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About

BTA assists owners of closely held businesses in the business succession planning process. Our collective business experience provides a unique perspective to address personal liquidity opportunities that may include a stock or asset sale, Employee Stock Ownership Plan (ESOP), recapitalization, estate and gift or other transfers of ownership. We advise business owners on ownership and management succession as well as exit strategies to ensure a smooth and effective transition to a new ownership and management structure.

Meet our Team

Frederick H. Thomas

BTA assists owners of closely held businesses in the business succession planning process. Our collective business experience provides a unique perspective to address personal liquidity opportunities that may include a stock or asset sale, Employee Stock Ownership Plan (ESOP), recapitalization, estate and gift or other transfers of ownership. We advise business owners on ownership and management succession as well as exit strategies to ensure a smooth and effective transition to a new ownership and management structure.

RICK A. JAYE, AIF®, CRC®

Rick Jaye is Senior Vice President of BTA, Inc. With over 30 years of experience in the financial services industry, Rick has provided high level strategic business entity planning, business transition planning, tax mitigation consulting, risk management and benefit consulting services to institutional partners, banks, brokerage, CPA and laws firms. He is a well-known national speaker and instructor on topics of advanced tax, wealth, business entity planning, risk management strategies and retirement.

Bachelor degree in Economics from University of California, San Diego with additional studies at Dartmouth College. Member of the National Center of Employee Ownership (NCEO)and the ESOP Association.

Nic staloch, ASA

Nic Staloch has provided financial advisory, corporate finance, and valuation services to middle market companies for more than 25 years. Nic has provided hundreds of business valuations and advised on mergers & acquisitions and other financial advisory services for shareholders, board of directors, trustees, attorneys, accountants, and other advisors. He has advised clients on ESOPs, ownership succession, mergers and acquisitions, and other corporate finance projects in several industries. Nic has provided valuation and advisory services to major institutional ESOP trustees in the United States and is experienced in documenting and defending valuation analyses with various regulatory agencies including the Department of Labor and Internal Revenue Service.

 

Nic is an Accredited Senior Appraiser (ASA) through the American Society of Appraisers, and passed FINRA Series 63 and Series 79 examinations. He has been an active member of The ESOP Association and the National Center for Employee Ownership.

DANIEL M. ZUGELL CLU, CHFC, LUTCF

Daniel M. Zugell, CLU, ChFC, LUTCF is Director/Senior Vice President of BTA, Inc. with a wealth of hands-on and management experience spanning many financial service disciplines. Dan’s experience includes the formation of MetLife’s ESOP program and as a Director of MetLife’s Institutional Specialized Benefit Resources division. Since 1998, Dan has emerged as a national presence on ESOP matters as a frequently published author and featured speaker.

Dan holds a B.A from Grove City College, has earned several advanced financial designations and is a member of The ESOP Association, National Center for Employee Ownership, The Estate Planning Council and the Society of Financial Service Professionals. Ambassador – Pennsylvania Center for Employee Ownership.

Chris mayer, CFA

Chris is an associate at BTA and supports the team with valuation and financial modeling. Prior to BTA, Chris held an M&A advisory role supporting both buy-side and sell-side transactions in addition to capital raising and valuation. Chris graduated with a finance degree from the University of Wisconsin-Madison School of Business where he was a member of the applied equity market research program specializing in fundamental analysis, equity valuation and market research. During his UW undergraduate program, Chris was selected to attend the Otto Beischeim School of Management in Vallendar, Germany.  He also attended the University of Leipzig, Germany where he worked on his Masters in Finance & Economics.

Chris has a passion for Valuation, M&A advisory and is a holder of the right to use the Chartered Financial Analyst® designation.

Bradley Etheridge

Brad is the Marketing Vice President of Business Transition Advisors, Inc. Brad brings over 38 years of financial services experience in the areas of corporate tax efficiency, asset protection, legacy and business transition planning.

Just prior to joining BTA, Brad spent eight years providing resources and strategy based guidance for financial planners, CPAs, and Tax Attorneys. His past endeavors have included the role of National Wealth Strategist for one of the nation’s largest broker dealers and spent 20 years in several roles with an international insurance group serving many corporate roles, departing as SVP sales and marketing. Over the years, Brad has worked very closely with business owner clients to define and meet their goals and objectives, and he brings a unique understanding of the challenges as a past business owner himself. Brad served eight years as a board member for a group that works with at-risk youth, and is a graduate of Purdue Management Institute.

BRANDON STUMPF, CFA, CPA/ABV

Brandon is a Senior Associate at BTA and supports the team with valuation and financial modeling.  He currently resides in Richmond, VA and is a graduate of Virginia Tech from which he earned his Master of Accounting, as well as undergraduate degrees in Finance and Spanish.

Prior to BTA, Brandon was a senior consultant at a large regional accounting firm in the southeast where he worked in their valuation practice providing gift and estate tax valuations, 409a compliance services, intangible asset valuations, and complex securities analyses. Brandon began his valuation career providing 409a valuations, purchase price allocations, and accounting advisory services through his own practice in the Portland, OR metro area. He is a licensed CPA in good standing in both Oregon and Virginia and is Accredited in Business Valuation. He is also a holder of the right to use the Chartered Financial Analyst® designation.

Ary Aptin, CVA

Ary is a Senior Associate at BTA providing valuation, financial modeling, and transaction advisory services. He has more than 24 years of business valuation experience primarily for privately held, middle-market companies in a wide variety of industries and geographic markets. Throughout his career, Ary has worked closely with thousands of business owners, CEOs, CFOs, accountants, attorneys, and other trusted advisors to value companies for various purposes, including mergers & acquisitions, financial reporting, exit planning, and shareholder/partner buyouts.

Ary began his business valuation career in Citigroup’s middle-market valuation and M&A practice group. Prior to joining BTA, Ary provided valuation consulting services through his own firm with a focus on sell- side engagements. Ary is a Certified Valuation Analyst® (CVA) through the National Association of Certified Valuators and Analysts (NACVA). He is also an active member of the National Center for Employee Ownership and The ESOP Association. Ary has a degree in International Business with a Minor in German from San Diego State University. He also studied Physics and Applied Mathematics at the University of California, Irvine, along with graduate course work in Financial Management at the University of London. Ary lives in Irvine, California with his wife and daughter. He enjoys spending time with his family, hiking, and global travel.

Beth Walli

Beth is an Analyst with Business Transition Advisors, Inc. She provides client data management and assists with preliminary analysis and feasibility study work.

Beth is a graduate of St Louis University with a degree in Economics

Heather Haws

Heather is an Analyst and the Marketing Executive Assistant to Roy A. Farmer II, managing director of Business Transition Advisors. Her various duties include client interactions, Billing, Contracts, HR representation, managing and maintaining marketing materials, scheduling and executive travel arrangements. Heather has worked in similar rolls in various industries including the medical fields and professional internet marketing. She has worked with Mr. Farmer for 14+ years, first at Marshall and Stevens and most recently at Business Transition Advisors, Inc.

Heather is a graduate of Brigham Young University – Idaho with a BS in Business Marketing.

Michael Webb.

Michael has been working in the financial services field for almost 30 years as an Executive, Regional VP, Consultant and National Recruiter. He enjoys partnering with financial professionals and helping them offer various tax efficient strategies for their estate & business owner clients. Understanding the needs of a financial advisor’s practice is integral to what he does. His experience gives him a rare combination of sales, business owner and insurance carrier perspectives. 

ROY A. FARMER II

Mr. Roy A. Farmer II is a consultant of BTA Inc. Roy’s responsibilities include business development, corporate reorganization and finance, succession planning, consulting & ESOP implementation. A graduate from American River College and Brigham Young University with degrees in Business and Business Administration, Mr. Farmer has also been actively involved in the financial industry since the mid ’70’s. Mr. Farmer has been active in the ESOP community since 1999, and has worked on well over 100 transactions. He is a member of the ESOP Association and is currently on the Board of Directors for a defense contractor and an oilfield services company.

Serving our clients nationwide

With twelve offices strategically located across the U.S. we are expertly positioned to help serve you anywhere your company needs to be served. 

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