0001612429-23-000005.txt : 20230615 0001612429-23-000005.hdr.sgml : 20230615 20230615112333 ACCESSION NUMBER: 0001612429-23-000005 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20230503 DATE AS OF CHANGE: 20230615 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: 231016468 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 12-31-2016 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 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 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 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 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 Delete Other municipal advisor Un Chu Reardon Un Chu Reardon Y N N Delete Other municipal advisor Annika Marie Bergstrom Annika Marie Bergstrom Y N N Delete Other municipal advisor Melinda Kapuaokalani Kays Melinda Kapuaokalani Kays Y N N Delete Investment Adviser Other municipal advisor Thomas Martin DeMars Thomas Martin DeMars Y N N Add Other municipal advisor Paul Dew Pender Paul Dew Pender Y N N Add Other municipal advisor Thomas Gerard Johnsen Thomas Gerard Johnsen Y N N Add Investment Adviser Other municipal advisor Daniel Lee Wiles Daniel Lee Wiles Y N N Delete 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 N N Delete Other municipal advisor Minerva Tibursia Alcazar Minerva Tibursia Alcazar Y N N Delete Other municipal advisor Chanele Brittany Cook Chanele Brittany Cook Y N N Add Other municipal advisor Tsung-hang Lin Tsung-hang Lin Y N N Add Other municipal advisor Jacob Arthur Cupul Jacob Arthur Cupul Y N N NewAdd Other municipal advisor Randall Padua Libunao Randall Padua Libunao Y N N NewAdd Other municipal advisor Adrian Jesus Gonzalez Adrian Jesus Gonzalez Y N N NewAdd Other municipal advisor Chelsea Lyn Redmon Chelsea Lyn Redmon Y N N NewAdd Other municipal advisor Erik Anthony Fisher Erik Anthony Fisher Y N N N N N N N N N N N N N N N 1. Item 6 (A): Reduction in number of Associated Persons and deletion of Chanele Cook and Minerva Alcazar 2. Item 8(A) Executive Officer - deletion of Thomas DeMars and Theresa Stiles. 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 4996573 James Vasile Fabian Secretary and Senior Vice President 12-18-2015 B Y 4548861 Robert Anthony Porr Senior Vice President 12-11-2009 NA Y 2802248 Anna Vaselinova Sarabian Senior Vice President 06-20-2014 NA Y 6623410 Thomas Martin DeMars Senior Vice President 01-01-2016 NA Y 1632998 Thomas Gerard Johnsen Senior Vice President and Vice Chairman 01-01-2016 B Y 1452756 Paul Dew Pender Vice President 08-01-2010 NA Y 5311738 Lawrence Graul Rolapp Director 12-18-2009 NA N 4439194 Theresa June Stiles Vice President of Human Resources and Administration 08-01-2013 NA Y 000000000 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 4996573 James Vasile Fabian Secretary and Senior Vice President 12-18-2015 B Y 4548861 Robert Anthony Porr Senior Vice President 12-11-2009 NA Y 2802248 Anna Vaselinova Sarabian Senior Vice President 06-20-2014 NA Y 6623410 Delete Thomas Martin DeMars Senior Vice President 01-01-2016 NA Y 1632998 Thomas Gerard Johnsen Senior Vice President and Vice Chairman 01-01-2016 B Y 1452756 Paul Dew Pender Vice President 08-01-2010 NA Y 5311738 Lawrence Graul Rolapp Director 12-18-2009 NA N 4439194 Delete Theresa June Stiles Vice President of Human Resources and Administration 08-01-2013 NA Y 000000000 NewAdd Daniel Lee Wiles Senior Vice President and General Counsel 12-18-2015 B Y 4609110 Adam Bauer Adam Bauer CEO/President/CCO 05-03-2023 N N N N N Y N N N N Y N Y N N N N N N N N