# EDGAR Filing Document

**Accession Number:** 0001623025
**File Stem:** 0001623025-23-000002
**Filing Date:** 2023-2
**Character Count:** 13148
**Document Hash:** 42e5b7d96afe059de12444eee8ef3099
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001623025-23-000002.hdr.sgml**: 20230316

**ACCESSION NUMBER**: 0001623025-23-000002

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230224

**DATE AS OF CHANGE**: 20230316

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Cooperative Strategies, LLC
- **CENTRAL INDEX KEY:** 0001623025
- **IRS NUMBER:** 208903972
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01220
- **FILM NUMBER:** 23737070

**BUSINESS ADDRESS:**
- **STREET 1:** 8955 RESEARCH DR
- **CITY:** IRVINE
- **STATE:** CA
- **ZIP:** 92618
- **BUSINESS PHONE:** 9492508300

**MAIL ADDRESS:**
- **STREET 1:** 8955 RESEARCH DR
- **CITY:** IRVINE
- **STATE:** CA
- **ZIP:** 92618

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Dolinka Group, LLC
- **DATE OF NAME CHANGE:** 20141022

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001623025

**Filer CCC:** XXXXXXXX

**Contact Name:** Justin Rich

**Contact Phone:** 949-500-3432

**Contact Email:** JRich@coopstrategies.com

**Notification Emails:** JRich@coopstrategies.com, edgar@halyardcompliance.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** Cooperative Strategies, LLC

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 20-8903972

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00227-00

- **Municipal Advisor:** SEC File No: 867-01220

**E. Principal Office and Place of Business:** 2855 MICHELLE DRIVE, SUITE 230, IRVINE, CA, 92606

**Telephone Number:** 949-250-8300

**Additional Offices of Employment:**

- **Office #1 (Add):** 4675 Lakehurst Ct Ste 200, Dublin, OH, 43016 | Phone: 614-798-8828

- **Office #2 (Add):** 12600 W. Colfax Ave Bldg A-250, Lakewood, CO, 80215 | Phone: 720-466-8680

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.coopstrategies.com

**G. Chief Compliance Officer (CCO):**

**Name:** Justin Robert Rich

**Titles:** Chief Compliance Officer, Executive Director

**Address:** 2855 Michelle Drive, Suite 230, Irvine, CA, 92606

**Phone Number:** 949-250-8334

**Email:** jrich@coopstrategies.com

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** CA

**D. Date of Organization:** 04-09-2007

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 26

**B. Municipal Advisory Activities - Employees:** 4

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 0

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 1

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice On Selection

### Item 5: Other Business Activities

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Real estate broker or dealer, Real estate broker or dealer

**Total Associated Persons:** 1

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** Yes

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name               | Title/Status                                 | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| CS Holdings, LLC   | Member (Common Units)                        | 03-06-2015      | E - 75% or more   | Yes               |  |  |
| Scott Alan Newell  | CEO                                          | 12-01-2018      | NA - less than 5% | Yes               |  | 000000000    |
| Justin Robert Rich | Chief Compliance Officer and Senior Director | 01-08-2021      | NA - less than 5% | No                |  | 000000000    |

### Schedule B: Indirect Owners

| Owning Entity                | Name                         | Title/Status             | Date Acquired   | Ownership Code                                          | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| CS Holdings, LLC             | Renovus Capital Partners, LP | Member (Preferred Units) | 03-06-2015      | E - 75% or more                                         | Yes               |  |
| Renovus Capital Partners, LP | Renovus GP, LLC              | General Partner          | 06-24-2010      | F - Other (general partner, trustee, or elected member) | Yes               |  |
| Renovus GP, LLC              | Bradley L Whitman            | Managing Member          | 06-24-2010      | F - Other (general partner, trustee, or elected member) | Yes               |  |
| Renovus GP, LLC              | Jesse D Serventi             | Managing Member          | 06-24-2010      | F - Other (general partner, trustee, or elected member) | Yes               |  |
| Renovus GP, LLC              | Atif U Gilani                | Managing Member          | 06-24-2010      | F - Other (general partner, trustee, or elected member) | Yes               |  |
| Renovus GP, LLC              | Frederick W Hill             | Managing Member          | 06-24-2010      | F - Other (general partner, trustee, or elected member) | Yes               |  |
| Renovus GP, LLC              | William A Landman            | Managing Member          | 06-24-2010      | F - Other (general partner, trustee, or elected member) | Yes               |  |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                | Name                         | Title/Status                                 | Date Acquired   | Ownership Code                                          | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | CS Holdings, LLC             | Member (Common Units)                        | 03-06-2015      | E - 75% or more                                         | Yes               |  |  |
|  | Indirect    | CS Holdings, LLC             | Renovus Capital Partners, LP | Member (Preferred Units)                     | 03-06-2015      | E - 75% or more                                         | Yes               |  |  |
|  | Indirect    | Renovus Capital Partners, LP | Renovus GP, LLC              | General Partner                              | 06-24-2010      | F - Other (general partner, trustee, or elected member) | Yes               |  |  |
|  | Direct      |  | Scott Alan Newell            | CEO                                          | 12-01-2018      | NA - less than 5%                                       | Yes               |  | 000000000    |
|  | Direct      |  | Justin Robert Rich           | Chief Compliance Officer and Senior Director | 01-08-2021      | NA - less than 5%                                       | No                |  | 000000000    |
|  | Indirect    | Renovus GP, LLC              | Bradley L Whitman            | Managing Member                              | 06-24-2010      | F - Other (general partner, trustee, or elected member) | Yes               |  | 000000000    |
|  | Indirect    | Renovus GP, LLC              | Jesse D Serventi             | Managing Member                              | 06-24-2010      | F - Other (general partner, trustee, or elected member) | Yes               |  | 000000000    |
|  | Indirect    | Renovus GP, LLC              | Atif U Gilani                | Managing Member                              | 06-24-2010      | F - Other (general partner, trustee, or elected member) | Yes               |  | 000000000    |
|  | Indirect    | Renovus GP, LLC              | Frederick W Hill             | Managing Member                              | 06-24-2010      | F - Other (general partner, trustee, or elected member) | Yes               |  | 000000000    |
|  | Indirect    | Renovus GP, LLC              | William A Landman            | Managing Member                              | 06-24-2010      | F - Other (general partner, trustee, or elected member) | Yes               |  | 000000000    |

### Execution Page

**Signature:** Justin Rich

**Signer Name:** Justin Rich

**Title:** Executive Director

**Date:** 02-24-2023