About

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

Fred Thomas Web

Frederick H. Thomas

Mr. Frederick H. Thomas is Managing Director of BTA, Inc., principally responsible for business development, succession planning, ESOP formation, consulting, merger/acquisition and transaction design. A graduate from the University of Missouri with a degree in Business Administration (with Finance major). Mr. Thomas has been actively involved in the financial industry since the mid ’70’s. Mr. Thomas is a member of The National Center of Employee Ownership (NCEO), The ESOP Association and The Society of Financial Service Professionals.

Roy A Farmer Web

Roy A. Farmer II

Mr. Roy A. Farmer II is also a Managing Director 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.

 

Jeremy Huish

Jeremy Huish, JD, CPA

Jeremy Huish has experience as an attorney and a Certified Public Accountant.  He is a Director with Business Transition Advisors, the ESOP advisory group of Capstone Headwaters.  He advises businesses looking to make an ownership transition in the future.  He has particular experience with businesses that have or are considering including a captive insurance company as part of the corporate structure.

Prior to joining Capstone, he spent 10 years advising organizations on risk management and captive insurance company issues.  He was the U.S. niche leader for captive insurance matters for a Fortune 500 insurance brokerage, consulting for a wide range of clients ranging from public companies, closely-held businesses, governments, and not-for-profits on risk management issues and captives.  He was a frequent speaker at industry conferences and has published several articles.  Prior to this, he spent 7 years in Washington, D.C. as a tax attorney for a Big 4 accounting firm and an international law firm. Jeremy has two accounting degrees and two law degrees.  He is married with three sons who keep him busy.

Arizona State University - BS, Accounting

Brigham Young University - Masters in Accounting

Brigham Young University - Juris Doctorate

Georgetown University - LL.M. in Taxation

 

Rick Jaye web

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.

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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.

 

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Nic Staloch

Nic Staloch has provided financial advisory, corporate finance, and valuation services to middle market companies for more than 20 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 worked at Chartwell Financial Advisory, LLC providing financial advisory, corporate finance, and valuation services to middle market companies for 16 years. He provided similar service offerings through Columbia Financial Advisors, Inc. for 2 years.

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.

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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.

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Heather Haws

Heather is the marketing executive assistant to Roy A. Farmer II, managing director of Business Transition Advisors in the ESOP Advisory Group of Capstone Headwaters. She also works as an Analyst on the Business Transition Advisors ESOP team. 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, a Capstone Headwaters company.

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

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Beth Walli

Beth is an analyst with Business Transition Advisors in the ESOP Advisory Group of Capstone Headwaters. 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

Serving our clients nationwide

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