2021-08-13T12:49:30-05:00 2020-09-30 420714325 RSM US LLP 100 INTERNATIONAL DRIVE SUITE 1400 BALTIMORE MD 21202 990 2019-10-01 521954196 RAZA DEVELOPMENT FUND INC C/O RODRIGO VELA CFO RAZA 6024171400 410 E SOUTHERN AVE PHOENIX AZ 85040 TOM ESPINOZA PRESIDENT & CEO 6024171400 2021-08-11 1 JULIA FLANNERY CPA P00928918 4102469301 2021-08-11 2019 2022-09-23 18:48:47Z X TOM ESPINOZA 410 E SOUTHERN AVE PHOENIX AZ 85040 19838701 0 X WWW.RAZAFUND.ORG X 1996 AZ RAZA DEVELOPMENT FUND'S MISSION IS TO CREATE FINANCING SOLUTIONS THAT INCREASE OPPORTUNITIES FOR THE LATINO COMMUNITY AND LOW-INCOME FAMILIES IN THE AREAS OF AFFORDABLE HOUSING, EDUCATION AND HEALTH CARE. RDF TRULY INVESTS IN THE DREAMS AND HOPES OF UNIDOSUS AFFILIATES AND OTHER NOT-FOR-PROFIT SOCIAL SERVICE ORGANIZATIONS BUILDING UP THEIR COMMUNITIES, AND THEREBY TOUCHING THE LIVES OF THOUSANDS OF FAMILIES. 15 13 37 13 0 0 1554000 3601500 15289205 15665797 455015 541329 24205 30075 17322425 19838701 533974 1117563 0 0 4501931 5791304 0 0 118758 11629695 10183622 16665600 17092489 656825 2746212 232681777 267668702 162293210 195499693 70388567 72169009 X RAZA DEVELOPMENT FUND'S MISSION IS TO CREATE FINANCING SOLUTIONS THAT INCREASE OPPORTUNITIES FOR THE LATINO COMMUNITY AND LOW-INCOME FAMILIES IN THE AREAS OF AFFORDABLE HOUSING, EDUCATION AND HEALTH CARE. RDF TRULY INVESTS IN THE DREAMS AND HOPES OF UNIDOSUS AFFILIATES AND OTHER NOT-FOR-PROFIT SOCIAL SERVICE ORGANIZATIONS BUILDING UP THEIR COMMUNITIES, AND THEREBY TOUCHING THE LIVES OF THOUSANDS OF FAMILIES. 1 0 13964006 1117563 15665797 LOAN FUND PROGRAMS: LENDING PROGRAMS TO ASSIST HISPANIC AGENCIES AS WELL AS OTHER AGENCIES SERVING LOW INCOME COMMUNITIES BY INCREASING ACCESS TO CAPITAL, STRENGTHENING AFFILIATE RELATIONS AND PROMOTE ECONOMIC AND FINANCIAL LITERACY AT THE AGENCY LEVEL. LOANS APPROVED 64. 13964006 1 1 0 0 0 0 0 0 0 0 1 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 46 0 1 37 1 0 0 0 0 0 0 0 0 0 0 0 0 X 15 13 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 0 1 0 0 AZ X RODRIGO VELA CFO 6024171400 410 E SOUTHERN AVE PHOENIX AZ 85040 JANET MURGUIA BOARD MEMBER 1.00 41.00 X 0 555628 65936 TOM ESPINOZA PRESIDENT/CEO 40.00 X X 493983 0 45414 MARK VAN BRUNT EXECUTIVE VICE PRESIDENT 40.00 X 299230 0 53604 RODRIGO VELA CHIEF FINANCIAL OFFICER 40.00 X 253887 0 51977 DAVID CLOWER CHIEF INVESTMENT OFFICER 40.00 X 243376 0 50722 MELISSA MCDONALD CHIEF OPERATING OFFICER 40.00 X 191787 0 34840 SCOTT RICHTER CHIEF CREDIT OFFICER 40.00 X 156564 0 43558 JUAN MADRID CONTROLLER 40.00 X 135396 0 41802 ADRIAN RUIZ DEPUTY CHIEF INVESTMENT OFFICER 40.00 X 124325 0 38790 BRIAN CHAMPEAU DIRECTOR - EAST COAST REGION 40.00 X 123379 0 40722 ANTONIO LOPEZ DEPUTY CFO 40.00 X 117997 0 40246 CATHERINE KES DIRECTOR - SPECIALTY FINANCE 40.00 X 113732 0 29361 JAMES W FEILD BOARD CHAIR 1.00 X X 0 0 0 ARABELLA MARTINEZ VICE CHAIRPERSON 1.00 X X 0 0 0 DANIEL ORTEGA SECRETARY 1.00 X X 0 0 0 ART RUIZ BOARD MEMBER 1.00 X 0 0 0 ROLDAN TRUJILLO BOARD MEMBER 1.00 X 0 0 0 KIMBERLY LATIMER-NELLIGAN BOARD MEMBER 1.00 X 0 0 0 JOSEPH F REILLY BOARD MEMBER 1.00 X 0 0 0 KENNETH I TRUJILLO BOARD MEMBER 1.00 1.00 X 0 0 0 JANIS BOWDLER BOARD MEMBER 1.00 X 0 0 0 AARON DOMINGUEZ BOARD MEMBER 1.00 X 0 0 0 BRENDA LOYA BOARD MEMBER 1.00 X 0 0 0 DONNA GAMBRELL BOARD MEMBER 1.00 X 0 0 0 LUIS GRANADOS BOARD MEMBER 1.00 X 0 0 0 2253656 555628 536972 15 0 1 0 UNITED FUND ADVISORS 1455 NW IRVING STREETSUITE 590 PORTLAND OR 97209 NMTC ADVISORY SERVICES 798750 NOVOGRADAC & COMPANY LLP PO BOX 7833 SAN FRANCISCO CA 94120 AUDIT FEES 288574 RSM US LLP 5155 PAYSPHERE CIRCLE CHICAGO IL 60674 AUDIT FEES 170303 SANTA FE ADVISORS 1121 E REDONDO CR TEMPE AZ 85282 COMMUNITY LEADERSHIP SERVICES 152951 LEWIS ROCA ROTHGERBER CHRISTIE LLP 201 EAST WASHINGTON STREETSUITE 1 PHOENIX AZ 850042595 LEGAL FEES 146404 6 3601500 3601500 LOAN INTEREST INCOME 900099 11575364 11575364 NMTC/LOAN FEES 900099 3437972 3437972 ORIGINATION FEES 900099 652461 652461 15665797 541329 541329 OTHER INCOME 900099 30075 30075 30075 19838701 15665797 0 571404 1117563 1117563 2050012 1327739 696522 25751 2470842 1593097 846458 31287 168636 112158 54462 2016 821164 546150 265198 9816 280650 186658 90637 3355 36209 36209 108888 108888 1586823 1566596 15787 4440 408024 408024 139496 105051 26447 7998 59097 33333 22633 3131 486774 329446 140321 17007 195641 124995 64732 5914 89271 23474 65109 688 5552453 5552453 66288 66288 89107 73173 12794 3140 PROVISION FOR LOAN LOSS 664157 664157 OREO EXPENSES 355748 355748 SERVICE CHARGES 121471 99039 21333 1099 UNIDOSUS-SUPPORTING 114250 114250 109925 50679 56130 3116 17092489 13964006 3009725 118758 22876694 29073129 19874658 37645875 838040 1077348 185255031 196105529 116328 111245 1618514 635477 177673 983037 611642 794211 796289 2137500 1876250 232681777 267668702 1577108 2189373 56880124 77349272 90868855 102759091 12967123 13201957 162293210 195499693 X 45780310 46124829 24608257 26044180 70388567 72169009 232681777 267668702 X 2746212 -965770 X X 0 1 X 1 1 1 X X 1 UNIDOSUS 860212873 7 1 13964006 0 1 13964006 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 217000 217000 614535 29066 585469 59713 48332 11381 727266 558079 169187 983037 EQUITY EQUIVALENT INVESTMENTS 12681111 ACCRUED LEASE EXPENSE 3517 BORROWER DEPOSITS 517329 13201957 X 13622091 -6216610 -6216610 19838701 0 19838701 10875879 0 10875879 6216610 6216610 17092489 PART X, LINE 2: RDF IS GENERALLY EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. IN ADDITION, RDF QUALIFIES FOR CHARITABLE CONTRIBUTION DEDUCTIONS AND HAS BEEN CLASSIFIED AS AN ORGANIZATION THAT IS NOT A PRIVATE FOUNDATION. INCOME WHICH IS NOT RELATED TO EXEMPT PURPOSES, LESS APPLICABLE DEDUCTIONS, IS SUBJECT TO FEDERAL AND STATE CORPORATE INCOME TAXES. MANAGEMENT EVALUATED RDF'S TAX POSITIONS AND CONCLUDED THAT RDF HAD TAKEN NO UNCERTAIN TAX POSITIONS THAT REQUIRE ADJUSTMENT TO THE FINANCIAL STATEMENTS TO COMPLY WITH THE PROVISIONS OF THIS GUIDANCE. CONSEQUENTLY, NO ACCRUAL FOR INTEREST AND PENALTIES WAS DEEMED NECESSARY FOR THE YEARS ENDED SEPTEMBER 30, 2020 AND 2019. RDF FILES INCOME TAX RETURNS IN THE U.S. FEDERAL JURISDICTION. RDF IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS FOR THE U.S. FEDERAL, STATE OR LOCAL TAX AUTHORITIES FOR THE YEARS BEFORE 2016. PART XI, LINE 2D - OTHER ADJUSTMENTS: INTEREST EXPENSE -5,552,453. PROVISION FOR LOAN LOSSES -664,157. PART XII, LINE 4B - OTHER ADJUSTMENTS: INTEREST EXPENSE 5,552,453. 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THE CAPITAL IS ALLOCATED TO THIRD PARTY CONSULTANTS THAT PROVIDE THE TECHNICAL ASSISTANCE AND DEVELOPMENT PRACTICES FOR THE IMPLEMENTATION IN THE PROJECT. GRANTS UNDER COVID 19 HOPE FUND WERE PROVIDED AS COMMUNITY SUPPORT IN TIMES OF EMERGENCY ASSISTANCE TO RECIPIENTS. X X X 0 0 0 0 0 0 0 1 0 JANET MURGUIA BOARD MEMBER 0 520728 0 32500 0 2400 0 38600 0 27336 0 621564 0 0 TOM ESPINOZA PRESIDENT/CEO 409039 0 80000 0 4944 0 24877 0 20537 0 539397 0 0 0 MARK VAN BRUNT EXECUTIVE VICE PRESIDENT 242390 0 48188 0 8652 0 23381 0 30223 0 352834 0 0 0 RODRIGO VELA CHIEF FINANCIAL OFFICER 228467 0 25000 0 420 0 20458 0 31519 0 305864 0 0 0 DAVID CLOWER CHIEF INVESTMENT OFFICER 218009 0 25000 0 367 0 19617 0 31105 0 294098 0 0 0 MELISSA MCDONALD CHIEF OPERATING OFFICER 171735 0 19500 0 552 0 15429 0 19411 0 226627 0 0 0 SCOTT RICHTER CHIEF CREDIT OFFICER 144512 0 11500 0 552 0 12658 0 30900 0 200122 0 0 0 JUAN MADRID CONTROLLER 125059 0 10000 0 337 0 10982 0 30820 0 177198 0 0 0 ADRIAN RUIZ DEPUTY CHIEF INVESTMENT OFFICER 114151 0 10000 0 174 0 7986 0 30804 0 163115 0 0 0 BRIAN CHAMPEAU DIRECTOR - EAST COAST REGION 113444 0 9000 0 935 0 10003 0 30719 0 164101 0 0 0 ANTONIO LOPEZ DEPUTY CFO 107692 0 10000 0 305 0 9624 0 30622 0 158243 0 0 0 PART I, LINE 7 ALL EMPLOYEES ARE ELIGIBLE FOR A DISCRETIONARY BONUS AT THE END OF THE YEAR. FORM 990, PART III, LINE 2 RDF ORIGINATED LOANS UNDER THE PAYCHECK PROTECTION PROGRAM TO SMALL BUSINESSES GUARANTEED BY THE SMALL BUSINESS ADMINISTRATION. FORM 990, PART VI, SECTION B, LINE 11B THE ORGANIZATION'S FORM 990 UNDERGOES A NUMBER OF INTERNAL AND EXTERNAL REVIEWS BEFORE IT IS FILED WITH THE IRS. THE RETURN IS PREPARED BY THE ORGANIZATION'S PUBLIC ACCOUNTING FIRM, AND IS REVIEWED BY THE ORGANIZATION'S CHIEF FINANCIAL OFFICER. A FINAL DRAFT OF THE FORM 990 IS PROVIDED TO THE BOARD OF DIRECTORS FOR REVIEW AND COMMENT BEFORE IT IS FILED WITH THE IRS. ANY QUESTIONS OR ISSUES ARE ADDRESSED AND RESOLVED WITH THE CHIEF FINANCIAL OFFICER. FORM 990, PART VI, SECTION B, LINE 12C THE POLICY IS DESIGNED TO HELP DIRECTORS, OFFICERS AND EMPLOYEES OF THE CORPORATION IDENTIFY SITUATIONS THAT PRESENT POTENTIAL CONFLICTS OF INTEREST AND PROVIDE THEM WITH PROCEDURES WHICH, IF FOLLOWED, WILL HELP ASSURE THAT THE CORPORATION ENTERS INTO A FINANCIAL TRANSACTION AND ARRANGEMENTS THAT ARE IN ITS INTERESTS, VALID AND BINDING. ANY INTERESTED PARTY WITH A POTENTIAL CONFLICT OF INTEREST SHALL DISCLOSE ITS CONFLICT TO THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS, WHICH THEN DELIBERATES IN THE ABSENCE OF THE INTERESTED PARTY THE EXISTENCE OR ABSENCE OF CONFLICT. AFTER MAKING SUCH DETERMINATION BY VOTE, THE COMMITTEE COMMUNICATES ITS CONCLUSION TO THE CORRESPONDING AUTHORITY THAT HAS APPROVALS TO ENTER INTO SUCH FINANCIAL TRANSACTION, AND THEN A VOTE BY THAT AUTHORITY ON WHETHER THE CORPORATION SHOULD ENTER OR NOT ENTER SUCH A FINANCIAL TRANSACTION TAKES PLACE WITHOUT THE INPUT OF THE INTERESTED PARTY IF A CONFLICT DEEMED TO EXIST. FORM 990, PART VI, SECTION B, LINE 15A THE PERSONNEL COMMITTEE IS CHARGED WITH THE PERFORMANCE REVIEW OF THE PRESIDENT & CEO. THE REVIEW IS BASED ON THE ANNUAL OPERATING GOALS ESTABLISHED FOR THE ORGANIZATION, THESE INCLUDE PRODUCTIONS, FINANCIAL, FUND RAISING AND OPERATION GOALS. BASED ON THE OVERALL PERFORMANCE THE COMMITTEE RECOMMENDS A SALARY MODIFICATION AND BONUS, THAT IS REVIEWED AND APPROVED BY THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAINTAINS AN UPDATED COPY OF ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE FOR PUBLIC REVIEW FOR THE SAME PERIOD OF DISCLOSURE AS SET FORTH IN SECTION 6104(D). FORM 990, PART XI, LINE 9: RETURN OF RESTRICTED GRANT FUNDS -965,770. FORM 990, PART XII, LINE 2C: THERE HAVE BEEN NO CHANGES DURING THE YEAR IN THE PROCESS. 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