Blue Ridge ESOP Associates


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Blue Ridge ESOP Associates employs the finest professionals in the business and has over 20 years of experience providing quality third party administration services. ESOPs and 401(k) plans require extensive technical training to understand the rules and regulations that govern them. All of our administrators participate in continuing professional education to stay current with changes in the Internal Revenue Code and Department of Labor and Treasury Regulations. Our senior professional staff members are actively involved in the industry and are dedicated to maintaining their professional qualifications through the American Society of Pension Professionals & Actuaries (ASPPA), the recognized professional society for employee benefits professionals. In addition to ASPPA qualifications, our administrators pursue their ESOP specialty through membership in The ESOP Association and the National Center for Employee Ownership and often attend professional conferences dealing specifically with ESOPs. Several of our senior staff members are frequently asked to share their expertise with the ESOP community by speaking at these conferences and writing articles for professional journals.

In addition to our administrators, Blue Ridge ESOP Associates also employs experienced finance professionals, CPAs and an attorney to handle Internal Revenue Service, Department of Labor and Department of Treasury issues, ESOP trust accounting, and any questions or concerns from your accountants, auditors, bankers and attorneys.

Principals

Marie S. Minton, CFA, CPA
Ms. Minton has over 22 years of experience in accounting, auditing and corporate finance and was a Managing Director and Chief Financial Officer of a private ESOP company, where she was responsible for the design, implementation and financing of the company's ESOP, served as the ESOP Trustee and oversaw the ESOP administration and trust accounting functions. She is a member of: the Virginia Society of CPA's and the American Institute of CPA's; the CFA Institute, the CFA Society of Washington, DC; the ESOP Association and the NCEO. She serves as a faculty member for the CFA Study Program and previously served as an Officer and on the Education Committee and as Chair of the Scholarship Program of the CFA Society of Washington, DC. She currently serves on the Board of Directors and Audit Committee of Applied Signal Technology, Inc. (NASDAQ: APSG) and previously served as a Board, Audit Committee and Executive Committee member and the Chair of the Executive Compensation Committee of Essex Corporation (NASDAQ: KEYW) which was acquired by Northrop Grumman Corporation in 2007. Ms. Minton received her BS in Commerce from the University of Virginia.

Gregory S. Washburn, Esq.
Mr. Washburn is an attorney with over 20 years of experience in interpreting and implementing U.S. Treasury Department and other government regulations. He was Vice President of Corporate Finance for an international investment bank and holds the Series 7 and Series 66 professional certifications. During his years of practice in the legal and finance fields, Mr. Washburn has structured and closed such complex financial transactions as management buyouts, industry consolidations, going-private transactions, and public offerings. He has broad industry experience in financial services, communications and technology, with particular expertise in the business services industry. He is a member of several state bar associations. Mr. Washburn received his BA in Economics from the University of Connecticut, his JD from the University of Connecticut School of Law, and his MBA from the University of Chicago Graduate School of Business.

Managing Directors

Thomas Roback, Jr., CEP, QKA
Mr. Roback has worked in the accounting, investment and ESOP industry for over 17 years. He is an expert in the design, implementation and execution of ESOP, employee stock option, stock purchase and restricted stock plans. Mr. Roback received his MBA from the University of Baltimore and a BS in Accounting from the College of William and Mary. He is a Qualified 401(k) Administrator, Certified Equity Professional and on the Board of Directors of the National Center for Employee Ownership. Tom is also the Capital Area Regional Vice President of the ESOP Association's Mid-Atlantic Chapter.

Keith Teeter, QKA
Mr. Teeter has 28 years of experience in the employee benefits industry and has been focused on ESOPs for the past 18 years. He also has extensive experience with 401(k) and deferred benefit plans. Mr. Teeter received his BS in Mathematics from Westminster College. He holds the QKA designation from the American Society of Pension Professionals & Actuaries. He is a member of The ESOP Association and the National Center for Employee Ownership.

Directors

Barbara M. Clough
Ms. Clough has over 20 years of experience in the Qualified Plan Administration field. She has extensive experience with ERISA law, Department of Labor Regulations, IRS code compliance, IRS/DOL audits and works closely with Plan Sponsors, accountants and legal counsel to provide guidance on plan design, resolution of legal and compliance matters as well as audit discrepancies. Ms. Clough holds a Bachelor of Science degree from the University of Massachusetts. She is a member of The ESOP Association's Administrative Advisory Committee, frequent speaker at NCEO and ESOP Association conferences as well as the co-author of Chapter Six, Complying with the Section 409(p) Anti-Abuse Rules of the NCEO's publication S-Corporation ESOPs. She holds the QKA designation from ASPPA. Ms. Clough is a member of ASPPA, the ESOP Association and the NCEO.

Lisa M. Dunbar, QKA
Ms. Dunbar has been in the human resources and employee benefits field for several years and has focused exclusively on ESOPs for the past nine years. She is the Chair of the firm’s Professional Education Committee and has primary responsibility for training and professional development of our team. She holds the QKA designation from the American Society of Pension Professionals & Actuaries (ASPPA). She is a member of The ESOP Association and ASPPA.

Duane M. Gran
Mr. Gran has over 11 years of experience designing and launching enterprise software systems. He was a lead developer for the Department of Labor’s web-based human resources system and has managed Information Technology solutions in private and public sector organizations. Mr. Gran holds the Series 65 professional certification and serves on the Board of Directors for Rotary in Charlottesville. Mr. Gran received his bachelors degree in Computer Science from Ball State University.

Dolores P. Lawrence, CPA, QKA
Ms. Lawrence has 22 years of experience in employee benefits, with a focus on plan design, implementation, administration and consulting services for ESOPs and 401(k) plans. She also has a tax and accounting background. Ms. Lawrence received her BBA in Accounting from the University of Texas, is a certified public accountant and holds the QKA designation from the American Society of Pension Professionals and Actuaries (ASPPA). She is a member of The ESOP Association, the National Center for Employee Ownership and ASPPA. Dolores has also served on the Executive Committee and Seminar Planning Committee for the Heart of America Chapter of The ESOP Association.

E. Ashley Waters, CPA
Ms. Waters has 21 years of experience in accounting, tax and corporate finance. She has experience in public accounting and as Vice President of Finance and Administration for two privately-held companies, where she served as Trustee for the companies' 401(k) plans and managed the companies' trust accounting functions. She is a member of: the Virginia Society of CPA's, the American Institute of CPA's, The Society for Human Resource Management, The ESOP Association, ASPPA and the National Center for Employee Ownership. Ms. Waters received her BS in Commerce with distinction from the University of Virginia.