0001612429-23-000011.txt : 20231020
0001612429-23-000011.hdr.sgml : 20231020
20231020074546
ACCESSION NUMBER: 0001612429-23-000011
CONFORMED SUBMISSION TYPE: MA/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20231016
DATE AS OF CHANGE: 20231020
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: 231335976
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
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
NewAdd
1 Sansome Street
Ste 3500
San Francisco
CA
94104
4154892860
NewAdd
4159330968
NewAdd
8083426165
NewAdd
9519907555
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
December
CA
11-21-1974
N
13
13
0
0
0
113
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
13
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
Amend
Other municipal advisor
Annika Marie Bergstrom
Annika Marie Bergstrom
Y
N
N
Delete
Investment Adviser
Other municipal advisor
Thomas Martin DeMars
Thomas Martin DeMars
Y
N
N
Delete
Other municipal advisor
Paul Dew Pender
Paul Dew Pender
Y
N
N
Delete
Other municipal advisor
Thomas Gerard Johnsen
Thomas Gerard Johnsen
Y
N
N
Delete
Investment Adviser
Other municipal advisor
Daniel Lee Wiles
Daniel Lee Wiles
Y
N
N
Delete
Other municipal advisor
Applied Best Practices, LLC
Applied Best Practices, LLC
Y
N
N
Delete
Other municipal advisor
Chanele Brittany Cook
Chanele Brittany Cook
Y
N
N
Delete
Other municipal advisor
Tsung-hang Lin
Tsung-hang Lin
Y
N
N
Delete
Other municipal advisor
Jacob Arthur Cupul
Jacob Arthur Cupul
Y
N
N
Delete
Other municipal advisor
Randall Padua Libunao
Randall Padua Libunao
Y
N
N
Delete
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
Delete
Other municipal advisor
Erik Anthony Fisher
Erik Anthony Fisher
Y
N
N
NewAdd
Other municipal advisor
Jennifer Aimara Bustamante
Jennifer Aimara Bustamante
Y
N
N
NewAdd
Other municipal advisor
Un Chu Reardon
Un Chu Reardon
Y
N
N
NewAdd
Other municipal advisor
Rachel Chiehyi Chang-Kwei
Rachel Chiehyi Chang-Kwei
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
Adam S. Bauer updated title to CEO, President and CCO
N
N
N
N
N
Y
N
Y
Y
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
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
Daniel
Lee
Wiles
Senior Vice President and General Counsel
12-18-2015
B
Y
4609110
Fieldman, Rolapp & Associates, Inc. Employee Stock Ownership Plan
N
20-3799230
Shareholder
12-18-2009
D
N
Amend
Adam
Spencer
Bauer
CEO, President, Chairman, Chief Compliance Officer
01-01-2016
B
Y
4996573
James
Vasile
Fabian
Secretary and Senior Vice President
12-18-2015
B
Y
4548861
Amend
Robert
Anthony
Porr
Executive Vice President
07-01-2019
NA
Y
2802248
Amend
Anna
Vaselinova
Sarabian
Senior Vice President And Vice Chairperson
06-20-2014
B
Y
6623410
Delete
Thomas
Gerard
Johnsen
Senior Vice President and Vice Chairman
01-01-2016
B
Y
1452756
Delete
Paul
Dew
Pender
Vice President
08-01-2010
NA
Y
5311738
Delete
Lawrence
Graul
Rolapp
Director
12-18-2009
NA
N
4439194
Delete
Daniel
Lee
Wiles
Senior Vice President and General Counsel
12-18-2015
B
Y
4609110
1
9-C2
9-C4
9-C5
SEC Administrative Proceeding
3-21717
100 F Street NE
Washington
CA
20549
The firm settled this matter with the SEC without admitting or denying the findings in the Order. The Order is publicly available on the SEC's website. For more information, see Administrative Proceeding File No. 3-21717.
09-01-2023
Disgorgement
Cease and Desist
CivilAdminPenaltyFine
Debt - Municipal
Alleged willful violations of Section 15B (c) (1) of the Exchange Act, MSRB Rule G-17, and MSRB Rule G-42 (a) (ii),
09-25-2023
Decision & Order of Offer of Settlement
Y
Disgorgement
Cease and Desist
CivilAdminPenaltyFine
127917.27
127917.27
09-28-2023
127917.27
Anna
Vaselinova
Sarabian
N
Anna Vaselinova Sarabian
868-01551
09-28-2023
0001612429-23-000008
Adam Bauer
Adam Bauer
CEO/President, CCO
10-16-2023
N
N
Y
N
N
Y
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
N