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

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 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