0001612429-22-000001.txt : 20220331
0001612429-22-000001.hdr.sgml : 20220331
20220331141228
ACCESSION NUMBER: 0001612429-22-000001
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211231
FILED AS OF DATE: 20220328
DATE AS OF CHANGE: 20220331
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: 22791325
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
Adam Bauer
949-660-7303
abauer@fieldman.com
mseabrook@fieldman.com
12-31-2021
Y
Fieldman, Rolapp & Associates, Inc.
Applied Best Practices
95-2920834
866-00346-00
867-00175
MSRB
K0276
19900 MACARTHUR BLVD.
SUITE 1100
IRVINE
CA
92612
949-660-7300
949-474-8773
Add
1 Sansome Street
San Francisco
CA
94104
415-489-2860
Add
4159330968
NewAdd
808-342-6165
NewAdd
951-990-7555
N
www.fieldman.com
Adam
Spencer
Bauer
Chief Compliance Officer
CEO/President
19900 MacArthur Boulevard
Suite 1100
Irvine
CA
92612
949-660-7303
949-474-8773
abauer@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.
December
CA
11-21-1974
N
13
12
0
0
0
135
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
12
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
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
Other municipal advisor
Chelsea Lyn Redmon
Chelsea Lyn Redmon
Y
N
N
Add
Other municipal advisor
Un Chu Reardon
Un Chu Reardon
Y
N
N
Add
Other municipal advisor
Rachel Chiehyi Chang-Kwei
Rachel Chiehyi Chang-Kwei
Y
N
N
Add
Other municipal advisor
Annika Marie Bergstrom
Annika Marie Bergstrom
Y
N
N
Delete
Other municipal advisor
Brendan Shea Love
Brendan Shea Love
Y
N
N
Delete
Other municipal advisor
Jennifer Aimara Arroyo Castro
Jennifer Aimara Arroyo Castro
Y
N
N
NewAdd
Other municipal advisor
Melinda Kapuaokalani Kays
Melinda Kapuaokalani Kays
Y
N
N
NewAdd
Other municipal advisor
Paul Charles McDonnell
Paul Charles McDonnell
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Brendan Love and Jennifer Arroyo Castro have been removed as Municipal Advisors.
Melinda Kays and Paul McDonnell are added as Municipal Advisors.
Schedule A - there are no owners of 25% or more of the firm.
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 and Chief Compliance Officer
01-01-2016
B
Y
4996573
James
Vasile
Fabian
Secretary and Senior Vice President
12-18-2015
B
Y
4548861
Robert
Anthony
Porr
Executive Vice President
07-01-2019
NA
Y
2802248
Anna
Vaselinova
Sarabian
Senior Vice President and Vice Chairperson
06-20-2014
B
Y
6623410
Fieldman, Rolapp & Associates, Inc. Employee Stock Ownership Plan
N
20-3799230
Shareholder
12-18-2009
D
N
Adam
Spencer
Bauer
CEO, President and Chairman and Chief Compliance Officer
01-01-2016
B
Y
4996573
James
Vasile
Fabian
Secretary and Senior Vice President
12-18-2015
B
Y
4548861
Robert
Anthony
Porr
Executive Vice President
07-01-2019
NA
Y
2802248
Anna
Vaselinova
Sarabian
Senior Vice President and Vice Chairperson
06-20-2014
B
Y
6623410
Adam Bauer
Adam Bauer
CEO/President/ Chief Compliance Officer
03-28-2022
N
N
Y
N
N
Y
N
Y
N
N
Y
N
N
N
N
N
N
N
N
N
N