0001610503-20-000004.txt : 20200507 0001610503-20-000004.hdr.sgml : 20200507 20200507180101 ACCESSION NUMBER: 0001610503-20-000004 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200327 DATE AS OF CHANGE: 20200507 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Caldwell Flores Winters, Inc. CENTRAL INDEX KEY: 0001610503 IRS NUMBER: 330276406 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-A SEC ACT: 1934 Act SEC FILE NUMBER: 867-00493 FILM NUMBER: 20857982 BUSINESS ADDRESS: STREET 1: 6425 CHRISTIE AVENUE, SUITE 270 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 5105968170 MAIL ADDRESS: STREET 1: 6425 CHRISTIE AVENUE, SUITE 270 CITY: EMERYVILLE STATE: CA ZIP: 94608 MA-A 1 primary_doc.xml MA-A 0001610503 XXXXXXXX Heather Slate 415-604-9537 compliance@cfwinc.com compliance@cfwinc.com 12-31-2019 Y Caldwell Flores Winters, Inc. 33-0276406 866-00378-00 867-00493 6425 CHRISTIE AVENUE, SUITE 270 EMERYVILLE CA 94608 5105968170 Add 815 Colorado Blvd, Suite 201 Los Angeles CA 90041 3232022550 Add 1901 Victoria Ave, Suite 106 Oxnard CA 93035 805-201-1989 N www.cfwinc.com Heather Nicole Slate

6425 CHRISTIE AVENUE, SUITE 270 Emeryville CA 94608

415-604-9537 compliance@cfwinc.com Emilio Alejandro Flores

6425 Christie Avenue, Suite 270 Emeryville CA 94608

5105968170 emilio@cfwinc.com CFW Advisory Services, LLC Y United States Securities and Exchange Commission 867-02098 December CA 12-10-1987 N 20 5 0 0 0 47 Municipal Entities Non-profit organizations 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice ME Investments Advice On Selection Other Facilities Planning and Consulting Services Y 0 N N N N N N N N N N Y N N N Item 4- Employee Count is as of 3/27/2020 N N N N N N N N N N N N N N N N N N N N N N N Y Y N Ernesto Rodriguez Flores President 10-31-1998 E Y 000000000 Emilio Alejandro Flores CEO 01-01-2016 NA Y 000000000 Heather Nicole Slate Chief Compliance Officer 11-14-2019 NA Y 2698629 Ernesto Rodriguez Flores President 10-31-1998 E Y 000000000 Emilio Alejandro Flores CEO 01-01-2016 NA Y 000000000 Heather Nicole Slate Chief Compliance Officer 11-14-2019 NA Y 2698629 9-H2 Superior Court, County of Los Angeles, State of California (Central District) BC607335 111 North Hill Street Los Angeles CA 90012 On January 4th, 2019 Mojave Unified School District and Caldwell Flores Winters, Inc entered into a Settlement and Release Agreement (the "Agreement") for a non disclosed amount. The Agreement constitutes a compromise and settlement of any and all potential disputed claims. No action take by either party hereto, either previously or in connection with this Agreement, shall be deemed or construed to be: (a) an admission of the truth or falsity of any potential claims; or (b) an acknowledgment or admission by either party of any fault or liability whatsoever to the other party or to any third party. 01-15-2016 Other Issuer Mojave Unified School District Y Caldwell Flores Winters, Inc. Y Money Damage(s) (Private/Civil Complaint) 01-18-2016 Caldwell Flores Winters, Inc., agreed to allow counsel to accept service on its behalf. Service was accepted on or about 1-18-16. Other General Obligation Bond Authorization - Election Mojave Unified School District alleges negligence and breach of fiduciary duty with respect to advice given related to the amount of authorization sought from the voters. Mojave claims that the amount authorized was insufficient to both defease outstanding debt, specifically Certificates of Participation, and complete desired capital projects. 07-30-2019 Dismissed Settled The Superior Court, County of Los Angeles, State of California (Central District) dismissed the claim of breach of fiduciary duty. The two parties settled for a non disclosed amount. See item 14. N Heather Slate Heather Slate Chief Compliance Officer 03-27-2020 N N N N N Y N Y N N N N Y N N N N N N N N