0001610503-22-000012.txt : 20221208
0001610503-22-000012.hdr.sgml : 20221208
20221208115604
ACCESSION NUMBER: 0001610503-22-000012
CONFORMED SUBMISSION TYPE: MA/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20221207
DATE AS OF CHANGE: 20221208
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: 221451821
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
Emilio Flores
510-596-8170
emilio@cfwinc.com
compliance@cfwinc.com
Caldwell Flores Winters, Inc.
33-0276406
866-00378-00
867-00493
2163 HARBOR BAY PARKWAY
ALAMEDA
CA
94502
510-596-8170
Add
521 N. 1st Avenue
Arcada
CA
91006
629-829-8300
Add
1901 Victoria Ave, Suite 106
Oxnard
CA
93035
805-201-1989
N
www.cfwinc.com
Emilio
Alejandro
Flores
CEO
2163 HARBOR BAY PARKWAY
Alameda
CA
94502
510-596-8180
emilio@cfwinc.com
Khushroo
Feroz
Gheyara
Executive Vice President
2163 HARBOR BAY PARKWAY
Alameda
CA
94502
510-596-8170
kgheyara@cfwinc.com
CFW Advisory Services, LLC
Y
United States Securities and Exchange Commission
867-02098
December
CA
12-10-1987
N
14
4
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
Facilities planning and program management
0
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
Y
N
Ernesto
Rodriguez
Flores
President
10-31-1998
E
Y
000000000
Emilio
Alejandro
Flores
CEO
01-01-2016
NA
Y
000000000
Ernesto
Rodriguez
Flores
President
10-31-1998
E
Y
000000000
Emilio
Alejandro
Flores
CEO
01-01-2016
NA
Y
000000000
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
Emilio Flores
Emilio Flores
Chief Executive Officer
12-07-2022
N
N
N
N
N
Y
N
Y
N
N
N
N
Y
N
N
N
N
N
N
N
Y