0001612429-14-000017.txt : 20140821 0001612429-14-000017.hdr.sgml : 20140821 20140821155412 ACCESSION NUMBER: 0001612429-14-000017 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140819 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Fieldman, Rolapp & Associates, Inc. CENTRAL INDEX KEY: 0001612429 IRS NUMBER: 952920834 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-00175 FILM NUMBER: 141057601 BUSINESS ADDRESS: STREET 1: 19900 MACARTHUR BLVD. STREET 2: SUITE 1100 CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: 949-660-7300 MAIL ADDRESS: STREET 1: 19900 MACARTHUR BLVD. STREET 2: SUITE 1100 CITY: IRVINE STATE: CA ZIP: 92612 MA/A 1 primary_doc.xml MA/A 0001612429 XXXXXXXX Daniel L. Wiles 949-660-7315 dwiles@fieldman.com tstiles@fieldman.com Fieldman, Rolapp & Associates, Inc. 95-2920834 866-00346-00 MSRB K0276 19900 MACARTHUR BLVD. SUITE 1100 IRVINE CA 92612 949-660-7300 949-474-8773 N 19900 MACARTHUR BLVD. SUITE 1100 IRVINE CA 92612 www.fieldman.com Daniel Lee Wiles

19900 MacArthur Boulevard Suite 1100 Irvine CA 92612

949-660-7315 949-474-8773 dwiles@fieldman.com Theresa June Stiles

19900 MacArthur Boulevard Suite 1100 Irvine CA 92612

949-660-7304 949-474-8773 tstiles@fieldman.com Schick Records Management 2721 Michelle Drive Tustin CA 92680 714-731-5400 714-669-4220 Archived corporate financial records; closed project files; old transcripts; old Official Statements and Preliminary Official Statements from closed deals; archived proposals; old personnel files; and miscellaneous files not impacting current business. Fieldman Rolapp Financial Services, LLC Y State of California 114911 CA Applied Best Practices, LLC N December CA 11-21-1974 N 13 13 0 0 0 86 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 Use Of MD Advice On Selection Other Capital improvement and financial planning N Investment Adviser Other municipal advisor 15 Other municipal advisor Adam Spencer Bauer Adam Spencer Bauer Y N N Other municipal advisor Lora Alice Carpenter Lora Alice Carpenter Y N N Other municipal advisor Jason Chung Jason Chung Y N N Other municipal advisor Thomas Martin DeMars Thomas Martin DeMars Y N N Other municipal advisor James Vasile Fabian James Vasile Fabian Y N N Other municipal advisor Danny Ray Jasper Danny Ray Jasper Y N N Other municipal advisor Thomas Gerard Johnsen Thomas Gerard Johnsen Y N N Investment Adviser Other municipal advisor Joshua Justin Lentz Joshua Justin Lentz Y N N Other municipal advisor Paul Dew Pender Paul Dew Pender Y N N Investment Adviser Other municipal advisor Robert Anthony Porr Robert Anthony Porr Y N N Other municipal advisor Anna Vaselinova Sarabian Anna Vaselinova Sarabian Y N N Other municipal advisor Renee Nicole Vancho Renee Nicole Vancho Y N N Investment Adviser Other municipal advisor Daniel Lee Wiles Daniel Lee Wiles Y N N Investment Adviser Fieldman Rolapp Financial Services, LLC Fieldman Rolapp Financial Services, LLC Y Y N Other municipal advisor Applied Best Practices, LLC Applied Best Practices, LLC Y Y N N N N N N N N N N N N N N Following information is all related to the termination of employment of Darryl T. Street effective 8/15/2014: 1. Item 4 (A) Reduction in number of Employees 2. Item 4 (B) Reduction in number of Municipal Advisors 3. Item 6 (A) Reduction in number of Associated Persons and deletion of Darryl T. Street 4. Item 8 (A) Executive Officer - deletion of Darryl T. Street 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 Fieldman, Rolapp & Associates, Inc. Employee Stock Ownership Plan N 20-3799230 Shareholder 12-18-2009 D N Adam Spencer Bauer Vice Chairman and President 04-08-2014 A Y 004996573 Thomas Martin DeMars Chairman and CEO 04-13-2009 B Y 001632998 James Vasile Fabian Secretary and Senior Vice President 04-13-2009 A Y 004548861 Thomas Gerard Johnsen Senior Vice President 05-01-1993 B Y 001452756 Joshua Justin Lentz Vice President 09-01-2013 NA Y 005273131 Paul Dew Pender Vice President 08-01-2010 NA Y 005311738 Robert Anthony Porr Senior Vice President 12-11-2009 NA Y 002802248 Lawrence Graul Rolapp Director 12-18-2009 NA N 004439194 Anna Vaselinova Sarabian Senior Vice President 06-20-2014 NA Y Theresa June Stiles Vice President of Human Resources and Administration 08-01-2013 NA Y Daniel Lee Wiles Senior Vice President and General Counsel 04-11-2005 A Y 004609110 Fieldman, Rolapp & Associates, Inc. Employee Stock Ownership Plan N 20-3799230 Shareholder 12-18-2009 D N Adam Spencer Bauer Vice Chairman and President 04-08-2014 A Y 004996573 Thomas Martin DeMars Chairman and CEO 04-13-2009 B Y 001632998 James Vasile Fabian Secretary and Senior Vice President 04-13-2009 A Y 004548861 Thomas Gerard Johnsen Senior Vice President 05-01-1993 B Y 001452756 Joshua Justin Lentz Vice President 09-01-2013 NA Y 005273131 Paul Dew Pender Vice President 08-01-2010 NA Y 005311738 Robert Anthony Porr Senior Vice President 12-11-2009 NA Y 002802248 Lawrence Graul Rolapp Director 12-18-2009 NA N 004439194 Anna Vaselinova Sarabian Senior Vice President 06-20-2014 NA Y Theresa June Stiles Vice President of Human Resources and Administration 08-01-2013 NA Y Daniel Lee Wiles Senior Vice President and General Counsel 04-11-2005 A Y 004609110 Daniel L. Wiles Daniel L. Wiles Chief Compliance Officer 08-19-2014 004609110 N N N N N Y N N N N Y N Y N N N N N Y N