0001612429-16-000008.txt : 20160211 0001612429-16-000008.hdr.sgml : 20160211 20160211125753 ACCESSION NUMBER: 0001612429-16-000008 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160209 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: 161410113 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 866-00346-00 867-00175 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 Add Corodata 2621 Research Drive Corona CA 92882 951-817-6800 951-549-1697 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 14 14 0 0 0 110 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 16 Add Other municipal advisor Adam Spencer Bauer Adam Spencer Bauer Y N N Add Other municipal advisor Lora Alice Carpenter Lora Alice Carpenter Y N N Add Other municipal advisor Jason Chung Jason Chung Y N N Add Investment Adviser Other municipal advisor Thomas Martin DeMars Thomas Martin DeMars Y N N Add Other municipal advisor James Vasile Fabian James Vasile Fabian Y N N Add Other municipal advisor Thomas Gerard Johnsen Thomas Gerard Johnsen Y N N Add Other municipal advisor Paul Dew Pender Paul Dew Pender Y N N Add Investment Adviser Other municipal advisor Robert Anthony Porr Robert Anthony Porr Y N N Add Other municipal advisor Anna Vaselinova Sarabian Anna Vaselinova Sarabian Y N N Add Investment Adviser Other municipal advisor Daniel Lee Wiles Daniel Lee Wiles Y N N Add Investment Adviser Fieldman Rolapp Financial Services, LLC Fieldman Rolapp Financial Services, LLC Y Y N Add Other municipal advisor Applied Best Practices, LLC Applied Best Practices, LLC Y Y N Delete Other municipal advisor Marisa Helen Colcord Marisa Helen Colcord Y N N Add Other municipal advisor Minerva Tibursia Alcazar Minerva Tibursia Alcazar Y N N Add Other municipal advisor Chanele Brittany Cook Chanele Brittany Cook Y N N Add Other municipal advisor Jacob Arthur Cupul Jacob Arthur Cupul Y N N Add Other municipal advisor Tsung-hang Lin Tsung-hang Lin Y N 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 CEO, President and Chairman 01-01-2016 B Y 004996573 Thomas Martin DeMars Senior Vice President 01-01-2016 NA Y 001632998 James Vasile Fabian Secretary and Senior Vice President 12-18-2015 B Y 004548861 Thomas Gerard Johnsen Senior Vice President and Vice Chairman 01-01-2016 B Y 001452756 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 12-18-2015 B Y 004609110 Add Fieldman, Rolapp & Associates, Inc. Employee Stock Ownership Plan N 20-3799230 Shareholder 12-18-2009 D N Amend Adam Spencer Bauer CEO, President and Chairman 01-01-2016 B Y 004996573 Amend Thomas Martin DeMars Senior Vice President 01-01-2016 NA Y 001632998 Amend James Vasile Fabian Secretary and Senior Vice President 12-18-2015 B Y 004548861 Amend Thomas Gerard Johnsen Senior Vice President and Vice Chairman 01-01-2016 B Y 001452756 Add Paul Dew Pender Vice President 08-01-2010 NA Y 005311738 Add Robert Anthony Porr Senior Vice President 12-11-2009 NA Y 002802248 Add Lawrence Graul Rolapp Director 12-18-2009 NA N 004439194 Add Anna Vaselinova Sarabian Senior Vice President 06-20-2014 NA Y Add Theresa June Stiles Vice President of Human Resources and Administration 08-01-2013 NA Y Amend Daniel Lee Wiles Senior Vice President and General Counsel 12-18-2015 B Y 004609110 Daniel L. Wiles Daniel L. Wiles Chief Compliance Officer 02-09-2016 004609110 N N N N N Y N N N N Y N Y N N N N N Y N