The benefits of ESOPs are simple to understand, but can be inherently complex in application.

Our advisory process helps identify the unique needs of your ESOP and the respective services that can play a role in helping your ESOP pursue its objectives.

Helping you gain clarity,
guidance and confidence.

Advisory

Since AQP does not offer investment banking services, nor is affiliated with any insurance company, investment advisor, brokerage firm or bank we are uniquely qualified to offer an extensive range of ESOP advisory services. These services are a direct result of our clients' real-world experience with their ESOPs. Some of these services are only practical and pertinent during certain times or events. For example, an ESOP with no stock in the trust does not need a repurchase obligation study.

More importantly, do not consider these services an additional permanently hidden cost of operating your ESOP. These services, although very critical at certain times in the life of an ESOP, are not normally required annually. Only the current facts, circumstances and maturity of your ESOP will dictate the need for other services. Obviously, certain major corporate events such as a sale or acquisition will trigger the proxy services.

The following services are not normally part of AQP's ongoing plan or administration services. There are additional costs associated with each service and if requested, AQP will prepare an individual quote detailing the cost and scope for each.

  • Repurchase obligation studies and employee turnover analysis
  • Assist in the selection of ESOP fiduciaries and appraisers
  • Prepare proxy labels as necessary to satisfy voting pass-through requirements
  • Independent proxy tabulation and voting services
  • Review the administrative records of another service provider to assure your plan is in compliance with all applicable laws and regulations
  • Assist in branding and marketing for ESOP companies
  • Design and present an employee communication program that helps organizations utilize the ESOP as a productivity tool
  • Perform an extensive ESOP feasibility study (project the impact of the ESOP on the company's financial statements and cash flow etc.)
  • Advise on the use of an ESOP to acquire other companies
  • Assist you and your corporate counsel in designing and drafting the necessary ESOP loan documents, corporate resolutions and plan committee minutes necessary for a leveraged ESOP

Because there are significant costs associated with some of these services, it is important for you to know exactly what is optional, necessary, required and prudent. Please save time and possible expense by giving us a call. There is never any fee or obligation to discuss your specific ESOP situation.

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