0001787833-23-000010.txt : 20230717 0001787833-23-000010.hdr.sgml : 20230717 20230717171524 ACCESSION NUMBER: 0001787833-23-000010 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20230615 DATE AS OF CHANGE: 20230717 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Harris & Associates, Inc. CENTRAL INDEX KEY: 0001787833 IRS NUMBER: 942385238 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-A SEC ACT: 1934 Act SEC FILE NUMBER: 867-02513 FILM NUMBER: 231092331 BUSINESS ADDRESS: STREET 1: 1401 WILLOW PASS ROAD STREET 2: SUITE 500 CITY: CONCORD STATE: CA ZIP: 94520 BUSINESS PHONE: 925-969-8111 MAIL ADDRESS: STREET 1: 1401 WILLOW PASS ROAD STREET 2: SUITE 500 CITY: CONCORD STATE: CA ZIP: 94520 FORMER COMPANY: FORMER CONFORMED NAME: Harris & Associates DATE OF NAME CHANGE: 20190911 MA-A 1 primary_doc.xml MA-A 0001787833 XXXXXXXX Kimberly McManus 973-618-9500 kmcmanus@alternativereg.com tvogtman@alternativereg.com joseph.yew@weareharris.com alison.bouley@weareharris.com 12-31-2020 Y Harris & Associates, Inc. 94-2385238 867-02513 1401 Willow Pass Road Suite 500 Concord CA 94520 925-969-8111 886-356-0998 Add One California Plaza, 300 S Grand Avenue Suite 3830 Los Angeles CA 90071 1-800-827-4901 Amend 22 Executive Park SUITE 200 IRVINE CA 92614 949-536-2505 886-356-0998 N www.weareharris.com Steven NMN Winchester

1401 Willow Pass Road SUITE 500 CONCORD CA 94620

925-708-1237 866-356-0998 steve.winchester@weareharris.com Alison NMN Bouley

22 Executive Park Suite 200 IRVINE CA 92614

949-536-2513 866-356-0998 Alison.bouley@weareharris.com Amend Harris & Associates, Inc. 22 Executive Park SUITE 200 Irvine CA 92614 949-536-2505 886-356-0998 Files and work related papers related to Harris & Associates, Inc. clients. Also copy of written supervisory procedures. December CA 09-03-1977 N 200 1 0 0 0 0 Municipal Entities 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice On Selection Y Y Y Harris & Associates, Inc.'s primary business is providing Non-MA services which include planning, environmental compliance, civil engineering and construction management to municipal, water, transportation and educational markets. Engineer or engineering firm 2 Amend Engineer or engineering firm Steven Winchester Harris & Associates, Inc. N N N Delete Engineer or engineering firm Joseph Thomas Yew Jr. Harris & Associates, Inc. N N N Amend Engineer or engineering firm Lisa Virginia Larabee Harris & Associates, Inc. N N N Delete Engineer or engineering firm Karl Dennis Klingelhofer Harris & Associates, Inc. N N N N N N N N N N N N N Y N N N This filing represents Harris & Associates, Inc. MA-Affirmation FY-end December 31, 2020. The information included in this submission reflects the registration information FY 2020. Harris & Associates, Inc. is company owned through an employee owned stock ownership program or ESOP. The ESOP program is a long-term, qualified retirement plan. Harris & Associates, Inc. is employee owned. The company is 100% employee stock with no person owning over 5%. An ESOP is a qualified, defined-contribution employee benefit plan designed to invest primarily in the stock of the sponsoring employee. The Employee Retirement Income Security Act of 1974 (ERISA) is a federal law that sets standards for private industry pension and health plans, including ESOPs. Please contact Joseph Yew at 925-969-8111 or joseph.yew@weareharris.com for more information. N N N N N N N N N N N N N N N N N N N N N N N N N N Harris & Associates, Inc. N 94-2385238 Harris & Associates Employee Stock Ownership Plan 10-01-1992 E Y Steve NMN Winchester CEO and CFO 11-27-2016 NA N 000000000 Michelle Lynn White Executive Vice President and Chief Operating Officer 01-01-2023 NA N 000000000 Alison NMN Bouley Chief Compliance Officer 01-01-2022 NA N 000000000 Harris & Associates, Inc. N 94-2385238 Harris & Associates Employee Stock Ownership Plan 10-01-1992 E Y Amend Steve NMN Winchester Chief Compliance Officer and Chief Operating Officer and Chief Financial Officer 11-27-2016 NA N 000000000 Delete Joseph Thomas Yew Jr. Senior Director and Chief Compliance Officer 04-04-2019 NA N 1767976 Amend Lisa Virginia Larabee Chief Executive Officer 01-15-2010 NA N 000000000 Joseph Thomas Yew Jr. Joseph Thomas Yew Jr. Senior Consultant 06-15-2023 1767976 N N N N N N N Y N N Y N N N N N N N N N Y