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Kaplan Fiduciary

We Help Organizations Improve Their Fiduciary Performance

 

What We Provide Clients

Solutions to Develop Sound Fiduciary Practices

With more than 30 years' experience in the trust and financial industry, Kaplan Fiduciary is a leading provider of corporate governance and fiduciary advisory services to companies sponsoring Employee Stock Ownership Plans (ESOP) and other qualified retirement programs.  

We offer the comprehensive capabilities and deep industry knowledge necessary to help solve the most complex employee ownership and fiduciary issues of your organization. 

A comprehensive suite of services:

BOARD ADVISORY SERVICES

ESOP ADVISORY SERVICES

EXPERT WITNESS ENGAGEMENTS

TRUST COMPANY AND INDEPENDENT FIDUCIARY ADVISORY SERVICES

 

Board Advisory Services

Kaplan Fiduciary works with boards to establish best corporate governance practices to properly implement strategic allocation of authorities and responsibilities among the company’s shareholders, trustees, the board and management.

  • Have you recently become an employee-owned company and are concerned about your next steps to proper governance? 

  • Has your board or senior leadership recently transitioned and you need board training to better understand your duties, responsibilities and the unique issues facing ESOP companies? 

  • Are you looking for a board advisor or member with extensive experience in ESOPs and fiduciary matters?  

  • Would you like help minimizing fiduciary risk in the boardroom and implementing ESOP best practices?

We are accepting new board advisor appointments for the right organizations.

ESOP Advisory Services

With over three decades of ESOP fiduciary experience, we advise trustees and ESOP committees to develop prudent processes and best practice standards for plan oversight.


  • Do you have new trustees or ESOP committee members who would benefit from customized training to better define their roles, understand their duties and know their responsibilities?

  • Do you periodically review the performance of both internal and external fiduciaries, and if required, do you know the proper procedures and actions to replace fiduciaries?

  • Are you company with an ESOP or an ESOP Company? Perhaps you may be looking for the best ways to encourage and engage your employees in the ownership culture?

At Kaplan Fiduciary, we employ sophisticated strategies to best manage ESOPs with a single clear eye on implementing prudent practices in the best interests of the plan participants and beneficiaries.  At the same time, we seek to lessen fiduciary exposure to risk and liability and by implementing programs to encourage employee engagement and understanding of the benefits of the ownership culture, we complete the cycle of best practices for ESOPs.

Expert Witness Engagements

Kaplan Fiduciary has provided expert witness and testimony services on complex ESOP and 401(k) fiduciary matters.  Our experience includes supporting defendants in claims of breach of fiduciary duty as well as serving as fiduciary expert for an ESOP seeking a claim against a prior plan fiduciary.

Trust Company and Independent Fiduciary Advisory Services

Kaplan Fiduciary is uniquely qualified to review your professional ERISA fiduciary processes and procedures and provide significant insight into improving diligence practices and documentation. Given today's environment of extreme scrutiny by the regulators and the recent wave of plaintiff actions questioning your firm's collective judgment, we have the resources and knowledge to help mitigate your risk profile.

Please contact us and find how our suite of services can benefit your organization.

 

Who We Work With

  • We primarily serve ESOP-owned company boards, management and plan committees in most industries and services.


  • We bring a deep understanding of the many fiduciary issues facing organization leadership and provide the best solutions for each situation.

 

Professional Service Organizations

Kaplan Fiduciary Group has worked with many firms where their people are the greatest asset, and creativity is the product.   We are highly experienced in the formation of new ESOP companies, ongoing fiduciary and advisory appointments and have participated in the sale of ESOP-owned firms as well.  We have helped organizations from architectural, engineering and construction firms to financial service companies to US Federal Agency service contractors to creative firms in public relations and advertising.

Manufacturing, Distribution & Supply

Heavy industrial and manufacturing companies sponsored most of the ESOPs formed in the late 1970's to the early 1990's.   Kaplan Fiduciary Group has served many ESOP clients in the manufacturing, distribution and wholesale and retail supply.  We have also worked in the Automobile and Energy Sectors and related support businesses.

More Industry Sectors

Kaplan Fiduciary Group can assist ESOP companies in virtually every industry and business.   For example, there are many ESOPs in the retail business sector serving the grocery, apparel and household product industries.  A few are ESOP-owned companies that are also B-Corporations which, in addition to profitability, are companies that focus on high social and environmental standards, transparency,  and accountability.

Do you have any questions? Send us a message today.

 

Howard Kaplan to speak at the National NCEO Conference in Pittsburgh , April 9-11.

March 14, 2019

Certified EO: Building a Voice for Employee Ownership

December 26, 2017

Employment Growth at S ESOPs Outpaces That of The Private Sector

December 26, 2017

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