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

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.

Dan Zugell Web

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.

 

Steven Deis Web

Steven P. Deis

Steven has charted more than 20 years in the financial services industry, with an emphasis in project finance and the development of business relationships with closely held corporations. On their behalf, Steven’s goal is to work tirelessly to educate all parties involved from the beginning of the transaction to successful completion. Merrill Lynch was Steve’s training ground where he specialized in constructing complex financial designs for high net worth business owners and their families. He subsequently moved on to Wachovia/Prudential and Smith Barney/Citigroup. Steve’s strong suit is in succession planning and corporate finance issues that confront closely held corporations. Steve received his BS in business administration at Cal State/Fresno with an academic emphasis in business law and finance.

Nic Staloch

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.

Serving our clients nationwide

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