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ESOP and ERISA Advisory

Broad and deep experience advising private and public companies makes Duff & Phelps the firm of choice for structuring and raising financing as well as valuing stock in employee stock ownership plan (ESOP) transactions and nonpublic assets, including employer securities held by ESOPs and ERISA pension plans. A pioneer in ESOP planning and transaction execution, Duff & Phelps guides principals, companies and fiduciaries through the complex financial and valuation implications of the financial, regulatory and tax aspects of these transactions.

ESOP and ERISA Advisory services include:

  • ESOP structuring and financing
  • ESOP and ERISA fairness opinions
  • Advising ERISA fiduciaries in mergers and acquisitions
  • Sale of ESOP–owned companies
  • ESOP feasibility studies
  • Initial ESOP valuation and annual updates
  • Sale or purchase of stock in ERISA pension plans

Capital Raising is provided by Duff & Phelps Securities, LLC.

McCarthy
Duff & Phelps served as financial advisor to McCarthy Holdings, Inc. and rendered a fairness opinion.
Tribune Company
Duff & Phelps served as financial advisor to the trustee of the Tribune Company employee stock ownership plan and rendered a fairness opinion.
Litehouse, Inc.
Duff & Phelps served as financial advisor to the Litehouse, Inc. employee stock ownership plan in an acquisition of a majority interest in the company.

The Current Credit Crisis and Its Implications for ESOP Companies
This article, recently published by the National Center for Employee Ownership, puts the current credit crisis in historical perspective, summarizes current market conditions and suggests a series of responses for ESOP companies and their boards and fiduciaries.
Elyse Bluth
Elyse Bluth
 
Managing Director
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Duff And Phelps Investment Banking