AmbroseAdvisors is an investment banking and financial advisory firm that provides a full range of liquidity transaction options, capital placement, and valuation advice. We also have a core focus and deep expertise in helping business owners evaluate, structure, implement and finance ESOP buyout and M&A transactions, and then, where applicable, helping our ESOP clients manage and administer their ESOP post-closing.
Our Services: Exit Strategies, Sale Transactions, Capital Placement and Business Valuations
Investment Banking
AmbroseAdvisors helps business owners develop and implement business succession strategies and extract value and liquidity from their businesses utilizing the following transaction options:
ESOP Buyouts
Structuring, negotiating, implementing and placing financing for the sale of all or a portion of the company’s stock to an ESOP. AmbroseAdvisors acts as the sell-side investment banker/financial advisor for the selling shareholders in the transaction to structure, finance and execute an ESOP buyout transaction from its evaluation stage (beginning) to its execution stage (end). Explore the Benefits
Sell-Side M&A Process
Planning and executing a highly organized and competitive process to obtain multiple bids from both strategic and financial buyers. Explore the Benefits
Dual-Track Process
Evaluate after-tax proceeds from an ESOP buyout transaction while simultaneously exploring a third-party M&A sale transaction in order to create options, compare and maximize after-tax proceeds for our client. Explore the Benefits
Private Equity Recapitalization
Sourcing private investors to recapitalize the company’s balance sheet via an infusion of new equity and debt. How Ambrose Helps
Business Valuations
Prior to engaging in any transaction, whether an M&A sale process, ESOP buyout, Private Equity Recapitalization or Capital Procurement, we always start with determining the value of your business. This is critical for helping you determine the type of exit transaction and the timing of running a process to complete a transaction. Our on-staff team of business appraisers and financial advisors will do an in-depth assessment of your business and properly adjust your financial statements to determine a supportable range of value so that you can make critical strategic decisions.
How Ambrose Helps
Capital Procurement
We source and place debt and equity capital to fund growth, refinance existing debt or recapitalize your balance sheet. We have national relationships with bank lenders, alternative non-bank lenders, subordinated debt lenders, family offices, alternative investors, and private equity funds that we can source for the right opportunities.
How Ambrose Helps
ESOP Third-Party Administration Services
AmbroseAdvisors acts as a long-term partner to its ESOP clients by providing ongoing recordkeeping and third-party administration services to its ESOP clients in addition to its ESOP investment banking services. We provide full-service consulting and coordinate with human resource departments, trustees, attorneys, valuation experts and certified public accountants in the administration process. Our professionals provide timely and accurate reports and participant account statements. We have significant experience in plan administration and recordkeeping for ESOPs.
How Ambrose Helps
Consultation
AmbroseAdvisors works with clients who are seeking ESOP consultation, recordkeeping and plan administration services. Our Advisors are able to provide objective, independent consulting in connection with ESOP matters.
Click Here For Your Free Business AssessmentUnderstanding Our Services
What is an ESOP and how can it benefit business owners?
An ESOP (Employee Stock Ownership Plan) is a tax-qualified retirement plan that lets employees become owners through company stock. It provides business owners a tax-efficient liquidity option, preserves legacy, and can boost employee engagement without requiring employees to invest their own money.
How does a traditional M&A sale work for business owners?
A traditional M&A sale is a structured process where a business owner sells all or part of the company to a strategic or financial buyer. It typically generates upfront liquidity, allows negotiation of terms, and can include ongoing roles for key employees.
What is the dual-track process and why might a company pursue it?
A dual-track process runs an ESOP buyout and an M&A sale simultaneously. It helps owners compare after-tax proceeds, maintain flexibility, and increase negotiating leverage by keeping options open longer.
Who is a good candidate for an ESOP transaction?
Closely-held, profitable companies with stable cash flow and strong management teams are often good ESOP candidates. ESOPs can work well for businesses focused on employee retention and legacy preservation.
What types of buyers participate in an M&A sale?
Buyers in an M&A sale can include strategic firms in your industry, financial buyers like private equity, and sometimes management teams looking to take control of the company.
What are the key differences in timing between ESOP and M&A transactions?
ESOP transactions require careful valuation, financing placement, and regulatory steps, which can take several months. M&A transactions also typically span several months, depending on preparation and buyer interest. Timing varies with complexity and readiness.
How do dual-track strategies impact valuation and market exposure?
Running ESOP and M&A processes together allows owners to benchmark valuation outcomes, test buyer interest, and generate market insight that can lead to higher overall value and better negotiation leverage.
What tax advantages can owners expect with an ESOP?
ESOPs can enable permanent or deferred capital gains tax treatment for selling shareholders and corporate tax deductions for contributions used to buy stock — often resulting in a more tax-efficient exit compared to traditional sales.
Can owners remain involved after an ESOP or M&A transaction?
Yes. In an ESOP, owners and management may continue leading the business through a staged transition. In M&A, ongoing involvement depends on the buyer’s plan and deal structure negotiated during the sale process.
How does AmbroseAdvisors support business owners through these transactions?
AmbroseAdvisors provides investment banking, structuring, valuation, and execution support for ESOPs, M&A, and dual-track strategies. They coordinate with legal, tax, and finance professionals to create customized exit solutions that align with each owner’s goals.
