ESOP and ERISA Advisory
Kroll's Corporate Finance ESOP/ERISA practice is a leading corporate finance and valuation advisor to companies and ERISA fiduciaries. Duff & Phelps acquired Kroll in 2018 and unified under the Kroll brand in 2020.
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With completing over 1000 assignments, we are the firm of choice for structuring, raising financing, fairness opinions, and 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, we guide principals, companies and fiduciaries through the complex financial and valuation implications of the financial, regulatory and tax aspects of these transactions.
ESOP Advisory
- Fairness opinions
- Valuations
- Initial ESOP transaction execution, feasibility, design, and structuring
- Arranging the financing in leveraged ESOP transactions
- Representing ESOP-owned companies for sale, or assisting an ESOP-owned company making an acquisition
ERISA Advisory
- Valuations related to the sale, purchase, or contribution of stock to ERISA plans
- Valuation of illiquid assets, such as limited partnership interests or real estate, held in ERISA plans
- Advising ERISA fiduciaries in transactions
- Fairness and valuation opinions related to transactions by ERISA plans in illiquid assets
Frequently Asked Questions
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Mergers and Acquisitions (M&A) Advisory
Kroll’s investment banking practice has extensive experience in M&A deal strategy and structuring, capital raising, transaction advisory services and financial sponsor coverage.
Fairness Opinions
#1 ranked provider of fairness opinions for boards of directors and special committees.
Restructuring
Financial and operational restructuring and enforcement of security, including investigation, preservation and realization of assets for investors, lenders and companies.
Transaction Advisory Services
Kroll’s Transaction Advisory Services platform offers corporate and financial investors with deep accounting and technical expertise, commercial knowledge, industry insight and seamless analytical services throughout the deal continuum.
Private Capital Markets – Debt Advisory
Kroll has extensive experience raising capital for middle-market companies to support a wide range of transactions.
Financial Sponsors Group
Dedicated coverage and access to M&A deal-flow for financial sponsors.
Fairness and Solvency Opinions
Duff & Phelps Opinions is a global leader in Fairness Opinions and Special Committee Advisory, ranking #1 for total number of U.S. and global fairness opinions over the past 10 years, according to Refinitiv cumulative data from 2013-2022.
Distressed M&A and Special Situations
Kroll professionals have advised hundreds of companies, investors and other stakeholders at all stages of distressed transactions and special situations.
Independent Board Advisory Services
Duff & Phelps Opinions practice delivers superior financial advice to accommodate the complex demands of a company’s Board of Directors.
Preparing a Family Business for Sale
Discover how Kroll’s M&A Advisory and Investigations teams helped a family company sell their business through constructing a robust financial projection model to attract lenders and investors.
Explore Insights
M&A Updates
Food and Beverage M&A Industry Insights — Fall 2023
Nov 21, 2023 Deal activity in the food and beverage space has proven to be resilient in times of market uncertainty—we expect the appetite for deals in the F&B space to increase in the remainder of 2023.
M&A Updates
Global Software Sector Update—Fall 2023
Oct 31, 2023 Expectations for a return to a more accommodating monetary policy early next year suffered as recent economic data pointed to an ongoing tension in labor markets and the Fed indicated it would err on the side of caution in the fight against inflation.
M&A Updates
Financial Institutions Group M&A Industry Insights – Summer 2023
Oct 12, 2023 In this edition of the Financial Institutions Group (FIG) update from Kroll, we evaluate current market trends, prevailing investor sentiment and valuation developments in the featured sub-sectors.
M&A Updates
Healthcare Sector M&A Industry Insights – Fall 2023
Sep 29, 2023 The sectors that experienced the largest decrease were Care Platforms (Facility-Based) (down 43.8%), Care Platforms (Affiliate-Based) (down 10.4%), and MedTech and Devices (down 8.5%).
Technology M&A Practice Advised Rockley Photonics on Its Investment from Medtronic
received investment from
Kroll’s Technology M&A Practice Advised Instec on Its Acquisition by Insurity
has been acquired by
a portfolio company of
Duff & Phelps Advised Maxsys Solutions and Maxsys Financial Solutions on its Sale to Yoh
has been acquired by
Duff & Phelps Advised Direct Marketing Solutions, Inc. On Its Sale to Main Street Capital Corporation
a portfolio company of Caymus Equity Partners and Centerfield Capital Partners, has been acquired by
