0001612429-18-000002.txt : 20180328 0001612429-18-000002.hdr.sgml : 20180328 20180328144508 ACCESSION NUMBER: 0001612429-18-000002 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180323 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: 18718160 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 mseabrook@fieldman.com dcoats@fieldman.com 12-31-2017 Y 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 Michelle Elaine Seabrook

19900 MacArthur Boulevard Suite 1100 Irvine CA 92612

949-660-7324 949-474-8773 mseabrook@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. Applied Best Practices, LLC N December CA 11-21-1974 N 15 15 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 Other municipal advisor 15 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 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 Other municipal advisor Applied Best Practices, LLC Applied Best Practices, LLC Y Y N Delete Other municipal advisor Chanele Brittany Cook Chanele Brittany Cook Y N N Delete Other municipal advisor Jacob Arthur Cupul Jacob Arthur Cupul Y N N Delete Other municipal advisor Tsung-hang Lin Tsung-hang Lin Y N N Add Other municipal advisor Randall Padua Libunao Randall Padua Libunao Y N N Add Other municipal advisor Adrian Jesus Gonzalez Adrian Jesus Gonzalez Y N N Add Other municipal advisor Chelsea Lyn Redmon Chelsea Lyn Redmon Y N N Add Other municipal advisor Erik Anthony Fisher Erik Anthony Fisher Y N N NewAdd Other municipal advisor Branden Joseph Kfoury Branden Joseph Kfoury Y N N N N N N N N N N N N N N N 1. Item 6 (A) Deletion of Jacob Cupul and Tsung Lin and added Branden Kfoury 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 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 Daniel Lee Wiles Senior Vice President and General Counsel and Chief Compliance Officer 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 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 Amend Anna Vaselinova Sarabian Senior Vice President and Vice Chairperson 06-20-2014 NA Y Amend Daniel Lee Wiles Senior Vice President and General Counsel and Chief Compliance Officer 12-18-2015 B Y 004609110 Daniel L. Wiles Daniel L. Wiles Chief Compliance Officer 03-23-2018 N N N N N Y N N N N Y N Y N N N N N Y N N