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
TRUST COMPANY AND INDEPENDENT FIDUCIARY ADVISORY SERVICES
EXPERT WITNESS ENGAGEMENTS
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.
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.
Expert Witness Assignments
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.
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 deep knowledge of the many fiduciary issues facing organization leadership and provide the solutions for each situation.
Do you have any questions? Send us a message today.
Associations and Memberships
Kaplan Fiduciary Group is a thought-leading organization on governance and fiduciary responsibilities topics in regard to employee-owned companies. We are actively engaged with industry associations and related organizations.
National Center for Employee Ownership
The NCEO is a nonprofit membership and research organization and serve as the leading source of unbiased information about employee ownership. NCEO is the main publisher and research source in the field, hold dozens of webinars and live meetings annually, and provide services to our thousands of employee-owned company members.
The ESOP Association
For over 43 years, The ESOP Association has successfully represented the interests of millions of Employee Owners and their companies in Washington, DC and state capitols across the nation. The ability to form and operate an Employee Stock Ownership Plan is fundamentally rooted in the laws that were passed to allow their existence. The ESOP Association’s Advocacy on public policy remains one of the most important services provided by the Association to our members.
Beyster Institute, UC San Diego - Rady School of Management
The Beyster Institute at UC San Diego’s Rady School of Management works to advance the understanding and practice of employee ownership as an effective and responsible business model. Beyster
focuses on education, research and consulting to promote employee ownership and the creation of effective ownership cultures. Beyster serves companies interested in the employee ownership business strategy, business owners looking to transition out of their companies and professional advisers who want to better serve their clients by gaining employee ownership knowledge.
Private Directors Association
The Private Directors Association provides CEOs, Owners, and Board Members a forum to learn, discuss, and exchange insights on why and how to effectively use Advisory and other Boards. Members are provided with experience based and other value-based educational content and networking opportunities