Unlocking the value of your business Helping business owners understand their options
The Capital ESOP Group
UBS Financial Services Inc.
1501 K Street NW
Washington, DC 20005
Exiting a business can be a time-consuming and often emotional process for an entrepreneur or business owner. It is important to have a team of professionals that you can turn to for help with any part of the exit process.
The Capital ESOP Group has helped business owners and their families create over $2 billion of liquidity. We follow a disciplined process when it comes to evaluating your options for transitioning your business.
We are equally focused on your post-liquidity needs. Our team provides holistic wealth management solutions, sophisticated tax and estate planning strategies, and targeted investment recommendations. Our process is intended to help preserve your wealth as you enter the post-liquidity life you’ve long envisioned for yourself and your family.
Keith Apton and Nick Francia have been recognized as industry leaders
- Forbes Best-In-State Wealth Advisors, 2018 – 2021 (Ranked #2 in Washington DC in 2020 and 2021)
- Barron’s Top 1,200 Financial Advisors, 2014 – 2021 (Ranked #4 in Washington DC in 2021)
- UBS Pinnacle Advisor, 2018 – 2021
- Washington, DC’s Best Financial Advisors, as seen in Washingtonian magazine, 2016 – 2020
- Financial Times Top 400 Advisors, 2016 – 2018
- On Wall Street Top 40 Advisors Under 40, 2016, 2017
- REP. magazine and WealthManagement.com Top 40 Wirehouse Advisors Under 40, 2014, 2015
- Financial Planning Top 40 Advisors Under 40, 2021
- Barron’s Top 1,200 Financial Advisors, 2021 (Ranked #13 in Washington DC)
- Forbes Best-in-State Wealth Advisors, 2020, 2021
- Forbes Best-in-State Next-Gen Wealth Advisors, 2019 (Ranked #1 in Washington, DC)
- Forbes Top 250 Next-Generation Wealth Advisors, 2019
- UBS President’s Council Advisor, 2019
- Forbes America’s Top Next-Generation Wealth Advisors, 2018
- UBS Top 35 Under 35, 2018
Monetizing your privately held business
Working collaboratively, we educate business owners on various ways to monetize their privately held business in a tax-efficient manner.
“Our goal is to educate business owners and their trusted advisors on tax- efficient exit strategies, enabling them to preserve and pass on the wealth they worked hard to create.”
— Keith Apton, Managing Director–Wealth Management
Expanding your business
When looking to expand or grow, we have access to experts that can help you manage your expansion, including private capital sourcing and public equity and debt financing.
Banking and lending services
We understand that, whether they are personal or business-related, liabilities can play a key part in a balance sheet if utilized correctly. Through UBS you can access banking and lending services such as securities-backed loans, unsecured loans, mortgages, credit cards, and more.
Selling your business
Our process offers detailed modeling, clearly illustrating what it would look like to sell to a strategic buyer, sell to a financial buyer, utilize a dividend recap or sell to an ESOP.
We create customized cash flow models comparing the economic benefits of a taxable installment sale and a tax-deferred sale to an ESOP using Section §1042 of the IRC.
Making the ESOP decision
There are a number of ways to transition a business, all of which have their own pros and cons to the owner, the employees, and the company. When appropriate, we advise business owners on an Employee Stock Ownership Plan (ESOP) as an exit strategy. An ESOP allows business owners to monetize all or part of their business, maintain control, and avoid capital gains tax under the proper structure while simultaneously benefiting their employees.
Why consider an ESOP?
“For the right owner, an ESOP is a powerful, flexible, tax-efficient way to sell all or a portion of your privately held business.”
— Nick Francia, Managing Director–Wealth Management
Will you benefit from a tax-efficient liquidity strategy?
This tax-efficient exit strategy enables you to monetize the wealth created in your privately held business and defer or potentially eliminate the long-term capital gains tax triggered from the sale.
The ESOP transaction is employee-friendly
By linking employee benefits to company performance, the ESOP can be a strategic tool to create a culture that helps you retain and motivate your employees.
We offer additional services for ESOP-owned companies
Leveraging the depth and resources of UBS, we can help you manage your repurchase liability, administer your ESOP escrow accounts and help you analyze and implement the proper management incentive/NQDC plans for key employees.
ESOPs: A tax-efficient exit strategy
A Guide to Employe Stock Ownership Plans
How to defer (or eliminate) capital gains tax in the sale of your business
How we’ve helped business owners discover the benefits of an ESOP
There are numerous viable approaches to employ when selling your business, but we often advise business owners to consider if an Employee Stock Ownership Plan (ESOP) is the right tool for them. Here are three cases that relate how an ESOP worked effectively for our clients and their families, resulting in significant liquidity transactions.
Think you may have a potential ESOP deal?
To start the conversation, reach out to Keith Apton at firstname.lastname@example.org or Nick Francia at email@example.com
Wondering about your life after the sale?
Discover how the Capital ESOP team can help you and your family with all your wealth management needs
Our office locations
1501 K Street NW
Washington, D.C. 20005
1285 Ave of the Americas
New York, NY 10019