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ESOP and ERISA Advisory

Duff & Phelps’ ESOP/ERISA practice, with over 25 years experience, is a leading national investment banking, valuation, and financial advisor to companies and ERISA fiduciaries.

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:

  • Transaction Design, Structuring, and Financing
  • Fairness Opinions
  • Feasibility Studies
  • Valuations
  • Sustainability Consulting
  • Mergers & Acquisitions
  • Valuations of Illiquid Assets held in ERISA Plans
  • Assisting Fiduciaries in Monitoring Investments
  • Advising ERISA Fiduciaries in Transactions, including IPOs

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.
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.
Duff And Phelps Investment Banking