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

19900 MacArthur Boulevard Suite 1100 Irvine CA 92612

949-660-7303 949-474-8773 abauer@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. 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