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