25F - AGMT FOR FINANCIAL ADVISORY

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City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 services to the City; • UFI does not have any other engagements or relationships that might impair UFI's ability either to render unbiased and competent advice to or on behalf of the City or to fulfill its fiduciary duty to the City, as applicable; and • UFI does not have any finder's fees, fee -splitting arrangements, or payments to consultants viii. Litigation/investigative proceedings Urban Futures does not have any legal events or disciplinary actions over the last five years or through its history. This is reflected on its Form MA and Form MA-1, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The City may electronically access our firm's most recent Form MA and each most recent Form MA-1 filed with the Commission at the following website: www.sec.gov/edgar/searchedgar/companysearch.html. There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-1 filed with the SEC. ix. References We encourage you to contact any of our clients to discuss their experience and satisfaction with UFI. We have included three references for key projects the firm has completed as part of Attachment A. x. Length of time Contractor has been providing services described in this RFP to the public and/or private sector. Please provide a brief description. UFI has been providing municipal advisory services for 48 years. Since 1972, UFI has provided municipal advisory services to California cities, counties, special districts, schools, community colleges, and non- profits. As discussed above, UFI is one of the most active advisors in the State, having completed more bond financings than any other firm in the past three years. b. Team Qualifications i. Project Manager Michael Busch will serve as the supervising Project Manager assigned to the City. Michael's contact information is provided below. N. Resumes for Project Manager and key staff We believe that the core professionals that UFI has assembled possess the proven capabilities necessary to provide the City with comprehensive financial advisory services for any of its financing assignments. Three senior -level staff members and support staff will be assigned to the City to fulfill the Scope of Work in the City's RFP. Michael Busch, the firm's CEO, will serve as the Project Manager and provide project oversight; Julio Morales will lend expertise in pension and OPEB analysis; Wing -See Fox will lend expertise in the area of credit analysis and bond pricings; Branden Kfoury will provide transaction execution support; 9UFI 25F-26