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 335 Service Providers

Alabama

Anglin Reichmann Snellgrove & Armstrong

Luke Kinzer
Anglin Reichmann Snellgrove & Armstrong
305 Quality Circle, NW
Huntsville, AL 35806
United States

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

Maynard, Cooper & Gale, PC

Elizabeth Beaube
Maynard, Cooper & Gale, PC
1901 Sixth Avenue North
Birmingham, AL 35203
United States

Phone:
Listed under:
ESOP law firm
ESOP general consulting
ESOP administration
ESOP repurchase obligation consulting

Arizona

Brueggeman and Johnson Yeanoplos, P.C.

Kevin R. Yeanoplos, CPA/ABV, ASA
Brueggeman and Johnson Yeanoplos, P.C.
7363 East Tanque Verde Road
Tucson, AZ 85715
United States

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

Listed under:
ESOP valuation
Equity compensation valuation

Fennemore Craig, P.C.

Cynthia Shupe
Fennemore Craig, P.C.
2394 E. Camelback Road, Suite 600
Phoenix, AZ 85016
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

Henry & Horne, LLP

Stephen Koons
Henry & Horne, LLP
7098 E. Cochise Road, Suite 100
Scottsdale, AZ 85253
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Mack Business Appraisals, LLC

John Mack, ASA, MCBA, ABAR
Mack Business Appraisals, LLC
26956 N. 90th Lane
Peoria, AZ 85383
United States

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

Listed under:
ESOP valuation
Equity compensation valuation

Solium Capital

Toby Warner
Solium Capital
60 E. Rio Salado Parkway, Suite 510
Tempe, AZ 85281
United States

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

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

TI-TRUST, Inc.

Merri Ash
TI-Trust, Inc.
2415 East Camelback Road, Suite 700
Phoenix, AZ 85016
United States

Merri is Sr. VP at TI-TRUST, Inc. (fomerly First Bankers) She has 40 years' experoence. Her past includes senior trust officer at SunTrust; EB consultant with Wyatt Company; benefits manager at Jonathan Corp, an ESOP company; and senior benefits consultant with the NADA. She is a past chairperson for the administrative advisory committee and past member of the board of govenors of the ESOP Association. Board of Trustees for the Employee Ownership Foundation. Merri has been with TI-TRUST since 2002.

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

California

AmbroseAdvisors

Marcus Piquet
AmbroseAdvisors
3550 Vine Street, Suite 130
Riverside, CA 92507
United States

Phone:

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

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

Avenue M Advisors, Inc.

Melisa Silverman
Avenue M Advisors, Inc.
5006 Garden Grove Avenue
Tarzana, CA 91356
United States

Phone:

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

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Bank of the West

Michael Rivera
Bank of the West
500 Capitol Mall, Suite 1200
Sacramento, CA 95814
United States

Phone:

Covering Northern California and Las Vegas Nevada, I support many firms with ESOP structures in the middle market and small corporate space generally with annual revenues of $50 million up to $20 billion. We provide financial services including loans, lines, asset based lending, syndicated facilities, treasury management, short term liquidity solutions, global banking, trade finance, supply chain management, and securitizations. I am proud to be a trusted advisor for many firms that help drive the US and global economy. Bank of the West is headquartered in San Francisco with $90 billion in assets. BNP Paribas, our parent company, is headquartered in Paris and is the 8th largest bank in the world with $2.4 trillion in assets. Our combined firms have nearly 200 years of banking history.

Listed under:
ESOP financing and investment banking

Beyster Institute, Rady School of Management, UCSD

Martin Staubus
Beyster Institute, Rady School of Management, UCSD
9500 Gilman Drive, #0553
La Jolla, CA 92093
United States

Phone:

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

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

Burr Pilger Mayer, Inc.

Jenise Gaskin
Burr Pilger Mayer, Inc.
100 Pringle Avenue, Suite 340
Walnut Creek, CA 94596
United States

Phone:

Since 1986, Burr, Pilger & Mayer, a full-service accounting and business consulting firm, has cultivated a culture of trust, dependability, and fun. Our focus has never swayed from building the future. Today, BPM has offices throughout Northern California, global capabilities, close to 400 expertly trained professionals, and a deep involvement in the communities we serve. We have expertise in traditional tax preparation, planning, assurance, and audits. Our capabilities also include a variety of business consulting areas, including process improvement, business valuation, bankruptcy, and turnaround.

Listed under:
ESOP valuation
Equity compensation accounting
Equity compensation valuation

Butterfield Schechter LLP

Marc S. Schechter, Esq.
Butterfield Schechter LLP
10021 Willow Creek Road, Suite 200
San Diego, CA 92131
United States

Phone:

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

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

CapitalSmith Financial & Insurance Services, Inc.

Kelly Smith
CapitalSmith Financial & Insurance Services, Inc.
14 CHARDONNAY
IRVINE, CA 92614
United States

Phone:
Listed under:
ESOP investment and 1042 rollover advice
ESOP general consulting
Employee education and financial advice
ESOP administration
ESOP repurchase obligation consulting

Chartwell

Richard Joseph
Chartwell
535 Anton Blvd, Suite 810
Costa Mesa, CA 92626
United States

Phone:

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

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

Drinker Biddle & Reath LLP

Jeremy Pelphrey
Drinker Biddle & Reath LLP
1800 Century Park East, Ste. 1500
Los Angeles, CA 90067
United States

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

Listed under:
ESOP law firm
Equity compensation law firm

Drinker Biddle & Reath LLP

Bruce Ashton
Drinker Biddle & Reath LLP
1800 Century Park East, Ste. 1400
Los Angeles, CA 90067
United States

Phone:

Bruce Ashton is a partner in the national law firm of Drinker Biddle & Reath and is part of the firm's Employee Benefits and Executive Compensation Practice Group. With more than 35 years of practice, Mr. Ashton has gained wide experience representing businesses in sophisticated business transactions and employee benefits matters. His ESOP practice includes facilitating plan sponsors in the adoption of plans and compliance issues, as well as assisting fiduciaries with documentation and closing of transactions. Drinker Biddle is a full service business law firm with nearly 700 attorneys practicing in 11 offices around the country.

Listed under:
ESOP law firm
Equity compensation law firm

E*TRADE

Jeff Graham
E*TRADE
2655 Gallery Ct
Cameron Park, CA 95682
United States

Phone:
Listed under:
Equity compensation accounting
Equity compensation administration
Equity compensation brokerage services
Employee participation
Software
Equity plans in a non-U.S. country
Equity plans for multinationals

Employee Benefits Law Group

Kevin Long
Employee Benefits Law Group
2033 Gateway Place, Suite 500
San Jose, CA 95110
United States

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

Listed under:
ESOP law firm
Equity compensation law firm

ESOP Law Group LLP

Laurence Goldberg
ESOP Law Group LLP
455 Market Street
San Francisco, CA 94105
United States

Phone:

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

Listed under:
ESOP law firm

ESOP Services, Inc

Paige Ryan
ESOP Services, Inc
P.O. Box 420563
San Diego, CA 92142
United States

Phone:

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

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

Farber Hass Hurley LLP

Amy Coy
Farber Hass Hurley LLP
28494 Westinghouse Place, Ste. 102
Valencia, CA 91355
United States

Phone:

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

Listed under:
ESOP accounting and liquidity studies
Equity compensation accounting

Fiduciary Services, Inc.

Daniel Reser
Fiduciary Services, Inc.
369-B Third Street #543
San Rafael, CA 94901
United States

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

Listed under:
ESOP trustee and fiduciary services

Gelman LLP

Lisa Green
Gelman LLP
1940 E. 17th Street
Santa Ana, CA 92705
United States

Phone:

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

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

Greenberg Traurig

Marc Baluda
Greenberg Traurig
4 Embarcadero Ctr, Ste. 3000
San Francisco, CA 94111
United States

Phone:

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

Listed under:
ESOP accounting and liquidity studies
ESOP law firm
ESOP insurance and workers compensation
ESOP financing and investment banking
ESOP general consulting
Equity compensation law firm
Equity compensation plan design
Equity compensation valuation
Employee communications

John E. Johnson, LLC

John Johnson
John E. Johnson, LLC
106 S. Orange Avenue
Lodi, CA 95240
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Menke & Associates

John Menke
Menke & Associates
One Kaiser Plaza
Oakland, CA 94612
United States

Phone:

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

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

Menke & Associates, Inc.

Victor Alam
Menke & Associates, Inc.
111 Anza Blvd, Suite 422
Burlingame, CA 94010
United States

Phone:

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

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

Merrill Lynch

Tim Carlson
Merrill Lynch
1331 North California Boulevard, Suite 400
Walnut Creek, CA 94596
United States

Phone:

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

Listed under:
ESOP investment and 1042 rollover advice
Equity compensation employee financial advice

National Center for Employee Ownership

Corey Rosen
National Center for Employee Ownership
1629 Telegraph Ave, 2nd Fl
Oakland, CA 94612
United States

Phone:

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

Listed under:
Independent board member

National Center for Employee Ownership

Loren Rodgers
National Center for Employee Ownership
1629 Telegraph Ave, 2nd Fl
Oakland, CA 94612
United States

Phone:

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

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

Options4Growth

Jill Pappenheimer
Options4Growth
1966 Tice Valley Blvd, #185
Walnut Creek, CA, CA 94595
United States

Phone:

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

Listed under:
ESOP general consulting
Employee communications
Employee participation
Software

PenChecks Trust

Scott Okrasinski
PenChecks Trust
8580 La Mesa Blvd
La Mesa, CA 91942
United States

Phone:

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

Listed under:
Employee communications

PENSCO Trust Company

Bill Papp
PENSCO Trust Company
275 Battery Street, Suite 1220
San Francisco, CA 94111
United States

Phone:

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

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

Performensation

Dan Walter, CEP
Performensation
514 Precita Avenue, Suite 100
San Francisco, CA 94110
United States

Phone:

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

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

Principal Financial Group

Debra Stoll
Principal Financial Group
10895 Berggren Lane
Nevada City, CA 95959
United States

Phone:

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

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

Private Capital Corporation

Bryan Golden
Private Capital Corporation
26365 Jeanette Road
Carmel Valley, CA 93924
United States

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

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

Prudent Fiduciary Services

Miguel Paredes
Prudent Fiduciary Services
100 N. Barranca St., Ste 702
WEST COVINA, CA 91791
United States

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

Listed under:
ESOP trustee and fiduciary services

Roland M. Attenborough, Inc.

Roland Attenborough
Roland M. Attenborough, Inc.
11377 West Olympic Boulevard
Los Angeles, CA 90064
United States

Phone:

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

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

Roorda, Piquet & Bessee, Inc. CPAs

Michael Zermeno
Roorda, Piquet & Bessee, Inc. CPAs
3550 Vine Street, Suite 110
Riverside, CA 92507
United States

Phone:

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

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

Rubicon Valuation

William Dietrich
Rubicon Valuation
3324 Rubicon Way
Sacramento, CA 95821
United States

Phone:

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

Listed under:
ESOP valuation
ESOP general consulting

Sansome Street Appraisers, Inc.

Robert Ireland
Sansome Street Appraisers, Inc.
One Kaiser Plaza, Suite 505
Oakland, CA 94612
United States

Phone:

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

Listed under:
ESOP valuation

Santa Barbara Valuations Inc., dba The Mentor Group

James Lisi
Santa Barbara Valuations Inc., dba The Mentor Group
1432 Camino Rio Verde
Santa Barbara, CA 93111
United States

Phone:

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

Listed under:
ESOP valuation

Schuck Law Group

Edwin G. Schuck, Jr.
Schuck Law Group
601 West Fifth Street, 8th Floor
Los Angeles, CA 90071
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

Sensiba San Filippo LLP

Bill Norwalk
Sensiba San Filippo LLP
4900 Hopyard Road, Suite 200
Pleasanton, CA 94588
United States

Phone:

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

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

Stock & Option Solutions

Henley Hom
Stock & Option Solutions
910 Campisi Way, Suite 2E
Campbell, CA 95008
United States

Phone:

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

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

Strategic Business Solutions

Edward Lasak
Strategic Business Solutions
1810 Prince Albert Dr
Riverside, CA 92507
United States

Phone:

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

Listed under:
ESOP general consulting
Independent board member

Strategic Equity Group

Chris Kramer
Strategic Equity Group
6 Hutton Centre Drive, Suite 860
South Coast Metro, CA 92707
United States

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

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

The Beyster Institute, UCSD Rady School of Management

Kim Blaugher
The Beyster Institute, UCSD Rady School of Management
9500 Gilman Drive #0553
La Jolla, CA 93072-0553
United States

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

The Price Company

Philip D. Price
The Price Company
5151 N. Palm Avenue, Suite 920
Fresno, CA 93704
United States

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

Listed under:
ESOP administration
ESOP repurchase obligation consulting

Trucker Huss, APC

Joseph Faucher
Trucker Huss, APC
633 W. 5th Street, 26th Floor
Los Angeles, CA 90071
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

UBS Financial Services Inc

Emily Van Hoorickx
UBS Financial Services Inc
50 West San Fernando Street, 8th Floor
San Jose, CA 95113
United States

Phone:

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

Listed under:
Equity compensation administration
Equity compensation brokerage services
Equity compensation employee financial advice
Employee communications
Employee education and financial advice
Equity plans in a non-U.S. country
Equity plans for multinationals

Vantage Point Advisors

Todd Poling
Vantage Point Advisors
11455 El Camino Real, Suite 450
San Diego, CA 92130
United States

Phone:

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

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Windes, Inc.

Marilyn Thompson
Windes, Inc.
111 W. Ocean Boulevard, 22nd Floor
Long Beach, CA 90802
United States

Phone:

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

Listed under:
ESOP accounting and liquidity studies
ESOP general consulting

Colorado

ATI Capital Group of Colorado, LLC

Ron Lint, ASA
ATI Capital Group of Colorado, LLC
16165 Tabor Creek Court
Monument, CO 80132
United States

Phone:

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

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

Berenbaum Weinshienk PC

Stephen Rickles
Berenbaum Weinshienk PC
370 17th Street, Suite 4800
Denver, CO 80202
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

Brownstein Hyatt Farber Schreck, LLP

Nancy Strelau
Brownstein Hyatt Farber Schreck, LLP
410 Seventeenth Street, Suite 2200
Denver, CO 80202
United States

Phone:

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

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

EKS&H

Sandy Shoemaker
EKS&H
7979 E Tufts Avenue, Suite 400
Denver, CO 80237
United States

Phone:

EKS&H is a regional accounting firm that specializes in working with ESOP companies and companies considering the ESOP option. Along with our traditional audit and tax services, we consult with clients on many issues that face the ESOP strategy. This included business transition planning, ESOP structuring, establishing a firm culture, and growth financing.

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

Harper Hofer & Associates, LLC

Greg Weiss
Harper Hofer & Associates, LLC
1580 Lincoln Street, Suite 1100
Denver, CO 80203
United States

Phone:

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

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

Intrinsic, LLC

Josh Cashman
Intrinsic, LLC
3301 Lawrence Street, Suite 1
Denver, CO 80205
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

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

Jason Wiener
Jason Wiener|p.c., a public benefit corporation
1919 14th St., Suite 700
Boulder, CO 80302
United States

Phone:

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

Listed under:
Equity compensation law firm

KeyBank

Doug Dell
KeyBank
1675 Broadway, Suite 300
Denver, CO 80202
United States

Phone:
Website:

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

Listed under:
ESOP financing and investment banking

Lewis Roca Rothgerber Christie LLP

H. William Mahaffey
Lewis Roca Rothgerber Christie LLP
90 South Cascade Avenue, Suite 1100
Colorado Springs, CO 80903
United States

Phone:

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

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

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

Eric Ransick, CPA/CFF, CVA
Zick Business Advisors, Inc., CPAs and Certified Valuation Analysts
16 Inverness Place East, Building C
Englewood, CO 80112
United States

Phone:

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

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

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

Matt Ransick, CPA/CVA
Zick Business Advisors, Inc., CPAs and Certified Valuation Analysts
16 Inverness Place East, Building C
Englewood, CO 80112
United States

Phone:

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

Listed under:
Equity compensation valuation
ESOP general consulting
ESOP valuation

Connecticut

Empire Valuation Consultants

Chuck Coyne, ASA
Empire Valuation Consultants
61 South Main Street #201
West Hartford, CT 6107
United States

Phone:

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

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Marcum LLP

Kenneth Pia, Jr., CPA, ABV, ASA, MCBA
Marcum LLP
One Audubon Street, 3rd Floor
New Haven, CT 6511
United States

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

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

PTCFO, Inc.

Jack Veale
PTCFO, Inc.
48 Walkley Road
West Hartford, CT 6119
United States

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

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

Schatz Brown Glassman LLP

Robert Schatz
Schatz Brown Glassman LLP
1007 Farmington Ave, Suite 4
West Hartford, CT 6107
United States

Phone:

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

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

USI Consulting Group

Christopher J. Martin
USI Consulting Group
95 Glastonbury Boulevard, Suite 102
Glastonbury, CT 6033
United States

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

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

District of Columbia

Advanced Valuation Analytics, Ltd.

Barry Goodman
Advanced Valuation Analytics, Ltd.
1901 L Street, N.W., Suite 605
Washington, DC 20036-3506
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Dinsmore & Shohl, LLP

Ben Wells
Dinsmore & Shohl, LLP
801 Pennsylvania Avenue, N.W., Suite 610
Washington, DC 20004
United States

Phone:

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

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

RSM US LLP

Anne Bushman
RSM US LLP
1250 H Street NW, Suite 650
Washington, DC 20005
United States

Phone:
Website:

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

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

Delaware

Menke & Associates, Inc.

Fran McCaffery
Menke & Associates, Inc.
1201 N. Orange Street, #783
Wilmington, DE 19801
United States

Phone:

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

Listed under:
ESOP administration
ESOP repurchase obligation consulting

Florida

BankUnited

Guillermo Doria
BankUnited
222 Lakeview Ave Suitie 900
West Palm Beach, FL 33401
United States

Phone:

BankUnited, Inc., with total consolidated assets of $32.2 billion at December 31, 2018, is a bank holding company with one wholly owned subsidiary, BankUnited. BankUnited, a national banking association headquartered in Miami Lakes, Florida, provides a full range of banking services to individual and corporate customers through banking centers in Florida and New York. The Bank also provides certain commercial lending and deposit products, including ESOP lending, on a national platform.

Listed under:
ESOP financing and investment banking

Berman Hopkins CPAs

Phillip Hayes
Berman Hopkins CPAs
8035 Spyglass Hill Road
Melbourne, FL 32940
United States

Phone:

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

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

Crowe Horwath LLP

Hugh E. Reynolds, III
Crowe Horwath LLP
401 E Las Olas Boulevard, Suite 1100
Fort Lauderdale, FL 33301
United States

Phone:

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

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

Enman & Associates, Inc.

David Enman
Enman & Associates, Inc.
7634 Gate Parkway Suite 104-130
Jacksonville, FL 32256
United States

Phone:

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

Listed under:
ESOP general consulting
Independent board member

Greenberg Traurig

Jeffrey S. Kahn
Greenberg Traurig
5100 Town Center Circle, Suite 400
Boca Raton, FL 33486
United States

Phone:

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

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

PCE Investment Banking | ESOP | Valuation | Advisory

Will Stewart
PCE Investment Banking | ESOP | Valuation | Advisory
200 E New England Avenue, Suite 400
Winter Park, FL 32789
United States

Phone:

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

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

Principal Financial Group

Cindy Prodoehl
Principal Financial Group
The Hatchery, 42881 Lake Babcock Drive, Suite 200
Babcock Ranch, FL 33982
United States

Phone:

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

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

Principal Financial Group

Peter Prodoehl
Principal Financial Group
The Hatchery, 42881 Lake Babcock Drive, Suite 200
Babcock Ranch, FL 33982
United States

Phone:

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

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

SES ESOP Strategies

Steven B. Greenapple
SES ESOP Strategies
2201 Wilton Drive, Suite 7
Fort Lauderdale, FL 33305
United States

Phone:

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

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

Sheldrick McGehee & Kohler, Inc.

Steve Rosenbloom
Sheldrick McGehee & Kohler, Inc.
One Independent Drive, Suite 3140
Jacksonville, FL 32202
United States

Phone:

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

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Valuation Advisory Services, Inc.

Will Rodriguez
Valuation Advisory Services, Inc.
100 S Ashley Dr., Ste 600
Tampa, FL 33602
United States

Phone:

Provide valuation services for closely-held business owners including ESOP, estate/gift tax, income tax, and litigation support. Valuation services include appraisal reports, fairness opinions, equity compensation and related consulting work.

Listed under:
ESOP valuation
Equity compensation valuation

Ventura ESOP Fiduciary Services

Brian Wurpts
Ventura ESOP Fiduciary Services
37346 Neukom Avenue
Zephyrhills, FL 33541
United States

Phone:

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

Listed under:
ESOP trustee and fiduciary services
ESOP general consulting
Employee communications

Georgia

Applied Economics LLC

Eric Kreimer
Applied Economics LLC
1170 Peachtree Street, Suite 525
Atlanta, GA 30309
United States

Phone:

ESOP valuation firm, providing initial valuation and fairness opinions, as well as periodic valuation updates.

Listed under:
ESOP valuation

Argent Trust Company

David Williams
Argent Trust Company
1100 Abernathy Road
Atlanta, GA 30328
United States

Phone:

Argent Trust Company is a trustee or special fiduciary for ESOPs and other benefit plans. Argent represents ESOPs and other plans in transactions involving employer securities. In addition, we take over from others the role as ESOP trustee or special fiduciary and perform the administrative tasks connected with our fiduciary duties. As a trustee, and in addition to our other duties, we invest cash contributions in other assets such as stock and bonds. Employers whose ESOPs and other plans we serve are both private and public, large and small, and located in all parts of the country.

Listed under:
ESOP trustee and fiduciary services

Censeo Advisors, LLC

Adrian Loud
Censeo Advisors, LLC
680 Village Trace NE, Building 20, Suite E
Marietta, GA 30067
United States

Phone:

Adrian R. Loud, CPA, ABV, CFF, CVA, ASA, is a co-founder and managing director of Censeo Advisors, LLC, a professional services firm dedicated to providing economic peace of mind to clients by delivering proven business valuation, financial advisory, and forensic analysis services, including work performed in conjunction with employee stock ownership and executive compensation plans. Our team of highly experienced and accredited practitioners assists clients and other professionals with feasibility, implementation, transaction due diligence, and subsequent valuation needs. For assistance, please visit our website at www.censeoadvisors.com or call us at 404-334-7020.

Listed under:
ESOP valuation
Equity compensation valuation

Greenberg Traurig

Todd Wozniak
Greenberg Traurig
3333 Piedmont Rd. NE, Suite 2500
Atlanta, GA 30305
United States

Phone:

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

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

Hall Benefits Law

David Hall
Hall Benefits Law
270 Carpenter Drive, Suite 325
Atlanta, GA 30328
United States

Phone:

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

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

HDH Advisors LLC

Perry Walter
HDH Advisors LLC
2002 Summit Boulevard, Suite 950
Atlanta, GA 30319
United States

Phone:

HH Advisors LLC is a full-service business appraisal firm. Much of our practice is focused on ESOPS, including feasibility studies, initial appraisals for ESOP trustees, and annual updates.

Listed under:
ESOP valuation
Equity compensation valuation

Krieg DeVault LLP

Stephen Smith
Krieg DeVault LLP
Promenade II 1230 Peachtree Street NE, Suite 2490
Atlanta, GA 30309
United States

Phone:

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

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

Menke & Associates, Inc.

Victor Alvaro
Menke & Associates, Inc.
1000 Holcomb Woods Parkway, # 428
Roswell, GA 30076
United States

Phone:

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

Listed under:
ESOP administration
ESOP repurchase obligation consulting

Nest Egg Communications

Maureen Clayton
Nest Egg Communications
55 Park Square, Suite 205
Roswell, GA 30075
United States

Phone:

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

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

PCE Investment Banking | ESOP | Valuation | Advisory

Paul Vogt
PCE Investment Banking | ESOP | Valuation | Advisory
303 Perimeter Center North, Suite 300
Atlanta, GA 30346
United States

Phone:

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

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

Prairie Capital Advisors

Michael McGinley
Prairie Capital Advisors
3715 Northside Parkway, Building 200, Suite 750
Atlanta, GA 30327
United States

Phone:

Prairie Capital Advisors, Inc. provides investment banking, ESOP advisory, and valuation services to support 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:
ESOP financing and investment banking
ESOP valuation
Equity compensation plan design
Equity compensation valuation

Swerdlin & Company

Joanne Swerdlin
Swerdlin & Company
5901 Peachtree Dunwoody Road, Bldg. B, Suite 170
Atlanta, GA 30328
United States

Phone:

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

Listed under:
ESOP administration
ESOP repurchase obligation consulting

TI-TRUST, Inc.

Chip Brown
TI-TRUST, Inc.
1230 Peachtree Street NE, Suite 1900
Atlanta, GA 30309
United States

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

Listed under:
ESOP trustee and fiduciary services
Independent board member

UBS Private Wealth Management

Keith Mericka
UBS Private Wealth Management
3280 Peachtree Road, NE, 21st floor
Atlanta, GA 30305
United States

Phone:

The ESOP Group at UBS Financial Services has 25 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

Warren Averett

David Crabtree
Warren Averett
6 Concourse Parkway
Suite 600, GA 30328
United States

Phone:

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

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

Willamette Management Associates

Kyle Wishing
Willamette Management Associates
1355 Peachtree St NE
Atlanta, GA 30309
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Windham Brannon, P.C.

Heidi LaMarca
Windham Brannon, P.C.
3630 Peachtree Road NE, Suite 600
Atlanta, GA 30326
United States

Phone:

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

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

Iowa

Bankers Trust Company ESOP Finance Group

Joe DeJong
Bankers Trust Company ESOP Finance Group
453 7th Street, PO Box 897
Des Moines, IA 50309
United States

Phone:

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

Listed under:
ESOP trustee and fiduciary services

BCC Advisers

Lindy Ireland
BCC Advisers
1707 High Street
Des Moines, IA 50309
United States

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

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

Folience, Inc.

Daniel Goldstein
Folience, Inc.
230 2nd Street SE Suite 100
Cedar Rapids, IA 52401
United States

Phone:

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

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

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

Listed under:
Independent board member

HDH Advisors LLC

Duane Tolander
HDH Advisors LLC
1601 22nd Street, Ste. 305
West Des Moines, IA 50266
United States

Phone:

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

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

Holmes Murphy & Associates

Steve McManus
Holmes Murphy & Associates
2727 Grand Prairie Parkway
Waukee, IA 50263
United States

Phone:

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

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

Newport Group

Nancy Dittmer
Newport Group
2900 100th Street, Suite 303
Urbandale, IA 50322
United States

Phone:

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

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

Prairie Capital Advisors

Victor Aspengren
Prairie Capital Advisors
425 Second Street SE, Suite 801
Cedar Rapids, IA 52401
United States

Phone:

Prairie Capital Advisors, Inc. provides investment banking, ESOP advisory, and valuation services to support 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:
ESOP financing and investment banking
ESOP valuation
Equity compensation plan design
Equity compensation valuation

Transitional Leadership, LLC

Ryan Gruhn
Transitional Leadership, LLC
4819 University Ave
Des Moines, IA 50311
United States

Phone:

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

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

TrueNorth Companies

Jacob Schulte, CPA
TrueNorth Companies
500 1st St SE
Cedar Rapids, IA 52401
United States

Phone:

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

Listed under:
ESOP insurance and workers compensation
ESOP investment and 1042 rollover advice
Equity compensation employee financial advice
ESOP administration
ESOP repurchase obligation consulting

Idaho

Principal Financial Group

Kim Blaugher
Principal Financial Group
121 N. 9th Street, Suite 303
Boise, ID 83702
United States

Phone:

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

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

Illinois

BMO Harris Bank

Mark Buchanan
BMO Harris Bank
111 W. Monroe Suite 5W
Chicago, IL 60614
United States

Phone:

BMO Harris Bank N.A.'s Financial Advisory Services team has a proven track record of advising and financing some of the most successful ESOP companies across the nation. We have eight professionals with deep expertise in ESOPs, value creation and ownership transition for privately held companies. Contact Mark Buchanan, Mark.Buchanan@bmo.com, or Caroline Gardner, Caroline.Gardner@bmo.com.

Listed under:
ESOP financing and investment banking
ESOP general consulting

ButcherJoseph & Co. Valuation Advisory

Jeff Buettner
ButcherJoseph & Co. Valuation Advisory
272 Market Square, Suite 210
Lake Forest, IL 60045
United States

Phone:

ButcherJoseph & Co. Valuation Advisory provides valuation services for annual ESOP administration, estate planning, or in conjunction with the sale of a business. Our experience insures an objective and independent opinion of value that is accurate and conceptually sound, defendable to the most discerning reviewer, and provides assurance to business owners, boards of directors, special committees, institutional trustees and others fulfilling fiduciary responsibilities. Our team of professionals has performed and supervised over 500 valuations of privately held companies in a multitude of industries. We've advised fiduciaries and rendered financial opinions in more than 70 transactions with equity value in excess of $4 billion.

Listed under:
ESOP valuation

Chartwell

Will Bloom
Chartwell
One North Wacker Drive, Suite 2180
Chicago, IL 60606
United States

Phone:

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

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

CIBC Bank USA

Jim Rolfe
CIBC Bank USA
120 S. LaSalle St.
Chicago, IL 60603
United States

Phone:

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

Listed under:
ESOP financing and investment banking

ComStock Advisors

John O'Brien
ComStock Advisors
One Pierce Place, Ste 415E
Itasca, IL 60143
United States

Phone:

ComStock Advisors is a premier national financial advisory firm that delivers expert, objective, and defensible analyses and opinions. Business owners and their advisors choose us when they need to measure, enhance, preserve, and transfer the value of their business interests. Working closely with boards of directors, family offices, management, trustees, and other advisors, we develop an in-depth understanding of both the financial considerations and the underlying business drivers of each business. We then address each client's requirements by leveraging our expertise/experience in ESOPs & employee benefits; estate, gift & tax; litigation services; corporate transactions; financial reporting; and trust special asset services.

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

Crowe Horwath LLP

Tim Daum
Crowe Horwath LLP
One Mid America Plaza, Suite 700
Oak Brook, IL 60522
United States

Phone:

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

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

Davis & Campbell L.L.C.

William H. Campbell
Davis & Campbell L.L.C.
401 Main Street, Suite 1600
Peoria, IL 61602
United States

Phone:

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

Listed under:
ESOP law firm

Drinker Biddle & Reath LLP

Howard Levine
Drinker Biddle & Reath LLP
191 North Wacker Drive, Suite 3700
Chicago, IL 60606
United States

Phone:

Howard Levine is a partner in the national law firm of Drinker Biddle & Reath and chair of its Employee Benefits and Executive Compensation Practice Group. Mr. Levine's practice includes all areas of employee benefits law, including ESOPs and other tax-qualified retirement plans, stock option and other equity compensation plans, and ERISA fiduciary matters. His ESOP practice includes the representation of employers who sponsor ESOPs, selling shareholders, and ESOP trustees. Drinker Biddle is a full service business law firm with nearly 700 attorneys practicing in 14 offices around the country.

Listed under:
ESOP law firm
Equity compensation law firm

Duff & Phelps, LLC (Chicago)

Elyse Bluth
Duff & Phelps, LLC (Chicago)
311 South Wacker Drive, 42nd Floor
Chicago, IL 60606
United States

Phone:

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

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

First American Bank

Martin Carmody
First American Bank
1650 Louis Avenue
Elk Grove Village, IL 60007
United States

Phone:

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

Listed under:
ESOP financing and investment banking

First Midwest Bank

Edward Weisto
First Midwest Bank
8750 West Bryn Mawr Avenue, Suite 1300
Chicago, IL 60631
United States

Phone:

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

Please ask us for client testimonials!

Listed under:
ESOP financing and investment banking

GreatBanc Trust Company

Jim Staruck
GreatBanc Trust Company
801 Warrenville Road, Suite 500
Lisle, IL 60532
United States

Phone:

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

Listed under:
ESOP trustee and fiduciary services
ESOP general consulting

Holland & Knight LLP

Gregory Brown
Holland & Knight LLP
131 South Dearborn Street, 30th Floor
Chicago, IL 60603
United States

Phone:

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

Listed under:
ESOP law firm

Houlihan Lokey

Kreg J. Jackson
Houlihan Lokey
123 N. Wacker Drive, 4th Floor
Chicago, IL 60606
United States

Phone:

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

Listed under:
ESOP financing and investment banking
ESOP valuation

J.P. Morgan

Regina Carls
J.P. Morgan
10 S Dearborn Street, 22nd Floor
Chicago, IL 60603
United States

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

Katten Muchin Rosenman LLP

Gregory Brown
Katten Muchin Rosenman LLP
525 West Monroe
Chicago, IL 60661
United States

Phone:

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

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

Katten Muchin Rosenman LLP

Ann Kim
Katten Muchin Rosenman LLP
525 West Monroe
Chicago, IL 60661
United States

Phone:

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

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

Levenfeld Pearlstein, LLC

David Solomon
Levenfeld Pearlstein, LLC
2 N. LaSalle Street, Suite 1300
Chicago, IL 60602
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

MB Financial

Elizabeth Di Cola
MB Financial
9550 West Higgins Road
Rosemont, IL 60018
United States

Phone:

MB Financial Bank offers a full range of powerful financial solutions, including commercial and business banking, capital markets, wealth management, and personal banking services. Our ESOP finance team consists of seasoned commercial lending experts who understand the complexities of an ESOP and offer broad lending experience across a variety of industries. MB Financial Bank serves as a reliable financing source for ESOP transactions, including leveraged and non-leveraged transactions, full and partial sale, second stage transactions, and seller note refinance.

Listed under:
ESOP financing and investment banking

McDermott Will & Emery LLP

Theodore Becker
McDermott Will & Emery LLP
444 West Lake Street, Suite 4000
Chicago, IL 60606
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

Menke & Associates, Inc.

Tom Eschbach
Menke & Associates, Inc.
85 W. Algonquin Road, # 560
Arlington Heights, IL 60005
United States

Phone:

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

Listed under:
ESOP administration
ESOP repurchase obligation consulting

Millennium Trust Company

Terry Dunne
Millennium Trust Company
2001 Spring Road, Suite 700
Oak Brook, IL 60523
United States

Phone:

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

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

Morgan, Lewis & Bockius LLP

Brian Hector
Morgan, Lewis & Bockius LLP
77 West Wacker Drive
Chicago, IL 60601
United States

Phone:

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

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

PCE Investment Banking | ESOP | Valuation | Advisory

Eric Zaleski
PCE Investment Banking | ESOP | Valuation | Advisory
2815 Forbs Avenue, Suite 107
Hoffman Estates, IL 60192
United States

Phone:

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

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

Peak Wealth Planning, LLC

Peter Newman
Peak Wealth Planning, LLC
2723 Valleybrook Dr.
Champaign, IL 61822
United States

Phone:

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

Listed under:
Equity compensation employee financial advice

Prairie Capital Advisors, Inc.

Franco Silva
Prairie Capital Advisors, Inc.
311 S. Wacker Drive, Suite 2370
Chicago, IL 60606
United States

Phone:

Prairie Capital Advisors, Inc. provides investment banking, ESOP advisory and valuation services to support 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:
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation plan design
Equity compensation valuation

Prairie Capital Advisors, Inc.

Dave Diehl
Prairie Capital Advisors, Inc.
One Lincoln Centre, 18W140 Butterfield Road, Suite 800
Oakbrook Terrace, IL 60181
United States

Phone:

Prairie Capital Advisors, Inc. provides investment banking, ESOP advisory and valuation services to support 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:
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation plan design
Equity compensation valuation

Principal Financial Group

Amy Hartnett
Principal Financial Group
3025 Highland Parkway, Suite 425
Downers Grove, IL 60515
United States

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

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

Seyfarth Shaw LLP

Steven Lifson
Seyfarth Shaw LLP
233 S. Wacker Dr., 80th Fl.
Chicago, IL 60606-6448
United States

Phone:

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

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

Stout

Andrew Ward
Stout
1 South Wacker Dr, 38th Floor
Chicago, IL 60606
United States

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

Listed under:
ESOP valuation
ESOP general consulting

The Private Bank

Rosemarie Panico-Marino, AIF, ERPA, QPA, c(k)p
The Private Bank
120 S. LaSalle Street
Chicago, IL 60603
United States

Phone:

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

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

TI-TRUST, Inc.

Dawn Goestenkors
TI-TRUST, Inc.
15 Salt Creek Lane, Suite 117
Hinsdale, IL 60521
United States

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

Listed under:
ESOP trustee and fiduciary services
Independent board member

TI-TRUST, Inc.

Dawn Goestenkors
TI-TRUST, Inc.
2900 North 23rd Street
Quincy, IL 62305
United States

Phone:

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

Listed under:
ESOP trustee and fiduciary services
Independent board member

Vedder Price

Daniel Lange
Vedder Price
222 N. LaSalle Street
Chicago, IL 60601
United States

Phone:
Listed under:
ESOP law firm

Vedder Price P. C.

Mark Bogart
Vedder Price P. C.
222 N. LaSalle Street
Chicago, IL 60601
United States

Phone:

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

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

Verit Advisors

Mary Sullivan Josephs
Verit Advisors
181 W Madison Street, Suite 3800
Chicago, IL 60641
United States

Phone:

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

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

Wells Fargo

Kim Abello
Wells Fargo
10 S Wacker Drive, 15th Floor
Chicago, IL 60502
United States

Phone:

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

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

Wells Fargo Advisors

Meredith Fiocchi, Financial Consultant
Wells Fargo Advisors
425 N Martingale Rd, Suite 200
Schaumburg, IL 60173
United States

Phone:

Our team specializes in ESOP education, beginning with an ESOP 101 conversation to help clients determine if an ESOP is right for them. Throughout a transaction, we collaborate with other business lines at Wells Fargo to help support a transaction from start to finish. Our team specifically focuses on Section 1042 tax deferral, portfolio design, and wealth management. We also focus on ESOP trust asset management, specifically designed around repurchase obligation needs. Wells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.

Listed under:
ESOP investment and 1042 rollover advice

Wintrust

Patrick Stoltz
Wintrust
1545 Ellinwood Avenue
Des Plaines, IL 60016
United States

Phone:

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

Listed under:
ESOP financing and investment banking

Indiana

Barnes & Thornburg LLP

Eric Moy
Barnes & Thornburg LLP
11 South Meridian Street
Indianapolis, IN 46204
United States

Phone:

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

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

BKD, LLP

Shaun Duffin
BKD, LLP
201 N. Illinois Street, Suite 700
Indianapolis, IN 46204
United States

Phone:

BKD is a top 15 CPA firm in the US. I am a member of BKD's Forensics & Valuation Services division overseeing BKD's East Region. Located in Indianapolis, I am BKD's firmwide valuation lead for ESOP valuations. I have provided services to clients in numerous industries, including health care, manufacturing, wholesale/distribution, fabrication, retail, construction, computer software, insurance, advertising/marketing, engineering/architecture, professional services, technology, and food service. I have performed business valuation services for more than 12 years, completing in excess of 1,200 valuations.

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Fiduciary Trust Services, Inc.

Thomas Potts
Fiduciary Trust Services, Inc.
5140 Commerce Circle
Indianapolis, IN 46237
United States

Phone:

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

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

Horizon Trust & Investment Management

Dave Van Ness
Horizon Trust & Investment Management
1216 West Carmel Drive
Carmel, IN 46032
United States

Phone:

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

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

Horizon Trust & Investment Management

Tracy E. Woolsey
Horizon Trust & Investment Management
515 Franklin Square
Michigan City, IN 46360
United States

Phone:

Horizon Trust is located on Lake Michigan just outside of Chicago and has provided trustee and custodial services for retirement plans since the 1960s. Since 1986, Horizon Trust has been working with ESOPs, and we have established a committee of dedicated professionals, each devoted to specific areas of ESOP focus and expertise including: risk management, valuation, legal, and retirement plans. Each committee member brings a unique perspective to the transaction and ongoing trusteeship processes, allowing us to find creative solutions to difficult problems.

Listed under:
ESOP trustee and fiduciary services
ESOP general consulting
Employee education and financial advice
ESOP administration
ESOP repurchase obligation consulting

Katz, Sapper & Miller

Andy Manchir
Katz, Sapper & Miller
800 East 96th Street, Suite 500
Indianapolis, IN 46240
United States

Phone:

The professionals of KSM combine the depth of ESOP Valuation and Financial Advisory experience with the breadth that comes from the firm's position as a leader in the areas of accounting, audit and consulting services. Katz, Sapper & Miller knows the value and challenges of an ESOP firsthand. Since implementing our own ESOP in 2000, we have benefited from the same values and overcome the same obstacles that you are facing. We understand the distinct opportunities an ESOP provides to owners and employees and know that the key to staying ahead is having knowledgeable, trusted advisors on your side. We provide a wide range of professional services -- from ESOP consideration (feasibility studies) to the closing of the transaction.

Listed under:
ESOP accounting and liquidity studies
ESOP valuation
ESOP general consulting
Equity compensation accounting
Equity compensation plan design
Equity compensation valuation
Equity compensation employee financial advice

Krieg DeVault LLP

Alexander Mounts
Krieg DeVault LLP
One Indiana Square, Suite 2800
Indianapolis, IN 46204
United States

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

Listed under:
ESOP law firm

McCready and Keene, Inc. (a OneAmerica Company)

Jackie Salmon
McCready and Keene, Inc. (a OneAmerica Company)
One American Square
Indianapolis, IN 46282
United States

Phone:

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

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

Olson Mills Law Firm, LLC

Van Olson
Olson Mills Law Firm, LLC
70 E. 91st Street, Suite 106
Indianapolis, IN 46240
United States

Phone:

Our law firm is focused on employee stock ownership plans and companies, providing legal services to business owners, management teams, and ESOP fiduciaries. In addition to advising clients, we draft and advise on any needed plan and transaction documents. Our firm also advises on non-ESOP stock ownership and executive deferred compensation plans for ESOP companies, including stock option plans, phantom share plans, stock appreciate rights plans, and management incentive plans.

Listed under:
ESOP law firm
Equity compensation law firm

Oxford Financial Group

Richard Hall
Oxford Financial Group
11711 North Meridian Ste 600
Indianapolis, IN 46280
United States

Phone:

The ESOP companies, owners, foundations, endowments and other institutional clients we work with tell us that two of the qualities they value most about us are our total objectivity and our broad reach. The objectivity is supported by our fee-only business model. Oxford Financial Group, Ltd., has no proprietary products and no revenue-sharing arrangements with banks, investment managers, broker-dealers or administrative service providers. The reach comes partly from our size, and partly from the long-term relationships we've established with top-tier money managers in traditional markets, as well as from alternative investment strategies such as hedge funds, private equity, real estate and natural resources.

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

Kansas

Prairie Capital Advisors, Inc.

Stephanie Carlin
Prairie Capital Advisors, Inc.
7300 West 110th Street, 7th Floor
Overland Park, KS 66210
United States

Phone:

Prairie Capital Advisors, Inc. provides investment banking, ESOP advisory and valuation services to support 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:
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation plan design
Equity compensation valuation

Kentucky

BKD, LLP

Alan Taylor
BKD, LLP
400 East Main Street
Bowling Green, KY 42101
United States

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

Canavera Financial Group, LLC

Clifford Canavera, CFP®, MBA
Canavera Financial Group, LLC
9300 Shelbyville Road, Suite 1250
Louisville, KY 40222
United States

Phone:

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

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

Findley

Alex Grasser
Findley
11807 Brinley Avenue
Louisville, KY 40243
United States

Phone:

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

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

Open-Book Coaching LLC

Bill Fotsch
Open-Book Coaching LLC
801 Windgate Court
Villa Hills, KY 41017
United States

Phone:

We help companies improve their results and the lives of the employees who drive those results, by empowering everyone to think and act like owners. We have worked with over 400 companies ranging from Southwest Airlines and Capital One, to many privately held companies, many of which are NCEO members. Our compensation is results based, further aligning our interests with our clients. We have conducted several NCEO presentations and webinars. If interested in learning more, visit our website or contact us @ info@openbookcoaching.com.

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

Prairie Capital Advisors, Inc.

Tim Jamison
Prairie Capital Advisors, Inc.
312 S. 4th Street, Suite 700
Louisville, KY 40202
United States

Phone:

Prairie Capital Advisors, Inc. provides investment banking, ESOP advisory and valuation services to support 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:
ESOP financing and investment banking
ESOP valuation
ESOP general consulting
Equity compensation plan design
Equity compensation valuation

Retirement Management Services, LLC

Amber Lloyd, APA, CMFC, CFP, ERPA
Retirement Management Services, LLC
905 Lily Creek Road
Louisville, KY 40243
United States

Phone:

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

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

Louisiana

Chaffe & Associates, Inc.

Marc Katsanis, CPA/ABV, CFA, CPVA
Chaffe & Associates, Inc.
201 St. Charles Avenue, Suite 1410
New Orleans, LA 70170
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Massachusetts

E.J. Callahan & Associates, LLC

Steve Zaremba
E.J. Callahan & Associates, LLC
8 Cedar Street, Suite 61
Woburn, MA 1801
United States

Phone:

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

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

Gordon Associates, Inc.

Howard Gordon
Gordon Associates, Inc.
One Gateway Center, Suite 312
Newton, MA 2458
United States

Phone:

Gordon Associates, Inc. is a Boston-based firm that specializes in business valuation, providing initial and ongoing stock valuation services to ESOP companies of all sizes and for stock option purposes complying with IRS Section 409(A) and ASC 718 (formerly FAS 123(R)), ASC 350 (Goodwill) and ASC 805 (Asset Allocation). The professional staff has a combined experience comprising in excess of 6,000 appraisals, which ensures the competent handling of even the most complex issues.

Listed under:
ESOP valuation
Equity compensation valuation

Maselan & Jones, P.C.

W. Terence Jones
Maselan & Jones, P.C.
One International Place
Boston, MA 2110
United States

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

Listed under:
ESOP law firm
Equity compensation law firm

Ownership Associates, Inc.

Christopher Mackin
Ownership Associates, Inc.
17 Story Street
Cambridge, MA 2138
United States

Phone:

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

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

Prairie Capital Advisors

Andrew O'Neill
Prairie Capital Advisors
225 Franklin Street, Suite 2600
Boston, MA 2110
United States

Phone:

Prairie Capital Advisors, Inc. provides investment banking, ESOP advisory, and valuation services to support 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:
ESOP financing and investment banking
ESOP valuation
Equity compensation plan design
Equity compensation valuation

Sentinel Benefits & Financial Group

Lisa Jones
Sentinel Benefits & Financial Group
100 Quannapowitt Pkwy, Suite 300
Wakefield, MA 1880
United States

Phone:

We are a one-stop shop for all an employer's benefits needs. We provide administration, recordkeeping, document, and compliance services for all types of retirement plans, including ESOPs, plus administration (and, where needed, document) services for COBRA, cafeteria plans (including flexible spending accounts), health reimbursement accounts, and health savings accounts. We also provide investment advisory services for individuals and retirement plans. We have a full-service insurance agency to meet employers' and individuals' health, life, disability, etc. insurance needs. Our staff members are very experienced and highly credentialed, and include attorneys and actuaries.

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

Maryland

KatzAbosch

David Witherspoon
KatzAbosch
9690 Deereco Rd., Suite 500
Timonium, MD 21093
United States

KatzAbosch is a full service accounting firm. Our Advisory Services group specializes in ESOP appraisals and related litigation support services.

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

Menke & Associates, Inc.

Phillip DeDominicis
Menke & Associates, Inc.
1605 Town Point Road
Chesapeake City, MD 21915
United States

Phone:

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

Listed under:
ESOP financing and investment banking
ESOP general consulting

SC&H Group

Duke Allen
SC&H Group
910 Ridgebrook Road
Sparks, MD 21152
United States

Phone:

SC&H has dedicated ESOP experts on staff to assist with the formation and administration of ESOPs. We rely on the specialized knowledge of our professionals to serve ESOP clients nationwide, assisting plan sponsors and trustees in establishing and maintaining well designed ESOPs. As an ESOP-owned company, SC&H has the real world experience needed to help our clients navigate the unique aspects of an ESOP. Our ESOP services include performing independent valuations on behalf of plan trustees, rendering fairness opinions on ESOP related transactions, performing ESOP plan audits, and providing plan sponsor financial statement audit and tax advisory services.

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

Tucker & Meltzer Valuation Advisors

Anne Meltzer
Tucker & Meltzer Valuation Advisors
816 Queens Park DR
Owings Mills, MD 21117
United States

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
Equity compensation valuation

Wells Fargo

Joseph Gilbert
Wells Fargo
7475 Wisconsin Ave
Bethesday, MD 20814
United States

Phone:

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

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

Wells Fargo Advisors, LLC

Jamie Waldren
Wells Fargo Advisors, LLC
10490 Little Patuxent Parkway Suite 500
Columbia, MD 21044
United States

Phone:

Jamie M. Waldren is a Managing Director in Wells Fargo Advisors Columbia, Maryland office. Industry Experience: 1992. Qualifications: FINRA Registered Representative (Series 7, 8, 63, 65, and 31); Certified Financial Planner. Professional Specialties: Wealth Management & Investment Management, Business Advisory, and ESOP section 1042 rollovers. Wells Fargo does not give legal or tax advice.

Listed under:
ESOP investment and 1042 rollover advice

Maine

Actuarial Designs & Solutions, Inc.

Joan McCabe
Actuarial Designs & Solutions, Inc.
200 US Route One Centervale Farm
Scarborough, ME 4074
United States

Phone:

Actuarial Designs & Solutions, Inc. is full service retirement plan consulting firm. Since 1995 ADS has partnered with employers to successfully recruit, retain, reward and retire their employees. Our goal is to make the complex technical exercise of sponsoring an ESOP understandable to management and plan participants. We provide employee owned companies with services that include plan administration, recordkeeping, design and consulting, repurchase liability forecasting, compliance testing, participant call center and website portal, employee meetings and group presentations. Our practice includes nonqualified, defined benefit, cash balance plans, 401(k) and 403(b) plans. Our experienced staff includes actuaries, ERPAs, QPAs, QKAs and Accredited Investment Fiduciaries (AIF®).

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

BerryDunn

William Enck
BerryDunn
100 Middle Street
Portland, ME 4101
United States

Phone:

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

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

Marcum LLP

Heidi Walker, CPA, ABV, ASA
Marcum LLP
100 Commercial Street, Suite 300
Portland, ME 4101
United States

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

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

Spinnaker Trust

Jeannine Pendergast
Spinnaker Trust
123 Free Street
Portland, ME 4101
United States

Phone:

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

Listed under:
ESOP trustee and fiduciary services

Spinnaker Trust

Jeannine Penderagst
Spinnaker Trust
123 Free Street
Portland, ME 4112
United States

Phone:

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

Listed under:
ESOP trustee and fiduciary services

Michigan

Adamy Valuation Advisors

Nick Adamy
Adamy Valuation Advisors
50 Louis St. NW, Suite 405
Grand Rapids, MI 49503
United States

Phone:

Adamy Valuation is an independent business valuation firm, specializing in ESOP valuation as well as valuation for a wide variety of other purposes. Located in the Midwest, we serve clients across the country. We have served ESOP clients for four decades in a variety of industries and sizes.

Listed under:
ESOP valuation

Center for Community Based Enterprise, Inc. / Deborah Groban Olson, Attorney at Law, PLLC

Deborah Groban Olson
Center for Community Based Enterprise, Inc. / Deborah Groban Olson, Attorney at Law, PLLC
1021 Nottingham Road
Grosse Pointe Park, MI 48230
United States

Phone:

Since 1981, Attorney Deborah Groban Olson has specialized in employee ownership and corporate transactions, representing employee-owned companies, ESOP trusts, selling owners, cooperatives, and unions. Olson is the executive director of the Center for Community Based Enterprise, Inc. (C2BE), a non-profit that, with the law firm, provides a consulting group of attorneys, MBAs, marketers, financial analysts, and educators providing a broad range of services for development, conversion to, and maintenance of employee-owned companies. Olson and C2BE's staff are experienced in many types of employee ownership, including ESOPs, cooperatives, and employee ownership trusts. Olson is board chair of Once Again Nut Butter, a 100% employee-owned company, and previously was chair of the NCEO's board.

Listed under:
ESOP law firm
ESOP general consulting
Equity compensation law firm
Equity compensation plan design
Employee communications
Employee education and financial advice
Employee participation

Ferguson & Widmayer, P.C.

Warren Widmayer
Ferguson & Widmayer, P.C.
538 North Division
Ann Arbor, MI 48104
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

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

William Sigler
Maddin, Hauser, Roth & Heller, P.C.
28400 Northwestern Highway, Suite 200
Southfield, MI 48034
United States

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

Listed under:
ESOP law firm
Equity compensation law firm

Watkins Ross

David Bosch
Watkins Ross
200 Ottawa Ave Nw, Suite 600
Grand Rapids, MI 49503
United States

Phone:

Watkins Ross is an ESOP administration and consulting firm. Since we are 100% ESOP-owned, the employees of Watkins Ross live and breathe ESOP every day. Consequently, we bring a uniquely qualified perspective to the issues ESOP participants and decision-makers face. We understand that comprehensive administration of an ESOP is required if a company intends to take full advantage of the various financial opportunities that sponsoring an ESOP can offer. David Bosch is our lead ESOP Consultant. He is actively involved in the ESOP community and currently serves as an Associate Member of The ESOP Association's Administration Advisory Committee and as President of the Michigan Chapter of the ESOP Association.

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

Minnesota

BMO Harris Bank N.A.

Jessica Markkula
BMO Harris Bank N.A.
50 South Sixth Street
Minneapolis, MN 55402
United States

Phone:

BMO Harris Bank provides a broad range of banking products and solutions. These include solutions for everyday banking, financing, and investing, as well as a full suite of integrated commercial and financial advisory services. BMO Harris Bank's commercial banking team provides a combination of sector expertise, local knowledge and mid-market focus throughout the U.S. From structuring a loan to managing cash flow, BMO Harris Bank offers a full range of financial solutions to meet business' unique demands.

Listed under:
ESOP financing and investment banking
ESOP general consulting

Boulay

Dan Markowitz
Boulay
7500 Flying Cloud Drive, Suite 800
Minneapolis, MN 55344
United States

Phone:

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

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

Bremer Trust, N.A.

Kevin Weise
Bremer Trust, N.A.
225 South 6th Street, Suite 200
Minneapolis, MN 55402
United States

Phone:

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

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

Chartwell

Paul J. Halverson, ASA
Chartwell
150 South Fifth Street, Ste 2700
Minneapolis, MN 55402
United States

Phone:

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

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

CLA (CliftonLarsonAllen)

Darren Paumen
CLA (CliftonLarsonAllen)
818 Second Street South
Waite Park, MN 56387
United States

Phone:

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

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

Dorsey & Whitney LLP

Michael Voves
Dorsey & Whitney LLP
50 South Sixth Street, Suite 1500
Minneapolis, MN 55402
United States

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

Fredrikson & Byron, P.A.

Debra Linder
Fredrikson & Byron, P.A.
200 South Sixth Street, Suite 4000
Minneapolis, MN 55402
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

KeyStone Search

Mike Frommelt
KeyStone Search
105 5th Avenue South, Suite 512
Minneapolis, MN 55401
United States

Phone:

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

Listed under:
ESOP general consulting

Kovell Advisory Services, LLC

Bob Kovell
Kovell Advisory Services, LLC
1916 Linda Ln
Saint Cloud, MN 56301
United States

Phone:

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

Listed under:
ESOP general consulting
Independent board member

Principal Financial Group

Joel Davis
Principal Financial Group
11100 Wayzata Boulevard, Suite 405
Minnetonka, MN 55305
United States

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

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

Roach Business Law. P.A.

Joe Roach
Roach Business Law. P.A.
4608 Tower Street, Suite 200
Edina, MN 55424
United States

Phone:

Roach Business Law is a full service law firm focusing on corporate and banking matters. Our principal is a business owner and former banker. During his career he held almost all positions in a bank, including as CEO. He is currently the CEO of several businesses (for-profit as well as non-profits) that he founded. Now he advises his clients with his legal expertise as well as years of experience as a business person and owner. Our goal is to be a trusted adviser to each of our clients. We believe that we offer and provide an in-depth and cost effective representation in all things business. In addition to our representation, we are committed to giving back to our clients by offering them seminars, training, and charitable donations.

Listed under:
ESOP law firm
ESOP trustee and fiduciary services
ESOP general consulting
Equity compensation law firm
Equity compensation plan design
Employee communications
Employee education and financial advice
Employee participation
Independent board member
ESOP administration
ESOP repurchase obligation consulting

Saul Ewing Arnstein & Lehr LLP

Andy Daly
Saul Ewing Arnstein & Lehr LLP
33 South 6th Street
Minnapolis, MN 55402
United States

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

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

Saul Ewing Arnstein & Lehr LLP

Steve Eide
Saul Ewing Arnstein & Lehr LLP
33 South Sixth Street, Suite 4750
Minneapolis, MN 55402
United States

Phone:

Steve is a partner in SEA&L's Minneapolis office, which opened in 2019. Since graduating from the Yale Law School, he has devoted more than 30 years to advising ESOP companies and ERISA fiduciaries. Steve advises employers on the feasibility, design and implementation of successful ESOPs. He has extensive experience with the use of ESOPs as a succession strategy for business owners and as a vehicle for corporate acquisitions. Steve is frequently retained to defend ESOP fiduciaries in Department of Labor investigations and has represented both corporate and inside trustees in numerous ESOP transactions.

Listed under:
ESOP law firm

Stinson Leonard Street LLP

Jeffrey Cairns, JD, CPA
Stinson Leonard Street LLP
150 S. 5th Street #2300
Minneapolis, MN 55402
United States

Phone:

Since 1981, we have been providing clients with consulting and/or legal services involving feasibility, design, drafting of ESOPs and ESOP trusts; IRS determination letters, IRS and Department of Labor plan investigations and voluntary correction programs; fiduciary representation and advice, stock option, phantom stock and restricted stock plan design and implementation; income tax planning.

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

Value Consulting Group

Patrick Schmidt
Value Consulting Group
2265 Waters Dr.
Mendota Heights, MN 55120
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Missouri

ButcherJoseph & Co. Investment Bank

Keith Butcher
ButcherJoseph & Co. Investment Bank
101 S. Hanley, Suite 1450
St. Louis, MO 63105
United States

Phone:

ButcherJoseph&Co. is an investment bank headquartered in St. Louis, Missouri with coverage in Chicago, Washington, D.C., and Charlotte, North Carolina. As a middle market investment bank, ButcherJoseph & Co. provides services in the following areas: business sale or acquisition, strategic advice, debt and equity sourcing, and recapitalization, with a particular expertise in ESOPs. With more than $5 billion in successfully completed ESOP structured transactions, ButcherJoseph & Co. is known as a leader in the ESOP field.

Listed under:
ESOP financing and investment banking

Greensfelder, Hemker, & Gale, P.C.

Thomas Mug
Greensfelder, Hemker, & Gale, P.C.
10 South Broadway, Suite 2000
St. Louis, MO 63102
United States

Phone:

The Employee Benefits Practice at Greensfelder provides a full range of legal services involving qualified retirement plans, welfare benefits, and executive compensation programs. A significant part of this practice involves advising companies considering the adoption of an ESOP. The ESOP team designs, drafts, and implements employee stock ownership plans, coordinating such efforts with the client's other advisors, plan administrators, valuation experts, and lenders. The team structures transactions that will meet the long-term goals of the ESOP company. It also represents ESOP trustees, lenders, and selling shareholders. Greensfelder provides ongoing representation of ESOP plan sponsors in maintaining the qualified status of the ESOP.

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

Hopkins & Howard, CPAs and Bank Stock Appraisers

Joe Hopkins
Hopkins & Howard, CPAs and Bank Stock Appraisers
130 South Bemiston Suite 600
St. Louis, MO 63105
United States

Phone:

Our firm has performed hundreds of stock valuations for banks across the country. We have performed bank stock valuations for use in ESOPs, stock option plans, estate tax returns, internal capital planning, litigation defense and a variety of other uses by banks and their shareholders. Our nation-wide practice puts Hopkins and Howard among the largest bank-only valuation firms in the United States. Joe Hopkins, the principal of Hopkins & Howard responsible for our valuation practice, has over 35 years of experience serving community banks across the country as a CPA. He worked for nine years in the St. Louis office of KPMG in their bank audit practice prior to founding Hopkins & Howard. Last year, Hopkins and Howard performed over 125 stock valuations for banks.

Listed under:
ESOP valuation
Equity compensation valuation

Polsinelli

Jamie Zveitel Kwiatek
Polsinelli
100 S. Fourth Street, Suite 1000
St Louis, MO 63102
United States

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

Listed under:
ESOP law firm
Equity compensation law firm

Polsinelli PC

Michael Conger
Polsinelli PC
900 W. 48th Place, Suite 900
Kansas City, MO 64112
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

Stern Brothers Valuation Advisors

John Korschot
Stern Brothers Valuation Advisors
1044 Main Street, Suite 900
Kansas City, MO 64105
United States

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

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

The Great Game of Business, Inc

Steve Baker
The Great Game of Business, Inc
2401 E. Sunshine St
Springfield, MO 65804
United States

Phone:

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

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

Montana

Benefits & Business Law Advisor PLLC

Mark Sletto
Benefits & Business Law Advisor PLLC
306 Stoner Loop, Suite 7
Lakeside, MT 59922
United States

Phone:

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

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

Holland & Hart LLP

Elizabeth Nedrow
Holland & Hart LLP
401 North 31st Street, Suite 1500
Billings, MT 59101
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

North Carolina

Chartwell

Matt Keene
Chartwell
13200 Strickland Road, Suite 114334
Raleigh, NC 27613
United States

Phone:

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

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

ComStock Advisors

Brant Armentrout, CFA
ComStock Advisors
4400 Silas Creek Pkwy
Winston-Salem, NC 27104
United States

Phone:

ComStock Advisors is a premier national financial advisory firm that delivers expert, objective, and defensible analyses and opinions. Business owners and their advisors choose us when they need to measure, enhance, preserve, and transfer the value of their business interests. Working closely with boards of directors, family offices, management, trustees, and other advisors, we develop an in-depth understanding of both the financial considerations and the underlying business drivers of each business. We then address each client's requirements by leveraging our expertise/experience in ESOPs & employee benefits; estate, gift & tax; litigation services; corporate transactions; financial reporting; and trust special asset services.

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

Moore & Van Allen PLLC

Michael Zeller
Moore & Van Allen PLLC
100 N. Tryon Street, Suite 4700
Charlotte, NC 28202
United States

Phone:

With over 300 legal professionals, a long history of civic service, and noted national, regional, and local clients, Moore & Van Allen ranks among the Southeast's pre-eminent and fastest growing full-service law firms with an active ESOP practice representing both companies and institutional trustees in connection with the implementation and governance of employee stock ownership plans.

Listed under:
ESOP law firm
Equity compensation law firm

Thinc Strategy, Inc

Cindy Anderson, CPA
Thinc Strategy, Inc
6000 Fairview Road Suite 1200
Charlotte, NC 28210
United States

Phone:

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

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

North Dakota

Core Corporation

Thomas Mohagen
Core Corporation
1531 32nd Ave S, Ste 102
Fargo, ND 58103
United States

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:
ESOP accounting and liquidity studies
ESOP general consulting
Equity compensation administration
Equity compensation plan design
Employee communications
Independent board member
ESOP administration
ESOP repurchase obligation consulting

SES ESOP Strategies

Bart McIlonie
SES ESOP Strategies
3259 Oak Ridge Loop
West Fargo, ND 58078
United States

Phone:

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

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

Nebraska

Acclaro Valuation Advisors

Chris E. Best
Acclaro Valuation Advisors
14344 Y Street, Suite 102
Omaha, NE 68137
United States

Phone:

Acclaro Valuation Advisors, LLC is a full service business appraisal firm specializing in the valuation of closely-held business entities. We assist fiduciaries across the nation by preparing valuations and fairness opinions for initial transactions as well as annual update valuations. Founded in 1999 on the principles of integrity, accredited expertise, quality results and superior service, these best practices remain the cornerstone of the firm's proven valuation process. Our mission is to serve our clients by consistently delivering independent, technically sound, well-researched, and defensible valuation reports every time.

Listed under:
ESOP valuation

McGrath North

Joan Cannon
McGrath North
1601 Dodge Street, Suite 3700
Omaha, NE 68102
United States

Phone:

Full Service firm with large Tax / ERISA / ESOP practice area serving large national and regional companies and small local companies.

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

New Hampshire

Atlantic Management Company, Inc.

John P. Murphy
Atlantic Management Company, Inc.
Orchard Park, Ste. A12
Portsmouth, NH 3801
United States

Phone:

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

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

Caron & Bletzer, PLLC

John Bletzer
Caron & Bletzer, PLLC
51 Church St.
Kingston, NH 3848
United States

Phone:

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

Listed under:
ESOP accounting and liquidity studies

Devine, Millimet & Branch

Tabitha Croscut
Devine, Millimet & Branch
111 Amherst St.
Manchester, NH 3101
United States

Phone:

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

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

McLane, Graf, Raulerson & Middleton PA

John Bentas
McLane, Graf, Raulerson & Middleton PA
900 Elm Street
Manchester, NH 3101
United States

Phone:

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

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

ROI Cubed, LLC

George Raftopoulos
ROI Cubed, LLC
Two International Drive, Ste. 112
Portsmouth, NH 3801
United States

ROI Cubed, LLC is a full service value growth, exit planning, M&A boutique firm working with business owners on ESOP as a viable exit strategy. Pre-ESOP we help owners evaluate if an ESOP is right for their organization, then focus on key value drivers that will help increase value as they head to ESOP valuation. We conduct high-level feasibility studies and then help integrate and introduce/educate employees on what it means to be an ESOP company and how ESOP fits into their retirement plan.

Listed under:
ESOP investment and 1042 rollover advice
ESOP general consulting
Equity compensation plan design
Equity compensation employee financial advice
Employee communications
Employee education and financial advice
Employee participation
Independent board member
ESOP administration
ESOP repurchase obligation consulting

New Jersey

Archer & Greiner, PC

Mark Kossow
Archer & Greiner, PC
1 Centennial Square
Haddonfield, NJ 8033
United States

Phone:

Archer & Greiner is a full service, regional law firm with a reputation for providing the highest quality, result-driven legal services to corporate and individual clients. One of the largest law firms in the Delaware Valley and among the five largest in New Jersey, Archer & Greiner has served businesses and individuals throughout the region and in an increasing number of other states and jurisdictions for over 85 years. The firm's principal office is located in Haddonfield, New Jersey, a suburb of Philadelphia. Additional offices are located in Philadelphia, Pennsylvania, Princeton, Hackensack, Flemington & Red Bank, New Jersey, Wilmington, Delaware and New York City.

Listed under:
ESOP law firm
Equity compensation law firm

Hempstead & Co. LLC

J Mark Penny
Hempstead & Co. LLC
Two Executive Campus 2370 State Route 70 West Suite 314
Cherry Hill, NJ 8002
United States

Phone:

Valuation firm

Listed under:
ESOP valuation

Kossow

Mark R.
Kossow
Clark Hill PLC - 210 Carnegie Center
Princeton, NJ 8540
United States

Phone:

Mark R. Kossow supports clients from banks and trustees to directors, shareholders and corporations on ESOP-related issues, encompassing both transactional and non-transactional matters. Mark also represents private and public ESOP companies. His transactional background includes representing clients in leveraged and non-leveraged ESOP transactions, consisting of stock purchases, mergers, leveraged buyouts, acquisitions and corporate reorganizations. Clark Hill is an international law firm with multidisciplinary practices that draw on our attorneys' industry and policy knowledge, our deeply held shared values, and a global network of premier firms and advisors to provide innovative legal solutions and client service excellence worldwide.

Listed under:
ESOP law firm
ESOP valuation
ESOP general consulting
Equity compensation administration
Equity compensation plan design
Equity compensation valuation
Equity compensation employee financial advice
ESOP administration
ESOP repurchase obligation consulting

Pilot Hill Advisors LLC

Robert E. Massengill
Pilot Hill Advisors LLC
55 Union Place, Suite 131
Summit, NJ 7901
United States

Phone:

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

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

Nevada

Benefit Capital Companies Inc.

Robert W. Smiley, Jr.
Benefit Capital Companies Inc.
P.O. Box 542
Logandale, NV 89021
United States

Phone:

Benefit Capital Companies Inc. has offices in Los Angeles, Irvine, Nevada, Hawaii, Dallas, and New York. It specializes in employee and management buyouts using leveraged ESOPs. The firm can structure transactions, assist in obtaining financing, and provide feasibility services, plan design, investment banking, and corporate finance services. Mr. Smiley has written widely on the subject of employee ownership and is a founder of the ESOP Association and a trustee of the Employee Ownership Foundation, and a Lifetime Member of the ESOP Association.

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

BSI

Edgar Calove
BSI
4760 S. Fort Apache Road, Suite 100
Las Vegas, NV 89147
United States

Phone:

BSI is one of the oldest firms in the ESOP industry and has been administering ESOPs since 1974.

Listed under:
ESOP administration
ESOP repurchase obligation consulting

New York

Aegis Fiduciary Services

Robert E. Lesser
Aegis Fiduciary Services
70 E Sunrise Hwy Ste 500
Valley Stream, NY 11581-1233
United States

Phone:

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

Listed under:
ESOP trustee and fiduciary services

Benefit Concepts Systems, Inc.

Donald Israel
Benefit Concepts Systems, Inc.
57 W 38th St, Room 302
New York, NY 10018
United States

Phone:

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

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

Christopher Michael P.C.

Christopher Michael
Christopher Michael P.C.
244 Fifth Avenue, Suite C230
New York, NY 10001
United States

Chris operates a boutique law firm focusing on employee ownership trusts, also known as perpetual trusts. He is responsible for developing the perpetual trust as a new legal mechanism for employee ownership in the United States. In addition to working with businesses to introduce an EOT, Chris is also available to consult with existing ESOP companies on transitioning to an EOT, as well as on amending ESOP trusts to better accord with traditional principles of employee ownership. Outside his law practice, Chris is finishing a Ph.D. dissertation on the history of employee ownership. Chris is a frequent author and speaker on employee ownership and has published articles introducing the U.S. perpetual trust in leading peer-reviewed law journals, including Tax Notes and Probate & Property.

Listed under:
ESOP law firm
ESOP general consulting
Employee participation
Independent board member

Empire Valuation Consultants, Inc.

Terence Griswold, ASA
Empire Valuation Consultants, Inc.
3255 Brighton Henrietta Town Line Road
Rochester, NY 14623
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Fox Rothschild LLP

Harvey Katz
Fox Rothschild LLP
100 Park Avenue, 15th Floor
New York, NY 10017
United States

Phone:

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

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

J.P. Morgan

Eric Zaiman
J.P. Morgan
270 Park Avenue, 41st floor
New York, NY 10017
United States

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

Jackson Lewis P.C.

Brian Goldstein
Jackson Lewis P.C.
18 Corporate Woods Blvd.
Albany, NY 12211
United States

Phone:

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

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

Morrison Cohen LLP

Brian Snarr
Morrison Cohen LLP
909 Third Avenue
New York, NY 10022
United States

Phone:

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

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

Principal Financial Group

Joseph Marx
Principal Financial Group
100 Corporate Parkway, Ste 116
Amherst, NY 14226
United States

Phone:

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

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

Schatz Brown Glassman LLP

Robert Brown
Schatz Brown Glassman LLP
250 Mill Street, Suite 309-311
Rochester, NY 14614
United States

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

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

SES ESOP Strategies

Paul Fusco
SES ESOP Strategies
145 Culver Road, Suite 100A
Rochester, NY 14620
United States

Phone:

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

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

South Park Advisors, LLC

Robert Hilton
South Park Advisors, LLC
95 Allens Creek Road, Bldg. 2, Suite 231
Rochester, NY 14618
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Stout

Aziz El-Tahch
Stout
120 West 45th St., Suite 2900
New York, NY 10036
United States

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

Listed under:
ESOP valuation
ESOP general consulting

Vantage Point Advisors

Jason Malak
Vantage Point Advisors
45 Rockefeller Plaza, Suite 2000
New York, NY 92130
United States

Phone:

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

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Ohio

B2B CFO

Jeff Matthews
B2B CFO
7723 Tylers Place Blvd. #154
West Chester, OH 45069
United States

Phone:

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

Listed under:
ESOP general consulting

Capital Management Consulting, LLC

Jefferson Neal
Capital Management Consulting, LLC
419 Plum Street
Cincinnati, OH 45202
United States

Phone:

CMC has over 20 years experience of providing the most up to date repurchase liability funding options that properly addresses mounting repurchase obligations as well as necessary consulting for fiduciary responsibilities

Listed under:
ESOP administration
ESOP repurchase obligation consulting

ComStock Advisors, Inc.

Lori Wilhelmy, ASA
ComStock Advisors, Inc.
36 E. 7th Street Ste. 2400
Cincinnati, OH 45202
United States

Phone:

ComStock Advisors is a premier national financial advisory firm that delivers expert, objective, and defensible analyses and opinions. Business owners and their advisors choose us when they need to measure, enhance, preserve, and transfer the value of their business interests. Working closely with boards of directors, family offices, management, trustees, and other advisors, we develop an in-depth understanding of both the financial considerations and the underlying business drivers of each business. We then address each client's requirements by leveraging our expertise/experience in ESOPs & employee benefits; estate, gift & tax; litigation services; corporate transactions; financial reporting; and trust special asset services.

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

Crowe Horwath LLP

Pete Shuler
Crowe Horwath LLP
10 W. Broad Street, Suite 1700
Columbus, OH 43215
United States

Phone:

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

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

GBQ Consulting LLC

Brian Bornino
GBQ Consulting LLC
230 West Street, 7th Floor
Columbus, OH 43215
United States

Phone:

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

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

Huntington Bank

Kevin Ward
Huntington Bank
525 Vine Street
Cincinnati, OH 45202
United States

Huntington Bank offers full service banking solutions for individuals, small businesses, and commercial enterprises. Our ESOP Subject Matter Advisor provides commercial lending products services and advice via local market bankers and treasury specialists. We also provide, insurance, private wealth management and retail services.

Listed under:
ESOP insurance and workers compensation
ESOP financing and investment banking
ESOP general consulting

Keating Muething & Klekamp PLL

Michael Scheier
Keating Muething & Klekamp PLL
1 E. 4th St., Suite 1400
Cincinnati, OH 45202
United States

Phone:

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

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

Lazear Capital Partners

Ted Lape
Lazear Capital Partners
401 N Front Street, Suite 350
Columbus, OH 43215
United States

Phone:

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

Listed under:
ESOP financing and investment banking

Libby Perszyk Kathman Holdings

Maura Schilling
Libby Perszyk Kathman Holdings
19 Garfield Place
Cincinnati, OH 45202
United States

Phone:

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

Listed under:
Employee communications
Employee participation
Software

Ohio Employee Ownership Center

Bill McIntyre
Ohio Employee Ownership Center
309 Franklin Hall, Kent State University
Kent, OH 44242
United States

Phone:

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

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

Schatz Brown Glassman LLP

Tim Jochim
Schatz Brown Glassman LLP
4200 Regent Street, Suite 200
Columbus, OH 43219
United States

Phone:

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

Listed under:
ESOP law firm
ESOP general consulting

SES ESOP Strategies

Avery Chenin
SES ESOP Strategies
12429 Cedar Rd, Suite 2
Cleveland, OH 44106
United States

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

Tucker Ellis LLP

Scott Stitt
Tucker Ellis LLP
175 S. Third St. Ste. 520
Columbus, OH 43215
United States

Phone:

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

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

Western Reserve Valuation

Daniel Callanan
Western Reserve Valuation
274 Marconi Blvd. - Suite 140
Columbus, OH 43215
United States

Phone:

ESOP Valuation and Financial Advisory firm for ESOP formations, annual valuation updates, and related corporate transactions. Advising Trustees, selling shareholders, and trusted advisors.

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

Oregon

Business Transition Advisors, Inc.

Fred Thomas
Business Transition Advisors, Inc.
2130 N. Kilpatrick, #17178
Portland, OR 97217
United States

Phone:

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

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

Chartwell

Nick Braun
Chartwell
601 SW Second Avenue, Suite 1900
Portland, OR 97204
United States

Phone:

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

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

Columbia Financial Advisors, Inc.

Donna Walker, CFA, FASA
Columbia Financial Advisors, Inc.
650 Morgan Building, 720 SW Washington Street
Portland, OR 97205
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Pagano Appraisal Group, LLC

Mark Pagano
Pagano Appraisal Group, LLC
P.O. Box 22679
Portland, OR 97269
United States

Phone:

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

Listed under:
ESOP valuation

Pennsylvania

Conrad Siegel

Janel Leymeister
Conrad Siegel
501 Corporate Circle, P.O. Box 5900
Harrisburg, PA 17110-0900
United States

Phone:

Conrad Siegel is an employee benefit and investment advisory firm headquartered in Central PA that provides customized retirement, healthcare benefit and investment planning solutions for businesses and individuals. The firm offers unbiased, fee-based services backed by careful attention to detail. Its investment advisors are independent of any external financial institution and do not receive commissions, allowing them to make objective recommendations in their clients' best interests and beyond the influence of competing financial incentives. Conrad Siegel partners with its clients to serve as a comprehensive source for all employee benefit and investment advisory needs.

Listed under:
Employee education and financial advice
ESOP administration
ESOP repurchase obligation consulting

Crumling & Hoffmaster

Nic Hoffmaster
Crumling & Hoffmaster
615 Skyler Dr
Mount Joy, PA 17552
United States

Phone:

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

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

ESOP Economics, Inc.

Judy Kornfeld
ESOP Economics, Inc.
1608 Walnut Street, Suite 1501
Philadelphia, PA 19103
United States

Phone:

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

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

Grossman Yanak & Ford LLP

Robert Grossman
Grossman Yanak & Ford LLP
Three Gateway Center, Suite 1800
Pittsburgh, PA 15222
United States

Phone:

Grossman Yanak & Ford LLP provides assurance and advisory, tax planning and compliance, business valuation, and ERP solutions services. Our valuation professionals have extensive experience with ESOP plans, providing a wide range of services to companies and their advisors. Our expertise includes: assessment of alternatives; performance of feasibility study; transaction mechanics and plan structure; operational issues; repurchase obligation liability considerations; valuation requirements; and coordination with attorneys, lenders and other advisors.

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

Kleinbard Bell & Brecker LLP

Mary Beth H. Gray
Kleinbard Bell & Brecker LLP
One Liberty Place, 46th Floor, 1650 Market Street
Philadelphia, PA 19103
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

Kreischer Miller

Brian Sharkey
Kreischer Miller
100 Witmer Road, Suite 350
Horsham, PA 19044
United States

Phone:

Kreischer Miller has deep experience in the accounting, tax, and regulatory complexities of ESOPs, including leveraged plans, share allocation, and the valuation process. Our core services include: assessment of whether an ESOP is right for your company; plan design, structure, and set up; plan valuation; compliance with Section 409(p), DOL, and ERISA requirements; analysis of tax benefits; evaluation of liquidity alternatives; redemption planning; estate planning; compliance assistance for the selling shareholder; company and ESOP plan audits and tax compliance; coordination with other professional advisors to the ESOP.

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

Plan Management Corp.

Elena Thomas
Plan Management Corp.
44 West Lancaster Avenue
Ardmore, PA 19003
United States

Phone:

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

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

Praxis Consulting Group, Inc.

Ginny Vanderslice
Praxis Consulting Group, Inc.
9 A/B West Highland Avenue
Philadelphia, PA 19118
United States

Phone:

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

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

SES ESOP Strategies

James Steiker
SES ESOP Strategies
555 City Avenue, Ste 910
Bala Cynwyd, PA 19004
United States

Phone:

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

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

SES ESOP Strategies

Edward Renenger
SES ESOP Strategies
111 North 6th Street
Reading, PA 19601
United States

Phone:

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

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

SES ESOP Strategies, Inc.

James Steiker
SES ESOP Strategies, Inc.
555 City Avenue - Suite 910
Bala Cynwyd, PA 19004
United States

Phone:

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

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

Steven R. Fischer

Steven Fischer
Steven R. Fischer
112 Clydesdale Circle
Eagleville, PA 19403
United States

Phone:

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

Listed under:
ESOP general consulting
Independent board member

TI-TRUST, Inc.

Merri Ash
TI-TRUST, Inc.
1500 Market St, 12th Floor, East Tower
Philadelphia, PA 19102
United States

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

Listed under:
ESOP trustee and fiduciary services
Independent board member

Trout, Ebersole & Groff LLP

Nicole Cradic
Trout, Ebersole & Groff LLP
1705 Oregon Pike
Lancaster, PA 17601
United States

Phone:

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

Listed under:
ESOP accounting and liquidity studies
ESOP valuation

Value Management Inc.

Edward Wilusz
Value Management Inc.
2370 York Rd, E2
Jamison, PA 18929
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Tennessee

Benefit Resources, Inc

Beverly Allen
Benefit Resources, Inc
7588 Fairway Forest Dr N
Cordova, TN 38016
United States

Phone:

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

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

Bradley

David Joffe
Bradley
1600 Division Street, Suite 700
Nashville, TN 37215
United States

Phone:

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

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

Findley

John Stone
Findley
5301 Virginia Way, Suite 400
Brentwood, TN 37027
United States

Phone:

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

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

Gerrish McCreary Smith

John S. Seabold
Gerrish McCreary Smith
P. O. Box 242120
Memphis, TN 38124
United States

Phone:

John Seabold is an attorney with Gerrish and McCreary, a law firm and a consulting firm that primarily offers legal and consulting services to nationwide clients in the financial services industry as well as other businesses. Mr. Seabold concentrates in the areas of ESOPs, employee benefits, executive compensation, taxation, mergers and acquisitions, capital planning, real estate, and general corporate law. He often lectures on these subjects. Mr. Seabold has a law degree and an LLM in taxation.

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

Invictus Fiduciary Services, LLC

Michael New
Invictus Fiduciary Services, LLC
1755 Kirby Parkway, Suite 101
Memphis, TN 38120
United States

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

Listed under:
ESOP trustee and fiduciary services
ESOP general consulting

Southard Financial, LLC

Dave Harris
Southard Financial, LLC
5050 Poplar Avenue, Suite 1925
Memphis, TN 38157
United States

Phone:

Southard Financial, LLC is a business appraisal and transaction advisory firm founded in 1987. Southard Financial provides valuations of corporations, partnerships, and financial institutions for ESOPs, gift and estate taxes, litigation support, intangible assets, and mergers and acquisitions. Other services include fairness opinions, feasibility studies, and transaction advisory services (for owner transition, restructuring, recapitalization, etc.). We currently provide annual ESOP valuation opinions for about 130 companies and financial institutions throughout the country.

Listed under:
ESOP valuation
Equity compensation valuation

Woodall Group, LLC

Gregg Woodall
Woodall Group, LLC
2202 Award Winning Way, Suite 104
Knoxville, TN 37932
United States

Phone:

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

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

Texas

Benefit Capital SouthWest, Inc.

Kenneth Winslow
Benefit Capital SouthWest, Inc.
10000 N. Central Expressway, Suite 400
Dallas, TX 75231
United States

Phone:

BCSW, Inc. provides a full range of ESOP investment banking and financial advisory services, including plan analysis, transaction structure and implementation, post-transaction advisory, and repurchase liability solutions. Mr. Winslow, formerly head of the ESOP Financing Unit at Chemical Bank in New York, is also a member of the ESOP Association and a regular speaker on ESOPs.

Listed under:
ESOP accounting and liquidity studies
ESOP financing and investment banking
ESOP investment and 1042 rollover advice
ESOP valuation
ESOP general consulting
Equity compensation plan design
Equity compensation valuation
ESOP administration
ESOP repurchase obligation consulting

Drinker Biddle & Reath LLP

Jason Luter
Drinker Biddle & Reath LLP
1717 Main St., Ste. 5400
Dallas, TX 75201
United States

Jason counsels his clients on all aspects of employee benefits, ERISA, and legal tax and executive compensation matters. His practice includes plan design, tax qualification, administration, fiduciary responsibility, ESOPs, and compliance with and litigation involving ERISA. With a clear understanding of a wide variety of complex tax and employee benefits issues, Jason represents a diverse group of clients, including Fortune 500 and privately held companies; private equity groups; emerging businesses and venture capital companies; and governmental, quasi-governmental and tax-exempt entities in all aspects of employee benefits and transactional matters, as well as trustees, lenders, management groups and fiduciaries involved with employee stock ownership plans (ESOPs).

Listed under:
ESOP law firm
Equity compensation law firm

Emerson Rickstrew CPA, PLLC

Emerson Rickstrew
Emerson Rickstrew CPA, PLLC
5927 Crescent Lane
Colleyville, TX 76034
United States

Phone:

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

Listed under:
ESOP trustee and fiduciary services
ESOP general consulting

Gardere Wynne Sewell LLP

Michael Abbott
Gardere Wynne Sewell LLP
1000 Louisiana, Ste. 3400
Houston, TX 77096
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

Larry R. Cook & Associates

Larry Cook
Larry R. Cook & Associates
13231 Champion Forest Drive, Suite 201
Houston, TX 77381
United States

Phone:

We pride ourselves on our experience, our accessibility, our integrity, our depth of skills, and our partnership approach. Our accredited appraisers are thought leaders in business valuation and decision consulting. From buy/sell agreements to ESOPs to estate and gift tax, our team has decades of experience in all types of valuation. Valuation is as much an art as a science; not all valuators are created equally.Experience and creativity are incredibly important. Our experience across industries and valuation scenarios allows us to understand situations and variables that may not be obvious to less experienced appraisers, so with Larry R Cook & Associates, PC you can be assured that your valuation will be well-reasoned and justifiable.

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

Lubbock National Bank

Christopher Robinson
Lubbock National Bank
4006 82nd Street
Lubbock, TX 79423
United States

Phone:

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

Listed under:
ESOP trustee and fiduciary services

McDermott Will & Emery

Allison Wilkerson
McDermott Will & Emery
2501 North Harwood Street Suite 1900
Dallas, TX 75201
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

Milliman

Chris Geddie
Milliman
10000 N. Central Expressway
Dallas, TX 75231-4177
United States

Phone:

Since 1947, Milliman has created retirement solutions to meet the unique needs of our clients, including administering Employee Stock Ownership Plans (ESOPs). We appreciate the ESOP culture and the impact of employee ownership on your organization, your people and our economy. From optimized plan design and 401(k) integration, to streamlined plan administration and repurchase liability studies, to compliance confidence and custom communication, Milliman can help.

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

Principal Financial Group

Owen Schmidt
Principal Financial Group
6500 West Freeway, Suite 555
Fort Worth, TX 76016
United States

Phone:

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

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

SES ESOP Strategies

Mark Russell
SES ESOP Strategies
777 Main Street, Suite 600
Fort Worth, TX 76102
United States

Phone:

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

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

Strategic Investment Counsel Corporation

Colin Henderson
Strategic Investment Counsel Corporation
9405 Mercer Drive
Dallas, TX 75228
United States

Phone:

Strategic Investment Counsel Corporation (Strinco) is an independent investment management firm providing portfolio management services to small-to-middle market businesses and their owners. Our primary focus is the development and management of ERISA tax-exempt retirement plans, including employee stock ownership plans. We pride ourselves on our attention to detail, our business acumen, our knowledge of financial markets, and our exceptional client service. Through consistent successes Strinco has earned a national reputation for quality.

Listed under:
ESOP investment and 1042 rollover advice
ESOP trustee and fiduciary services
ESOP general consulting

Wilkins Finston Friedman Law Group LLP

Jay Friedman
Wilkins Finston Friedman Law Group LLP
1777 NE Loop 410, Ste. 600
San Antonio, TX 78217
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

Virginia

Benefit Services LLC

Bob Bye
Benefit Services LLC
7102 Linn Cove Court
Roanoke, VA 24018
United States

Phone:

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

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

Blue Ridge ESOP Associates, Inc.

Thomas Roback Jr., CEP, QKA
Blue Ridge ESOP Associates, Inc.
154 Hansen Road, Suite 102
Charlottesville, VA 22911
United States

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

Listed under:
Employee communications
ESOP administration
ESOP repurchase obligation consulting

ComStock Advisors

David Bogus, ASA
ComStock Advisors
1940 Duke Street, Suite 200
Alexandria, VA 22314
United States

Phone:

ComStock Advisors is a premier national financial advisory firm that delivers expert, objective, and defensible analyses and opinions. Business owners and their advisors choose us when they need to measure, enhance, preserve, and transfer the value of their business interests. Working closely with boards of directors, family offices, management, trustees, and other advisors, we develop an in-depth understanding of both the financial considerations and the underlying business drivers of each business. We then address each client's requirements by leveraging our expertise/experience in ESOPs & employee benefits; estate, gift & tax; litigation services; corporate transactions; financial reporting; and trust special asset services.

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Corporate Capital Resources, LLC

Michael A. Coffey
Corporate Capital Resources, LLC
P.O. Box 12025
Roanoke, VA 24011
United States

Corporate Capital Resources, LLC is an independent consulting group supporting closely held corporations and their shareholders confronting the challenges of business succession in an increasingly complex tax and legal environment. Corporate Capital Resources brings to its clientele experts with decades of experience who help to quickly define the goals of transition for all interested parties and how to best implement a coordinated strategy to meet the ascertained goals. We specialize in all aspects of consulting for those considering the implementation of an employee stock ownership plan and those that already sponsor an ESOP. A short conversation with us could be the difference between a good decision and a truly outstanding decision.

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

ESOP Services, Inc.

Ronald J. Gilbert
ESOP Services, Inc.
251 Albevanna Lane
Scottsville, VA 24590
United States

Phone:

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

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

Gentry Locke Attorneys

W. William "Bill" Gust
Gentry Locke Attorneys
P.O. Box 40013
Roanoke, VA 24022
United States

Phone:

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

Listed under:
ESOP law firm
Equity compensation law firm

HCI - EBS, Inc.

David Anderson
HCI - EBS, Inc.
424 Graves Mill Road, #300
Lynchburg, VA 24502
United States

Phone:

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

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

Kaufman & Canoles, P.C.

Christopher L. McLean
Kaufman & Canoles, P.C.
1600 Tysons Blvd, Suite 800, Office 862
McLean, VA 22102
United States

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

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

Kaufman & Canoles, PC

Richard C. Mapp, III
Kaufman & Canoles, PC
150 W. Main Street, Suite 2100
Norfolk, VA 23510
United States

Richard C. Mapp, III, president, has structured and closed more than $300 million in ESOP transactions. Mr. Mapp regularly consults with selling shareholders, management, lenders, and financial and tax advisors with respect to buyout transactions and stock based incentives for privately owned businesses. His team has extensive experience designing deals and programs in a complex, interdisciplinary environment involving ERISA, executive compensation, income tax, and corporate finance and securities law. Mr. Mapp is a regional officer and national committee member in The ESOP Association, and is chairman of the Employee Benefits Practice Group at Kaufman & Canoles, P.C., a Virginia business law firm headquartered in Norfolk, Virginia.

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

Lenhart Pettit PC

Jennifer Shirkey
Lenhart Pettit PC
90 North Main Street, Suite 201
Harrisonburg, VA 22802
United States

Phone:

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

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

Matheson Financial Advisors

Colvin Matheson
Matheson Financial Advisors
1313 Dolley Madison Boulevard, Suite 305
McLean, VA 22101
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Principal Financial Group

Rebecca Hoffman
Principal Financial Group
977 Seminole Trail #284
Charlottesville, VA 22901
United States

Phone:

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

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

Stout

Scott Levine
Stout
8270 Greensboro Dr, Suite 900
Mclean, VA 22102
United States

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

Listed under:
ESOP valuation
ESOP general consulting

The McLean Valuation Services Group

Andy Smith
The McLean Valuation Services Group
7918 Jones Branch Drive, Suite 750
McLean, VA 22102
United States

Phone:

As a core competency and complement to The McLean Group's M&A practice, The McLean Valuation Services Group provides business valuation services, such as valuing businesses for equity incentive plans, including formal ESOPs and various types of phantom equity plans. We also perform fairness opinions in addition to financial security valuations and intangible asset valuations, for a variety of transaction, financial reporting, and tax purposes. Our national practice is headquartered in the Washington, DC region with an additional office in Austin, TX. Our team is comprised of CPAs and credentialed valuation professionals with core experience in the defense & government services, franchising, healthcare, technology, and other industries.

Listed under:
ESOP valuation
Equity compensation valuation
Independent board member

Washington

Business Advisory Services, Inc.

Jack B. Sparks
Business Advisory Services, Inc.
1325 Fourth Avenue, Suite 1000
Seattle, WA 98101
United States

Phone:

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

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

Columbia Financial Advisors, Inc.

Nic Staloch
Columbia Financial Advisors, Inc.
500 Yale Avenue North
Seattle, WA 98109
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Corporate Advisory Associates, Inc.

T.S. Tony Leung
Corporate Advisory Associates, Inc.
1325 Fourth Ave, Ste 1000
Seattle, WA 98101
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

Foster Pepper PLLC

Philip J. Carstens
Foster Pepper PLLC
618 West Riverside Avenue, Suite 300
Spokane, WA 99201
United States

Phone:

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

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

Moss Adams Advisory Services

Dennis H. Locke
Moss Adams Advisory Services
999 Third Avenue, Suite 2800
Seattle, WA 98104
United States

Phone:

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

Listed under:
ESOP valuation
Equity compensation valuation

The Cicotte Law Firm, PLLC

George Cicotte, F.
The Cicotte Law Firm, PLLC
7025 W. Grandridge Boulevard, Suite B2
Kennewick, WA 99338
United States

Phone:

For over 20 years, George Cicotte has served clients throughout the US on diverse issues including ESOP transactions, health and retirement plan design, labor relations, federal taxation, defending benefit claims, and managing benefits in the era of health reform. He speaks and teaches regularly on ESOPs and a wide variety of employee benefit law topics. Mr. Cicotte has been rated "AV" by other attorneys and judges, indicating achievement of the highest standards for legal ability and ethical conduct.

Listed under:
ESOP law firm
ESOP trustee and fiduciary services
Equity compensation law firm
Equity compensation plan design

Wisconsin

ESI

Scott Miller
ESI
355 Austin Circle
Delafield, WI 53018
United States

Phone:

Enterprise Services, Inc. is a nationally recognized firm dedicated to serving the valuation requirements of ESOP companies. Having served more than 600 clients nationwide, our experience with ESOPs spans a wide range of industries with both large and small closely held companies. Our executive officers have practical hands-on experience and can share their expertise, insight, and extensive knowledge of ESOPs with our clients.

Listed under:
ESOP valuation
ESOP general consulting
Equity compensation valuation

ESOP Partners LLC

Aaron Juckett
ESOP Partners LLC
3701 East Evergreen Drive, Suite 600
Appleton, WI 54913
United States

Phone:

ESOP Partners is an ESOP consulting and administration firm. Our unique 360° business model utilizes a custom-built proprietary administration system and integrates ESOP consulting and administration, helping maximize the potential and long-term success of your ESOP throughout the ESOP lifecycle. Our services include: ESOP administration; repurchase liability studies; and feasibility and transaction services. We also provide services for distribution policies, corporate governance and fiduciary consulting services, employee culture and communications, executive compensation and incentive planning, and audit assistance Learn more about our proactive approach and our team by contacting us at: Main: 920-659-6000; Mike Young direct: 920-659-6003; MYoung@ESOPPartners.com; www.ESOPPartners.com

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

Principal Financial Group

John Prodoehl
Principal Financial Group
100 West Lawrence Street, Suite 501
Appleton, WI 54911
United States

Phone:

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

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

Professional Fiduciary Services LLC

Mickey Maier
Professional Fiduciary Services LLC
1841 N Riverwalk Way
Milwaukee, WI 53212
United States

Phone:

Professional Fiduciary Services acts as an independent fiduciary and trustee on a transactional and/or ongoing basis. Mickey Maier also acts as a director for a number of ESOP companies. We also provide governance consulting for ESOP companies.

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

West Virginia

Brown, Edwards & Company, L.L.P.

Tim Gibbons
Brown, Edwards & Company, L.L.P.
300 Chase Tower, 707 Virginia Street, East
Charleston, WV 25301
United States

Phone:

Brown Edwards is a full service Top 100 accounting firm with nine offices located in Virginia, West Virginia and Tennessee. The firm has eight credentialed valuation analysts and performs ESOP appraisals for companies in Virginia, West Virginia, Kentucky, Ohio, and Pennsylvania.

Listed under:
ESOP valuation

Non-U.S.

Korea Securities Finance Corporation

ESOP KSFC
Korea Securities Finance Corporation
10, Gukjegeumyung-ro 8-gil, Yeongdeungpo-gu
SEOUL
7330
South Korea

Established in 1955 to support the securities industry, KSFC is the only securities finance company in Korea and provides various financial services such as securities-backed loans and investor deposit management to financial investment companies. As the sole custodian of ESOP shares, KSFC helps the Korean ESOP system to take root and develop by providing the funds needed to acquire ESOP shares, offering education and counselling on employee stock ownership association (ESOA) establishment and operation, and safely managing ESOP shares acquired by ESOA members.

Listed under:
Employee education and financial advice