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City of Santa Ana, California <br />Proposal for Municipal Financial Advisory Services March 12, 2020 <br />Focus Group comprised on municipal agencies, UFI and CalPERS staff. As the leader in pension analysis <br />and modeling, UFI has been engaged by several municipalities to prepare 10-year financial forecasts with <br />the goal of charting the fiscal course, which includes debt management, through what is believed to be a <br />challenging period for public agencies ahead. <br />J. Company ownership <br />UFI is structured as a C-Corporation, incorporated in California in May 1972, and wholly owned by <br />Michael Busch. <br />ii. Point of contact <br />Michael Busch will serve as L FI's point of contact for this engagement. His contact information is provided <br />below. <br />Michael Busch, Chief Executive Officer <br />17821 17" Street, Suite 245 <br />Tustin, California 92780 <br />Telephone: 714.2 83.93 34 <br />Cell: 714.316.6150 <br />Email: michaelb@urbanfuturesinc.com <br />iv. SEC Registration <br />LIFI's registration number with the Municipal Securities Rulemaking Board (MSRB) is K0256, and our <br />registration number with the Securities and Exchange Commission (SEC) is 867-00395. The City may <br />electronically access our firm's most recent Form MA and each most recent Form MA -I filed with the <br />Commission at the following website: www.sec.gov/edgar/searchedgar/companysearch.htmi. <br />v. Types of Financial advisory services provided to comparable California munlcloai clierts <br />UFI serves as municipal advisor on more bond transactions in California than any other firm. Since January <br />1, 2018, UFI has assisted California municipal clients in the completion of almost 300 bond transactions. <br />We take pride in being able to offer our clients comprehensive services including bond financings as well <br />as long-term financial forecasting, fiscal sustainability planning, and strategies for addressing pension and <br />OPEB liabilities. The cities that engage us for multiple services benefit from the efficiencies and synergies <br />created as a result of understanding the city's entire financial picture and goals. Recent examples of <br />clients where we are currently providing comprehensive services include the Cities of Orange, Azusa, <br />Pomona, Inglewood, Lake Elsinore, Desert Hot Springs, Beaumont, and Culver City. <br />Since 2019, UFI assisted California municipal clients in the completion of 38 general fund and successor <br />agency tax allocation bond issues, more than any other municipal advisory firm. In addition, since 2016, <br />we've advised on more pension obligation bonds than any other firm. <br />Top Municipal Advisors for California Tax Allocation Debt Top Municipal Advisors for California General Fund Debt <br />(January 1, 2018 to Present) (January 1. 2018 to Presentl <br />1 Urban Futures Inc <br />13 $ <br />281.3 <br />-1 <br />Urban Futures Inc <br />25 $ <br />421.2 <br />2 Fieldman Rolapp & Associates <br />6 <br />204.9 <br />2 <br />Fieldman Rolapp & Associates <br />24 <br />454.4 <br />3 Del Rio Advisors <br />5 <br />43.3 <br />3 <br />KNN Public Finance <br />23 <br />1,937.1 <br />4 CSGAdvisors Incorporated <br />5 <br />258.6 <br />4 <br />PFM Financial Advisors LLC <br />14 <br />586.8 <br />5 KNN Public Finance <br />4 <br />36.3 <br />5 <br />Public Resources Advisory Group <br />8 <br />723.2 <br />urce: SEC Platinum (Thomson Reuters) <br />Sources .¢nn ._,- <br />Oft 3 <br />® 25F-22 <br />