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
Chief Compliance Officer
Principal
General Counsel
19900 MacArthur Boulevard
Suite 1100
Irvine
CA
92612
949-660-7315
949-474-8773
dwiles@fieldman.com
Michelle
Elaine
Seabrook
HR & Office Manager
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