Kaplan Fiduciary Group

Howard Kaplan provides governance and sound fiduciary solutions and best practices services to private and ESOP Companies: Board advisor and business professional with over 30 years of experience in the trust and financial services industries specializing in private and employee-owned (ESOP) companies and drawing on sound business acumen and professional management experience. Offers boards in-depth stewardship stressing exemplary board governance, fiduciary responsibilities, economic sustainability, and corporate strategy. • Significant experience providing fiduciary expert services for litigation claims asserted against boards and plan fiduciaries in several cases filed by the Department of Labor and by ESOP participants. Primarily engaged by defense counsel to offer expert opinion reports, and provide deposition and federal court testimony regarding board and plan fiduciary processes. • Serves as Director of a recently transitioned 100% ESOP-owned architectural, engineering and construction company located in the Midwest. Serves as chair of Governance & Nomination Committee and the Compensation Committee. • Serves as Director of a 100% ESOP-owned investment management company focused on specialized managed asset strategies. Serve as chair of the Governance, Nominations and Compensation Committee. • Serves as the initial and currently the sole independent Director of an ESOP-owned retail furniture company. • Serves on the Board of a $1 billion private trust company designated solely to custody individual retirement account assets. • Provide board governance and organizational advisement to newly formed ESOP-owned companies, serving as a non-voting member of the board. • Guided boards’ implementation of best practices and establishing new board committees during challenging leadership transitions. • Led special assignments performing procedural prudence for boards in the selection of a successor ESOP trustee • Serve as an advisor to professional trustee boards and management on process and procedure for their ESOP transactions. • Serve as a Board and ESOP Trustee advisor to a majority ESOP-owned highly technical engineering firm, located in Virginia and San Diego.