisco, CA

Phone:

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

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

Principal Financial Group

Chad Holland
Principal Financial Group
Orange County, CA

Phone:

Principal® is a leader in offering businesses, individuals, and institutional clients a wide range of financial products and services to help them achieve their financial goals. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com

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

Private Capital Corporation

Bryan Golden
Private Capital Corporation
Carmel Valley, CA

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

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

Prudent Fiduciary Services, LLC

Miguel Paredes
Prudent Fiduciary Services
WEST COVINA, CA

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

Listed under:
ESOP trustee and fiduciary services

Rubicon Valuation

William Dietrich
Rubicon Valuation
Sacramento, CA

Phone:

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

Listed under:
ESOP valuation
ESOP general consulting

Scale LLP

Natasha Fedder
Scale LLP
Los Angeles, CA

Phone:

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

Listed under:
ESOP law firm

Securieon Inc.

Tony Quintong
Securieon Inc.
Gilroy, CA

Phone:

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

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

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

Stock & Option Solutions

Henley Hom
Stock & Option Solutions
Campbell, CA

Phone:

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

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

The Beyster Institute, UCSD Rady School of Management

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

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

The Price Company

Philip D. Price
The Price Company
Fresno, CA

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

Listed under:
ESOP administration
ESOP repurchase obligation consulting

Trucker Huss, APC

Joseph Faucher
Trucker Huss, APC
Los Angeles, CA

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

Vantage Point Advisors

Rich Barth
Vantage Point Advisors
San Diego, CA 92130

Phone:

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

Listed under:
ESOP valuation

Colorado

ATI Capital Group of Colorado, LLC

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

Phone:

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

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

Brownstein Hyatt Farber Schreck, LLP

Nancy Strelau
Brownstein Hyatt Farber Schreck, LLP
Denver, CO

Phone:

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

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

Gibraltar Business Valutaions

Don Drysdale
Gibraltar Business Valutaions
Longmont, CO 80501

Phone:

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.

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

Harper Hofer & Associates, LLC

Greg Weiss
Harper Hofer & Associates, LLC
Denver, CO

Phone:

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

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

Intrinsic, LLC

Josh Cashman
Intrinsic, LLC
Denver, CO

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

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

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

Phone:

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

Listed under:
Equity compensation law firm

KeyBank

Doug Dell
KeyBank
Denver, CO

Phone:
Website:

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

Listed under:
ESOP financing and investment banking

KeyBank

Doug Dell
KeyBank
Denver, CO

Phone:

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

Listed under:
ESOP financing and investment banking
ESOP general consulting

Lewis Roca Rothgerber Christie LLP

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

Phone:

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

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

Mosaic Creation & Modern Times

Jennifer Briggs
Mosaic Creation & Modern Times
Windsor, CO

Phone:

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

Listed under:
Employee participation
ESOP general consulting
Independent board member

Principal Financial Group

Amy Hartnett
Principal Financial Group
Telluride, CO

Principal® is a leader in offering businesses, individuals, and institutional clients a wide range of financial products and services to help them achieve their financial goals. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com

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

Reset Healthcare, LLC

David Loggins
Reset Healthcare, LLC
Littleton, CO 80127

Phone:

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.

Listed under:
ESOP insurance and workers compensation
Other EO (Co-ops, LLCs, employee ownership trusts)

Shoemaker Consulting

Sandy Shoemaker
Larkspur, CO 80118

Phone:

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.

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

Spencer Fane LLP

Stephen Rickles
Spencer Fane LLP
Denver, CO 80203

Phone:

Mr. Rickles' practice focuses on the design and implementation of retirement, 401(k), nonqualified deferred compensation, employee stock ownership, Section 457 and other employee benefit plans, and tax-sheltered annuities. He 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.

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

Trebuchet Group

Diana Hutchinson
Trebuchet Group
Fort Collins, CO

Phone:

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

Listed under:
Employee communications
Employee participation
ESOP general consulting

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

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

Phone:

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

Listed under:
Equity compensation valuation
ESOP general consulting
ESOP valuation

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

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

Phone:

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

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Connecticut

CSG Partners

Patrick Trask
CSG Partners
Greenwich, CT

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

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

Empire Valuation Consultants

Chuck Coyne, ASA
Empire Valuation Consultants
West Hartford, CT

Phone:

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

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

Marcum LLP

Kenneth Pia
Marcum LLP
New Haven, CT 06511

Phone:

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

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

Principal Financial Group

Scott Shuryn
Principal Financial Group
Fairfield, CT

Principal® is a leader in offering businesses, individuals, and institutional clients a wide range of financial products and services to help them achieve their financial goals. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com

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

PTCFO, Inc.

Jack Veale
PTCFO, Inc.
West Hartford, CT

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

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

Schatz Brown Glassman LLP

Robert Schatz
Schatz Brown Glassman LLP
West Hartford, CT

Phone:

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

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

District of Columbia

Advanced Valuation Analytics, Ltd.

Barry Goodman
Advanced Valuation Analytics, Ltd.
Washington, DC

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Dinsmore & Shohl, LLP

Ben Wells
Dinsmore & Shohl, LLP
Washington, DC

Phone:

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

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

JMK-WAY,LLC

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

Phone:

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

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

RSM US LLP

Anne Bushman
RSM US LLP
Washington, DC

Phone:
Website:

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

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

Florida

Berman Hopkins CPAs (The ESOP Guy)

Phillip Hayes
Berman Hopkins CPAs (The ESOP Guy)
Melbourne, FL 32940

Phone:

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.

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

Crowe Horwath LLP

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

Phone:

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

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

Fiduciary Trustee Services, LLC

Thomas Potts
Fiduciary Trustee Services, LLC
Ft Myers, FL

Phone:

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

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

Greenberg Traurig

Brandon Feingold
Greenberg Traurig
Fort Lauderdale, FL

Phone:

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

Listed under:
ESOP law firm

PCE Investment Banking | ESOP | Valuation | Advisory

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

Phone:

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

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

SES ESOP Strategies

Steven B. Greenapple
SES ESOP Strategies
Fort Lauderdale, FL

Phone:

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

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

Sheldrick McGehee & Kohler, Inc.

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

Phone:

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

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Vision Point Capital, Inc.

Will Rodriguez
Vision Point Capital, Inc.
Tampa, FL

Phone:

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

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

Georgia

Applied Economics, LLC

Eric Kreimer
Applied Economics, LLC
Atlanta, GA

Phone:

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

Listed under:
ESOP financing and investment banking
ESOP valuation

Censeo Advisors, LLC

Adrian Loud
Censeo Advisors, LLC
Atlanta, GA

Phone:

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

Listed under:
Equity compensation valuation
ESOP general consulting
ESOP valuation

FuturePlan by Ascensus

Connie Woodmansee
FuturePlan by Ascensus
Atlanta, GA 30328

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

GreatBanc Trust Company

Bucky Wright
GreatBanc Trust Company
Marietta, GA

Phone:

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

Greenberg Traurig

Todd Wozniak
Greenberg Traurig
Atlanta, GA

Phone:

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

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

PCE Investment Banking | ESOP | Valuation | Advisory

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

Phone:

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

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

Prairie Capital Advisors, Inc.

Michael McGinley
Prairie Capital Advisors
Atlanta, GA

Phone:

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

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

Synovus Bank

Brad Beard
Synovus Bank
Atlanta, GA

Phone:

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

Listed under:
ESOP financing and investment banking

The ESOP Group | UBS Finanicial Services Inc.

Rebecca Glasgow, Managing Director & Private Wealth Advisor
The ESOP Group | UBS Finanicial Services Inc.
Atlanta, GA

Phone:

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

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

The ESOP Group | UBS Finanicial Services Inc.

Curt Rubinas, Managing Director & Private Wealth Advisor
The ESOP Group | UBS Finanicial Services Inc.
Atlanta, GA

Phone:

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

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

The ESOP Group | UBS Finanicial Services Inc.

Leslie Lauer, Managing Director & Private Wealth Advisor
The ESOP Group | UBS Finanicial Services Inc.
Atlanta, GA

Phone:

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

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

TI-TRUST, Inc.

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

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

Willamette Management Associates

Kyle Wishing
Willamette Management Associates
Atlanta, GA

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Windham Brannon, LLC

Donna Caruso
Windham Brannon, LLC.
Atlanta, GA

Phone:

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

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

Iowa

Bankers Trust Company ESOP Finance Group

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

Phone:

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

Listed under:
ESOP trustee and fiduciary services

BCC Advisers

Lindy Ireland
BCC Advisers
Des Moines, IA

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.

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

Eide Bailly, LLP

Terry Merfeld
Eide Bailly, LLP
Des Moines, IA 50309

Phone:

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!

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

Folience, Inc.

Daniel Goldstein
Folience, Inc.
Cedar Rapids, IA

Phone:

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

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

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

Listed under:
Independent board member

GreatBanc Trust Company

Scot Storjohann
GreatBanc Trust Company
Elkhart, IA

Phone:

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

HDH Advisors LLC

Duane Tolander
HDH Advisors LLC
West Des Moines, IA

Phone:

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

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

Holmes Murphy & Associates

Steve McManus
Holmes Murphy & Associates
Waukee, IA

Phone:

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

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

Holmes Murphy & Associates

Miles Weis
Holmes Murphy & Associates
Waukee, IA

Phone:

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

Listed under:
ESOP general consulting
ESOP insurance and workers compensation

Prairie Capital Advisors, Inc.

Hillary Hughes
Prairie Capital Advisors
Cedar Rapids, IA

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

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

Idaho

Alturas Fiduciary Services, LLC

Kayla Adams
Alturas Fiduciary Services, LLC
Boise, ID

Phone:

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

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

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

Listed under:
ESOP trustee and fiduciary services

Illinois

Chartwell

Will Bloom
Chartwell
Chicago, IL

Phone:

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

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

Chartwell Financial Advisory, Inc.

Dan Kaczmarek
Chartwell Financial Advisory, Inc.
Chicago, IL 60606

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

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

ComStock Advisors

John O'Brien
ComStock Advisors
Itasca, IL 60143

Phone:

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.

Listed under:
ESOP valuation

Crowe Horwath LLP

Tim Daum
Crowe Horwath LLP
Oak Brook, IL

Phone:

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

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

Crowe LLP

Monika Zimmer
Crowe LLP
Oak Brook Terrace, IL

Phone:

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

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

ESOP Structuring Specialists, Inc.

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

Phone:

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

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

Faegre Drinker Biddle & Reath LLP

Rick Pearl
Faegre Drinker Biddle & Reath LLP
Chicago, IL 60606

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.

Listed under:
Employee communications
ESOP law firm
ESOP repurchase obligation consulting
ESOP trustee and fiduciary services
ESOP valuation

First American Bank

Jamie Walrack
First American Bank
Elk Grove Village, IL

Phone:

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

Listed under:
ESOP financing and investment banking

GreatBanc Trust Company

Kevin Kolb
GreatBanc Trust Company
Lisle, IL

Phone:

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

GreatBanc Trust Company

Mitchell Miller
GreatBanc Trust Company
Lisle, IL 60532

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.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

GreatBanc Trust Company

Patrick DeCraene
GreatBanc Trust Company
Lisle, IL

Phone:

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

GreatBanc Trust Company

Steve Ryan
GreatBanc Trust Company
Oakbrook Terrace, IL 60181

Phone:

GreatBanc Trust Company is nationally recognized as a highly skilled, independent ERISA fiduciary with a specialization in ESOPs. GreatBanc provides ESOP trustee services for hundreds of ESOPs throughout the United States, with plan assets ranging from approximately $1 million to $9 billion. GreatBanc has extensive experience with ESOP purchases and sales, ESOP administration, corporate governance and ESOP valuation.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

Ice Miller LLP

Kathleen Scheidt
Ice Miller LLP
Chicago, IL

Phone:

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

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

J.P. Morgan

Regina Carls
J.P. Morgan
Chicago, IL

Phone:

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.

Listed under:
ESOP financing and investment banking

Levenfeld Pearlstein, LLC

David Solomon
Levenfeld Pearlstein, LLC
Chicago, IL

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

McDermott Will & Emery LLP

Theodore Becker
McDermott Will & Emery LLP
Chicago, IL

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

Morgan, Lewis & Bockius LLP

Brian Hector
Morgan, Lewis & Bockius LLP
Chicago, IL

Phone:

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

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

Old National Bank (First Midwest)

Elizabeth Di Cola
Old National Bank
Chicago, IL

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

Listed under:
ESOP financing and investment banking

Old National Bank (First Midwest)

Ashley Kirchner
Old National Bank
Chicago, IL

Phone:

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

Listed under:
ESOP financing and investment banking

PCE Investment Banking | ESOP | Valuation | Advisory

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

Phone:

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

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

Peak Wealth Planning, LLC

Peter Newman
Peak Wealth Planning, LLC
Champaign, IL

Phone:

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

Listed under:
Equity compensation employee financial advice

PNC Bank

Thomas Clarke
PNC Bank
Chicago, IL 60606

Phone:

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.

Listed under:
ESOP financing and investment banking

Polsinelli PC

Gregory Brown
Polsinelli PC
Chicago, IL 60606

Phone:

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.

Listed under:
Equity compensation law firm
ESOP law firm

Polsinelli PC

Chris Buch
Polsinelli PC
Chicago, IL 60606

Phone:

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

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

Listed under:
Equity compensation law firm
ESOP general consulting
ESOP law firm
Independent board member
Other EO (Co-ops, LLCs, employee ownership trusts)

Prairie Capital Advisors, Inc.

Rocky Fiore
Prairie Capital Advisors
Oakbrook Terrace, IL

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

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

Prairie Capital Advisors, Inc.

Franco Silva
Prairie Capital Advisors, Inc.
Chicago, IL

Phone:

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

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

Prairie Capital Advisors, Inc.

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

Phone:

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

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

SC Stone Consulting

Steve Stone
SC Stone Consulting
Breese, IL

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

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

TI-TRUST, Inc.

Marilyn Crim
TI-TRUST, Inc.
Quincy, IL 62305

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

TI-TRUST, Inc.

Jennifer Gordley
TI-TRUST, Inc.
Quincy, IL 62305

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

TI-TRUST, Inc.

Betsy Gustison
TI-TRUST, Inc.
Quincy, IL 62305

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

TI-TRUST, Inc.

Jennifer Sousa
TI-TRUST, Inc.
Quincy, IL 62305

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

TI-TRUST, Inc.

Dawn Goestenkors
TI-TRUST, Inc.
Quincy, IL

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

Listed under:
ESOP trustee and fiduciary services
Independent board member

TI-TRUST, Inc.

Brian Ippensen
TI-TRUST, Inc.
Quincy, IL

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

TI-TRUST, Inc.

Kelly Poncé
TI-TRUST, Inc.
Oak Brook, IL 60523

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

TI-TRUST, Inc.

Kimberly Serbin
TI-TRUST, Inc.
Quincy, IL

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

TI-TRUST, Inc.

Teresa Daggett
TI-TRUST, Inc.
Quincy, IL

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

TI-TRUST, Inc.

Craig Baker
TI-TRUST, Inc.
Quincy, IL

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

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

Verit Advisors LLC

John Solimine
Verit Advisors LLC
Chicago, IL 60602

Phone:

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.

Listed under:
ESOP financing and investment banking
ESOP general consulting

Verit Advisors LLC

Mary Sullivan Josephs
Verit Advisors LLC
Chicago, IL

Phone:

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

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

Wells Fargo

Kim Abello
Wells Fargo
Chicago, IL

Phone:

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

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

Wells Fargo Advisors

Meredith Fiocchi
Wells Fargo Advisors
Schaumburg, IL

Phone:

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

Listed under:
Employee education and financial advice
ESOP investment and 1042 rollover advice
Other EO (Co-ops, LLCs, employee ownership trusts)

Wintrust

Patrick Stoltz
Wintrust
Des Plaines, IL

Phone:

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

Listed under:
ESOP financing and investment banking

Indiana

Blue & Co., LLC

Brad Minor
Blue & Co., LLC
Carmel, IN

Phone:

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

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

Faegre Drinker Biddle & Reath LLP

Philip Gutwein
Faegre Drinker Biddle & Reath LLP
Indianapolis, IN 46204

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.

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

Fiduciary Trust Services, Inc.

Thomas Potts
Fiduciary Trust Services, Inc.
Indianapolis, IN

Phone:

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

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

GreatBanc Trust Company

Dave Van Ness
GreatBanc Trust Company
Carmel, IN 46032

Phone:

GreatBanc Trust Company is nationally recognized as a highly skilled, independent ERISA fiduciary with a specialization in ESOPs. GreatBanc provides ESOP trustee services for hundreds of ESOPs throughout the United States, with plan assets ranging from approximately $1 million to $9 billion. GreatBanc has extensive experience with ESOP purchases and sales, ESOP administration, corporate governance and ESOP valuation.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

Horizon Trust & Investment Management

Dave Van Ness
Horizon Trust & Investment Management
Carmel, IN

Phone:

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

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

Krieg DeVault LLP

Alexander Mounts
Krieg DeVault LLP
Indianapolis, IN

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

Listed under:
ESOP law firm

McCready and Keene, Inc. (a OneAmerica Company)

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

Phone:

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

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

SIGMA Appraisal

Randa Doleh
SIGMA Appraisal
Evansville, IN

Description

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

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

 

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

Kansas

Prairie Capital Advisors, Inc.

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

Phone:

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

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

Kentucky

C. Johnston Cramer, III, PLLC

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

Phone:

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

Listed under:
ESOP general consulting
ESOP law firm

Canavera Financial Group, LLC

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

Phone:

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

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

CSG Partners

George Thacker
CSG Partners
Louisville, KY

Phone:

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

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

FORVIS, LLP

Cara Benningfield
FORVIS, LLP
Bowling Green, KY 42101

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

FORVIS, LLP

Angela Fisher
FORVIS, LLP
Bowling Green, KY 42101

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

Prairie Capital Advisors, Inc.

Tim Jamison
Prairie Capital Advisors, Inc.
Louisville, KY

Phone:

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

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

Retirement Management Services, LLC

Andrea Bennett, QPA, QKA, ERPA
Retirement Management Services, LLC
Louisville, KY 40243

Phone:

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

Listed under:
ESOP administration
ESOP repurchase obligation consulting

Retirement Management Services, LLC

Laura Lyvers, CPA, QKA
Retirement Management Services, LLC
Louisville, KY

Phone:

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

Listed under:
ESOP administration
ESOP repurchase obligation consulting

Retirement Management Services, LLC

Greg Glasscock, QKA
Retirement Management Services, LLC
Louisville, KY 40243

Phone:

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

Listed under:
ESOP administration
ESOP repurchase obligation consulting

Retirement Management Services, LLC

Amber Lloyd, APA, CFP®, CMFC, ERPA
Louisville, KY 40243

Phone:

Amber M. Lloyd, Managing Member and Owner of RMS, began her career in retirement plan administration and consulting in 1994. She is credentialed as an Accredited Pension Administrator and an Enrolled Retirement Plan Agent. Throughout her 28 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.

Listed under:
ESOP administration
ESOP repurchase obligation consulting

SCJ Fiduciary Services

Alex Grasser
SCJ Fiduciary Services
Smithfield, KY 40068

Phone:

Alex Grasser is the Director of ESOP Sustainability in our Louisville office. He has spent 10+ years partnering with business owners and senior corporate leadership. His expertise includes the administration and sustainability analysis of complex defined contribution plans with an emphasis in ESOPs. Alex has extensive experience with new ESOP feasibility, mature ESOP sustainability analysis, and repurchase obligation testing. He received his BSBA in Business Economics and Finance from Northern Arizona University and MBA from the University of Louisville.

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

SCJ Fiduciary Services

Stephen James
SCJ Fiduciary Services
Smithfield, KY

Phone:

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

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

Louisiana

Chaffe & Associates, Inc.

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

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Massachusetts

CSG Partners

David Blauzvern
CSG Partners
Boston, MA

Phone:

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.

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

E.J. Callahan & Associates, LLC

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

Phone:

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

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

Edelman & Associates

Paul Edelman
Edelman & Associates
Lakeville, MA

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

linkedin.com/in/pauledelman
 

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

Maselan & Jones, P.C.

Mary McCooe
Maselan & Jones, P.C.
Boston, MA 02108

Phone:

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.

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

Morgan Stanley

Joseph Verri
Morgan Stanley
Wellesley, MA 02481

Phone:

Joseph D. Verri CRPS® CEPA

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

Listed under:
Employee education and financial advice
Equity compensation employee financial advice
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP trustee and fiduciary services

Ownership Associates, Inc.

Christopher Mackin
Ownership Associates, Inc.
Cambridge, MA

Phone:

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

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

Maryland

ESOP Services, Inc.

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

Phone:

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

Listed under:
Employee communications
ESOP general consulting
Independent board member

Menke & Associates, Inc.

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

Phone:

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

Listed under:
ESOP financing and investment banking
ESOP general consulting

SC&H Group

Duke Allen
SC&H Group
Sparks, MD

Phone:

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

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

Tucker & Meltzer Valuation Advisors

Anne Meltzer
Tucker & Meltzer Valuation Advisors
Baltimore, MD 21209

Phone:

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

Listed under:
ESOP valuation

Wells Fargo

Joseph Gilbert
Wells Fargo
Bethesday, MD

Phone:

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

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

Wells Fargo Advisors

Jamie Waldren
Wells Fargo Advisors, LLC
Columbia, MD 21044

Phone:

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

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

Listed under:
ESOP investment and 1042 rollover advice

Maine

BerryDunn

Katherine Whitehead
BerryDunn
Portland, ME

Phone:

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

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

BerryDunn

William Enck
BerryDunn
Portland, ME

Phone:

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

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

Spinnaker Trust

Jeannine Penderagst
Spinnaker Trust
Portland, ME

Phone:

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

Listed under:
ESOP trustee and fiduciary services

Spinnaker Trust

Jeannine Pendergast
Spinnaker Trust
Portland, ME 04101

As a full service trust company, Spinnaker Trust can provide independent trustee and fiduciary services for your ESOP. Our experienced staff is dedicated to providing you with the customized, professional services your plan deserves. We are able to partner with you as trustee for your ESOP transaction or as your ongoing ESOP trustee.

Listed under:
ESOP trustee and fiduciary services

Michigan

Deborah Groban Olson, Attorney at Law, PLLC

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

Phone:

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

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

Ferguson & Widmayer, P.C.

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

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

Greenwich Capital Group

Brian Hock
Greenwich Capital Group
Birmingham, MI

Phone:

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

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

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

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

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

Listed under:
ESOP law firm
Equity compensation law firm

Ventura ESOP Fiduciary Services

Alex Perry
Ventura ESOP Fiduciary Services
Grand Rapids, MI

Phone:

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

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

Minnesota

Boulay

Dan Markowitz
Boulay
Minneapolis, MN

Phone:

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

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

Bremer Trust, N.A.

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

Phone:

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

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

Chartwell Financial Advisory, Inc.

Steve Nelson
Chartwell Financial Advisory
Minneapolis, MN

Phone:

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

Listed under:
ESOP valuation

Chartwell Financial Advisory, Inc.

Chris Staloch
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

Phone:

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

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

Chartwell Financial Advisory, Inc.

Gregory Fresh
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

Phone:

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

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

Chartwell Financial Advisory, Inc.

Joe Skorczewski
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

Phone:

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

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

Chartwell Financial Advisory, Inc.

Matt Schubring
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

Phone:

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

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

Chartwell Financial Advisory, Inc.

Ted Margarit
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

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

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

Chartwell Financial Advisory, Inc.

Tim Cleary
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

Phone:

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

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

Chartwell Financial Advisory, Inc.

Tim Lang
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

Phone:

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

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

Chartwell Financial Advisory, Inc.

Paul J. Halverson, ASA
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

Phone:

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

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

Chartwell Financial Advisory, Inc.

Wil Becker
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

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

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

Chartwell Financial Advisory, Inc.

Ryan Graham
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

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

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

Chartwell Financial Advisory, Inc.

Collin Mayer
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

Phone:

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

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

Chartwell Financial Advisory, Inc.

Katie Lind
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

Phone:

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

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

Chartwell Financial Advisory, Inc.

Matt Dennison
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

Phone:

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

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

Chartwell Financial Advisory, Inc.

Matt Ewing
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

Phone:

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

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

Chartwell Financial Advisory, Inc.

Dillon Lewchuck
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

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

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

Chartwell Financial Advisory, Inc.

Lindsey Reilly
Chartwell Financial Advisory, Inc.
Minneapolis, MN 55402

Phone:

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

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

CLA (CliftonLarsonAllen)

Darren Paumen
CLA (CliftonLarsonAllen)
Waite Park, MN

Phone:

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

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

Eide Bailly, LLP

Mary Lou Lamberton
Eide Bailly, LLP
Minneapolis, MN 55402

Phone:

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!

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

Eide Bailly, LLP

Mark Guy
Eide Bailly, LLP
Minneapolis, MN 55402

Phone:

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!

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

Fredrikson & Byron, P.A.

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

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

John A. Knutson & Co., PLLP

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

Phone:

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

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

KeyStone Search

Mike Frommelt
KeyStone Search
Minneapolis, MN

Phone:

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

Listed under:
ESOP general consulting

Kovell Advisory Services, LLC

Bob Kovell
Kovell Advisory Services, LLC
Saint Cloud, MN 56301

Phone:

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

Listed under:
ESOP general consulting
Independent board member

Principal Financial Group

Joel Davis
Principal Financial Group
Minneapolis, MN

Principal® is a leader in offering businesses, individuals, and institutional clients a wide range of financial products and services to help them achieve their financial goals. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com

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

Saul Ewing Arnstein & Lehr LLP

Andy Daly
Saul Ewing Arnstein & Lehr LLP
Minnapolis, MN

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

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

Stinson LLP

Jeff Cairns
Stinson LLP
Minneapolis, MN

Phone:

Full service law firm with 12 offices in the Midwest, Southwest, Washington DC and New York City.

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

Value Consulting Group

Patrick Schmidt
Value Consulting Group
Mendota Heights, MN 55120

Phone:

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

Listed under:
Equity compensation valuation
ESOP valuation

Ventura ESOP Fiduciary Services

Neil Brozen
Ventura ESOP Fiduciary Services
Minneapolis, MN

Phone:

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

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

We are passionate about employee ownership and love our work.

Listed under:
ESOP trustee and fiduciary services
Independent board member

Missouri

ButcherJoseph & Co.

Tristan Tahmaseb
ButcherJoseph & Co.
St. Louis, MO 63102

Phone:

ButcherJoseph & Co. is an investment bank specializing in M&A advisory services to provide highly customized solutions for middle market companies. We are focused on providing a full spectrum of liquidity options for our clients including traditional M&A, ESOP buyouts and recapitalizations, and debt & capital advisory, all supported by a robust, independent valuation practice.

The firm was founded and is managed by a group of highly experienced, dedicated professionals with previous, significant work experience at premier, global investment banking franchises. We collaborate closely as a team to carefully develop tailored strategies and are fiercely devoted to achieving success for our clients.

Our firm is nationally recognized as a leader in ESOP transaction advisory services.

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

ButcherJoseph & Co.

Rose Thompson
ButcherJoseph & Co.
St. Louis, MO 63102

Phone:

ButcherJoseph & Co. is an investment bank specializing in M&A advisory services to provide highly customized solutions for middle market companies. We are focused on providing a full spectrum of liquidity options for our clients including traditional M&A, ESOP buyouts and recapitalizations, and debt & capital advisory, all supported by a robust, independent valuation practice.

The firm was founded and is managed by a group of highly experienced, dedicated professionals with previous, significant work experience at premier, global investment banking franchises. We collaborate closely as a team to carefully develop tailored strategies and are fiercely devoted to achieving success for our clients.

Our firm is nationally recognized as a leader in ESOP transaction advisory services.

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

GRITT Business Coaching

Patrick Carpenter
GRITT Business Coaching
Holts Summit, MO

Phone:

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

Listed under:
Employee communications
Employee participation

Polsinelli PC

Jamie Zveitel Kwiatek
Polsinelli
St Louis, MO

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

Listed under:
Equity compensation law firm
ESOP law firm

Sean Power

Sean Power
Polsinelli
Kansas City, MO

Phone:

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

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

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

Listed under:
ESOP law firm

Stern Brothers Valuation Advisors

John Korschot
Stern Brothers Valuation Advisors
Kansas City, MO

Stern Brothers Valuation Advisors is a valuation and financial advisory firm headquartered in Kansas City Missouri, We specialize in the valuation of closely held businesses of all sizes and industries for ESOP and other purposes.

Listed under:
ESOP valuation

The Great Game of Business

Kylie Jackson
The Great Game of Business
Sptingfield, MO 65804

Phone:

The Great Game of Business provides training and coaching services on the best practices of open-book management, employee engagement, business literacy and employee ownership. We are a subsidiary of SRC Holdings, Corp. One of America’s Top 100 Largest Employee Ownership Companies (#74 in 2021). SRC’s CEO, Jack Stack, is the coauthor with Bo Burlingham of two best-selling books ‘The Great Game of Business’ and ‘A Stake in the Outcome’.

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

The Great Game of Business

Rich Armstrong
The Great Game of Business
Springfield, MO

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

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

The Great Game of Business, Inc

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

Phone:

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

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

Wipfli LLP

Douglas Mueller
Wipfli LLP
Clayton, MO 63105

Phone:

Specializing in tax consulting and implementation of ESOP plans.

Listed under:
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP valuation

Montana

Benefits & Business Law Advisor PLLC

Mark Sletto
Benefits & Business Law Advisor PLLC
Lakeside, MT

Phone:

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

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

Eide Bailly, LLP

Travis Lance
Eide Bailly, LLP
Billings, MT 59103

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!

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

Holland & Hart LLP

Elizabeth Nedrow
Holland & Hart LLP
Billings, MT

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

North Carolina

Chartwell

Matt Keene
Chartwell
Raleigh, NC

Phone:

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

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

ComStock Advisors

Brant Armentrout, CFA
ComStock Advisors
Winston-Salem, NC 27104

Phone:

ComStock Advisors is a national 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. We also provide turnkey structuring services for implementing ESOP transactions and litigation support services.

Listed under:
ESOP valuation

Principal Financial Group

Christel Jimenez
Mooresville, NC

Phone:

Principal® is a leader in offering businesses, individuals, and institutional clients a wide range of financial products and services to help them achieve their financial goals. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com

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

Thinc Strategy, Inc

Cindy Anderson, CPA
Thinc Strategy, Inc
Charlotte, NC

Phone:

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

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

Thompson Planning Group

Michael Thompson
Thompson Planning Group
Charlotte, NC

Phone:

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

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

North Dakota

Atlas Legal Services, PLLC

Bart McIlonie
Atlas Legal Services, PLLC
West Fargo, ND

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

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

Core Corporation

Rodger Mohagen
Core Corporation
Fargo, ND

Phone:

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

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

Eide Bailly LLP

Kirk Lindemann
Eide Bailly LLP
Fargo, ND

Phone:

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!

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

Eide Bailly, LLP

Ryan Sperling
Eide Bailly, LLP
Fargo, ND 58108

Phone:

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!

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

Eide Bailly, LLP

Alexis Odden
Eide Bailly, LLP
Fargo, ND 58103

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!

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

Eide Bailly, LLP

Ryan Beste
Eide Bailly, LLP
Fargo, ND 58103

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!

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

Eide Bailly, LLP

Melanie O'Toole
Eide Bailly, LLP
Fargo, ND 58103

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!

Listed under:
Equity compensation law firm
ESOP accounting and liquidity studies
ESOP general consulting
ESOP investment and 1042 rollover advice
ESOP repurchase obligation consulting
ESOP valuation
Software

Eide Bailly, LLP

Alyssa Schmid
Eide Bailly, LLP
Fargo, ND 58103

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!

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

Nebraska

McGrath North Mullin & Kratz, PC LLO

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

Phone:

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

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

New Hampshire

Atlantic Management Company, Inc.

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

Phone:

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

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

Caron & Bletzer, PLLC

John Bletzer
Caron & Bletzer, PLLC
Kingston, NH

Phone:

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

Listed under:
ESOP accounting and liquidity studies

Devine, Millimet & Branch

Tabitha Croscut
Devine, Millimet & Branch
Manchester, NH

Phone:

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

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

Lument M&A

Laca Wong-Hammond
Lument M&A
Etna, NH 03750

Phone:

Whether you’re a seller or a buyer, Lument has the expertise and insight to guide you through an M&A transaction including an exit through a sale or ESOP. We can help you clarify your goals and options, understand valuation, identify prospective counterparts, and provide debt or equity financing. With over 40 years of professional experience, and over $11 billion closed, allow us to be your trusted advisor.

Listed under:
ESOP financing and investment banking
ESOP valuation

McLane, Graf, Raulerson & Middleton PA

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

Phone:

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

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

People's United Bank, N.A.

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

Phone:

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

Listed under:
ESOP financing and investment banking

ROI Cubed, LLC

George Raftopoulos
ROI Cubed, LLC
Portsmouth, NH

Phone:

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

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

New Jersey

CSG Partners

Patrick Fallon
CSG Partners
Middletown, NJ

Phone:

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

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

Fox Rothschild LLP

Jose Jara
Fox Rothschild LLP
Morristown, NJ 07960-5122

Jose began his career as an Investigator with the U.S. Department of Labor, Employee Benefits Security Administration (DOL). Jose’s experience includes representing plan sponsors, boards, and fiduciaries under investigation by the DOL and defending them from lawsuits alleging breach of fiduciary duty in violation of the Employee Retirement Income Security Act (ERISA). He further guides plan fiduciaries on meeting their fiduciary responsibilities and avoiding prohibited transactions under ERISA. Jose has an LL.M. and Employee Benefits Law Certificate from the Georgetown University Law Center. He is the Co-Chair of the Fiduciary Responsibility, Administration, and Litigation Committee of the American Bar Association.

Fox Rothschild, LLP, is a full-service AmLaw100 law firm.

Listed under:
ESOP general consulting
ESOP insurance and workers compensation
ESOP law firm
ESOP trustee and fiduciary services

Pilot Hill Advisors LLC

James Higgins
Pilot Hill Advisors LLC
Summit, NJ 07901

Phone:

Provider of consulting and investment banking services for companies exploring or executing ESOP stock purchases and sales. Independent board member for private ESOP companies.

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

Pilot Hill Advisors LLC

Robert E. Massengill
Pilot Hill Advisors LLC
Summit, NJ

Phone:

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

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

Nevada

John E. Johnson, LLC

John Johnson
John E. Johnson, LLC
Incline Village, NV 89450

Phone:

Since 1994, John E. Johnson, CFA has been providing business valuation services for a variety of purposes including ESOPs and estate and gift tax matters. As the financial advisor to the ESOP, Mr. Johnson assists the ESOP Trustee with all aspects of a transaction including plan design, financing and valuation. Annually, Mr. Johnson provides the ESOP with valuation consulting services. In addition to working for the ESOP trustee, Mr. Johnson assists owners that are considering selling to an ESOP with valuation, education and negotiations. Mr. Johnson has been active with the NCEO for many years, having made presentations at the annual conference since 1995.

Listed under:
Employee communications
Equity compensation valuation
ESOP general consulting
ESOP valuation

New York

Aegis Fiduciary Services

Robert E. Lesser
Aegis Fiduciary Services
Valley Stream, NY

Phone:

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

Listed under:
ESOP trustee and fiduciary services

Aegis Fiduciary Services

Jeremy Crystal
Aegis Fiduciary Services
Valley Stream, NY

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

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

Benefit Concepts Systems, Inc.

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

Phone:

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

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

CSG Partners

Lawrence Kaplan
CSG Partners
New York, NY

Phone:

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

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

CSG Partners

Steve Berman
CSG Partners
New York, NY

Phone:

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

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

CSG Partners

Alex Mumblat
CSG Partners
New York, NY

Phone:

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

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

CSG Partners

Michael Bannon
CSG Partners
New York, NY

Phone:

With experience spanning M&A, capital markets, and investments, Michael’s broad understanding of corporate transactions and business finance heavily influences his leveraged ESOP advisory work. Michael’s focus areas include medical practices, professional services, manufacturing, and industrial firms.

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

Empire Valuation Consultants, Inc.

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

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

EOT Advisors

Christopher Michael
EOT Advisors
New York, NY

Phone:

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

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

EOT Law P.C.

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

Phone:

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

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

ESOP Calculator

Christopher Campbell
ESOP Calculator
New York, NY 10120

Phone:

ESOP Calculator is a tool built to help communicate the value of your employee stock ownership plan to employee owners. Through individual user profiles, our tool provides a visual snapshot of employee holdings allowing employee-owners to confidently view how the ESOP and other retirement accounts impact their wealth building journey. You can even save and store ESOP documents and educational resources in the Communication Hub, built to be a central location for company news, dates, and much more. Easily educate employee-owners, cultivate a culture of ownership, and recruit/retain top talent all with one tool.

Listed under:
Employee communications
Employee education and financial advice
Employee participation
Equity compensation administration
Software

Fox Rothschild LLP

Harvey Katz
Fox Rothschild LLP
New York, NY

Phone:

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

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

Jackson Lewis P.C.

Brian Goldstein
Jackson Lewis P.C.
Albany, NY

Phone:

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

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

Long Point Capital

Ira Starr
Long Point Capital
New York, NY

Phone:

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

Listed under:
ESOP financing and investment banking
Independent board member

Morrison Cohen LLP

Brian Snarr
Morrison Cohen LLP
New York, NY

Phone:

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

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

Polsinelli PC

Lawrence Hirsh
Polsinelli PC
New York, NY

Phone:

I am seasoned commercial litigator whose practice is concentrated in matters relating to ESOPs and ERISA litigation, including the defense of DOL investigations, class actions and other claims against sponsor companies, their board members, trustees, and other service providers including valuation professionals. I would welcome the opportunity to introduce my practice to you should the need arise.

Listed under:
ESOP general consulting
ESOP law firm

Principal Financial Group

Joseph Marx
Principal Financial Group
Hamburg, NY

Principal® is a leader in offering businesses, individuals, and institutional clients a wide range of financial products and services to help them achieve their financial goals. Principal® Total Retirement Solutions has expanded beyond ESOP to include equity compensation plans. This wider range of stock plans offers full-service consulting, administration, and recordkeeping services through our consultative approach, commitment to the industry, and a proactive, personalized service model. For more information, visit https://www.principal.com

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

Schatz Brown Glassman LLP

Robert Brown
Schatz Brown Glassman LLP
Rochester, NY

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

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

South Park Advisors, LLC

Robert Hilton
South Park Advisors, LLC
ROCHESTER, NY

Phone:

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

Listed under:
ESOP general consulting
ESOP valuation

Stout Risius Ross, LLC

Aziz El-Tahch
Stout
New York, NY

Phone:

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

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

Vantage Point Advisors

Michael Pickerstein
Vantage Point Advisors
New York, NY 10111

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

Listed under:
ESOP valuation

Ohio

Alex Freytag LLC

Alex Freytag
Alex Freytag LLC
Columbus, OH 43221

Phone:

Alex Freytag is an experienced business coach, speaker, Expert EOS Implementer, and author. He provides keynotes and breakouts for entrepreneurs and leaders who need a simple way of operating that helps leadership teams clarify, simplify, and achieve their vision. What
We offer services for entrepreneurs and leaders who are ready to create positive tension, engaged employees, and winning workplaces.

Listed under:
Employee communications
Employee participation

Apple Growth Partners

Matthew Silla
Apple Growth Partners
Cleveland, OH

Phone:

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

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

B2B CFO

Jeff Matthews
B2B CFO
West Chester, OH

Phone:

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

Listed under:
ESOP general consulting

ComStock Advisors

Nickolas Sypniewski
ComStock Advisors
Cincinnati, OH 45209

Phone:

ComStock Advisors is a national 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. We also provide turnkey structuring services for implementing ESOP transactions and litigation support services. 

Listed under:
ESOP valuation

Crowe Horwath LLP

Pete Shuler
Crowe Horwath LLP
Columbus, OH

Phone:

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

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

Fifth Third Bank

Nick Jevic
Fifth Third Bank
Cincinnati, OH

Phone:

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

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

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

GBQ Consulting LLC

Brian Bornino
GBQ Consulting LLC
Columbus, OH

Phone:

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

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

Keating Muething & Klekamp PLL

Michael Scheier
Keating Muething & Klekamp PLL
Cincinnati, OH 45202

Phone:

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

Listed under:
Equity compensation law firm
ESOP general consulting
ESOP law firm
Other EO (Co-ops, LLCs, employee ownership trusts)

Lazear Capital Partners

Shawn Ely
Lazear Capital Partners
Brecksville, OH 44141

Phone:

Lazear Capital Partners is a Middle Market Investment Banking firm based in Columbus, OH, with offices and clients across the country. We focus exclusively on serving our clients and meeting their goals and objectives, and as such, we do not provide Valuation or Fairness Opinion services to Trustees.

We have grown to become one of the leading and most active firms in the country in forming ESOP companies for our clients, but we remain engaged in traditional 3rd-party sell-side engagements (both PE and Strategic Sales), as well as Capital Raising and other Advisory services.

Our only goal is to find the right answer for our clients and guide them through every step of the process, producing an outstanding result for them, their family, their community and their employees.

Listed under:
ESOP financing and investment banking

Lazear Capital Partners

Ted Lape
Lazear Capital Partners
Columbus, OH

Phone:

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

Listed under:
ESOP financing and investment banking

Libby Perszyk Kathman Holdings

Maura Schilling
Libby Perszyk Kathman Holdings
Cincinnati, OH

Phone:

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

Listed under:
Employee communications
Employee participation
Software

Ohio Employee Ownership Center

Bill McIntyre
Ohio Employee Ownership Center
Kent, OH

Phone:

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

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

Prairie Capital Advisors, Inc.

Daniel Callanan
Prairie Capital Advisors
Columbus, OH

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

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

Tucker Ellis LLP

Scott Stitt
Tucker Ellis LLP
Columbus, OH

Phone:

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

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

USI Consulting Group

Aaron Geibel
USI Consulting Group
Columbus, OH 43215

Phone:

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

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

Walter Haverfield LLP

Tim Jochim
Walter Haverfield LLP
Columbus, OH 43215

Phone:

Tim Jochim is a national authority on business succession and ESOPs and a trusted advisor to clients in succession planning, business transactions, legacy planning and corporate governance. He also has expertise in mergers and acquisitions, corporate finance, employee benefits and corporate tax. He is a frequent speaker to business and trade organizations on business succession, ESOPs and corporate governance. Tim’s expertise and judgment are frequently requested in the capacity of an outside or independent Director for ESOP companies.

Tim is recognized as an authority on ERISA and ESOP law by Chambers & Partners USA (band 2) and is rated AV Preeminent by Martindale-Hubbell. He is also a Fellow of the American College of Employee Benefits Counsel.

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

Workplace Development

Jim Bado
Workplace Development
Findlay, OH

Phone:

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

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

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

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

Workplace Development Inc.

Cathy Ivancic
Workplace Development Inc.
Akron, OH 44312

Workplace Development Inc. provides innovative ESOP communication, business training, and ownership culture services that maximize the impact of having an Employee Stock Ownership Plan (ESOP). For more than 30 years, I've been helping ESOP companies to create informed, engaged employee owners.

Our services include:

* Building an Employee Ownership Communication Strategy
* ESOP Committee Development
* New ESOP Rollout Services
* Annual Meeting Inspiration, Presentations and Activities
* Innovative Ownership and Business training
* Written and electronic tools to build appreciation for ownership

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

Oregon

Alternative Ownership Advisors

Sarah Joannides
Alternative Ownership Advisors
Portland, OR

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

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

Business Transition Advisors, Inc.

Fred Thomas
Business Transition Advisors, Inc.
Portland, OR

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

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

Chartwell Financial Advisory, Inc.

Nick Braun
Chartwell Financial Advisory, Inc.
Portland, OR

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

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

Chartwell Financial Advisory, Inc.

Olivia Kowalski
Chartwell Financial Advisory, Inc.
Portland, OR

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

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

Columbia Financial Advisors, Inc.

Robert Regis
Columbia Financial Advisors, Inc.
Portland, OR 97204

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

Listed under:
Equity compensation valuation
ESOP valuation

Columbia Financial Advisors, Inc.

Donny Springer
Columbia Financial Advisors, Inc.
Portland, OR

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

Listed under:
Equity compensation valuation
ESOP valuation

Columbia Financial Advisors, Inc.

Arlene Aschcraft
Columbia Financial Advisors, Inc.
Portland, OR 97204

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

Listed under:
Equity compensation valuation
ESOP valuation

GreatBanc Trust Company

Lynn Archer
GreatBanc Trust Company
Portland, OR

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GreatBanc Trust Company is nationally recognized as a highly skilled, independent ERISA fiduciary with a specialization in ESOPs. GreatBanc provides ESOP trustee services for hundreds of ESOPs throughout the United States, with plan assets ranging from approximately $1 million to $9 billion. GreatBanc has extensive experience with ESOP purchases and sales, ESOP administration, corporate governance and ESOP valuation. Lynn Archer serves as Sr. Vice President and Business Development Officer in the Employee Stock Ownership Plans Client Services group, focusing on managing client relationships and ESOP transactions. Prior, she was Of Counsel for the ESOP group at Lathrop Gage LLP. She served as Director-ESOP Consulting for Principal Financial Group, and as Partner for Barnes & Thornburg LLP.

Listed under:
ESOP general consulting
ESOP trustee and fiduciary services

Pagano Appraisal Group, LLC

Mark Pagano
Pagano Appraisal Group, LLC
Portland, OR

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

Listed under:
ESOP valuation

Vantage Point Advisors

Jason Bolt
Vantage Point Advisors
Portland, OR 97204

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

Listed under:
ESOP valuation

Pennsylvania

Capital Trustees

Rich Heeter
Capital Trustees
Harrisburg, PA

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

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

Listed under:
ESOP trustee and fiduciary services

Chartwell Financial Advisory, Inc.

Tina Langlois
Chartwell Financial Advisory, Inc.
Philadelphia, PA 19106

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

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

Chartwell Financial Advisory, Inc.

Ashleigh Newlin
Chartwell Financial Advisory, Inc.
Philadelphia, PA 19103

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

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

Crumling & Hoffmaster

Nic Hoffmaster
Crumling & Hoffmaster
Mount Joy, PA

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

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

Dunbar, Bender & Zapf, Inc.

Christina Wilson
Dunbar, Bender & Zapf, Inc.
Pittsburgh, PA 15219

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Dunbar, Bender & Zapf, Inc. was established in 1991. For over 30 years our professionals have provided companies, with recordkeeping, third party administration (TPA) and actuarial services for their retirement plans. Dunbar, Bender & Zapf, Inc. provides services to more than 2,800 clients ranging in size from one to several thousand participants. We are proud of our reputation for providing efficient, accurate and affordable services to our clients.

Listed under:
ESOP administration
ESOP repurchase obligation consulting