2022-08-08T11:40:38-05:00 2022-03-31 582676261 Rogers & Company PLLC 8300 Boone Boulevard Suite 600 Vienna VA 22182 990 2021-04-01 043044983 NICSA Inc NICS 5084851500 101 Federal Street Suite 1900 Boston MA 021101861 James A Fitzpatrick President 5084851500 2022-08-02 1 James Fitzpatrick XXX-XX-XXXX Lori A Collingsworth P00639819 7038930300 2022-08-02 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z James A Fitzpatrick 101 Federal Street Suite 1900 Boston MA 021101861 2133603 0 X http://www.nicsa.org/ X 1987 MA NICSA is the leading provider of independent education and networking forums to professionals in the global investment management community. 30 30 10 525 0 0 140000 48355 1644822 2069095 270 42 1200 -37982 1786292 2079510 0 9862 0 0 1223432 1334088 0 0 0 382932 656113 1606364 2000063 179928 79447 1296845 1905996 590375 1120079 706470 785917 X NICSA provides the Global Investment Management Industry with discussion and education forums to better serve its customers by developing operational best practices. See Schedule O for Continuation 0 0 451027 420259 Annual Conference: NICSA Strategic Leadership Forum and expo provides educational and networking opportunities for its membership. 432090 390844 Diversity Project: The goal of the Diversity Project is to accelerate progress toward a more inclusive culture across all demographics including gender, ethnicity, sexual orientation, age and disability. The Diversity Project will also focus on enhancing the financial services industry brand within higher education and developing and sharing leading practices across member firms. 235447 267614 General Membership Meetings: NICSA facilitated a National Meeting that provided education and networking opportunities for its membership. 138580 676478 Membership Services: NICSA offers members opportunities to develop leading practices through participation on committees, access to compliance guides and other services. 79176 38000 Training and Desktop Education: NICSA provides its members with timely, interactive webinars on a variety of topics and provides its members with other educational materials and programs. 238284 225500 Symposium: NICSA's Virtual Fearless Leadership Symposium brought together attendees to explore how inclusive leadership can enhance productivity and promote growth through powerful keynotes, interactive panel discussions and actionable takeaways from companies leading the DEI charge in our industry. The Symposium highlighted bold business practices aimed at supporting the long-term sustainability of global asset management. 152898 50400 Accelerator Professional Development Program:NICSA Accelerator's Inclusive Leadership for High Performance course aims to provide current and future leaders with the skills needed to build deep connections and create high-performing teams that are resilient, agile, and inclusive. This is a virtual training program spread over 3 months, facilitated by a certified instructor specializing in leading diverse and inclusive teams. Participants learn how to build an environment where individuals can be innovative, authentic, and work in a safe space to foster a collaborative, open, and honest dynamic, allowing the team to perform at high levels. 9862 9862 Blackwell Scholarship: The NICSA/William T. Blackwell Scholarship Fund was established as a tribute to Bill Blackwell's commitment to education and to recognize outstanding students of the NICSA family with financial and social support for postsecondary education. Blackwell Scholars receive up to four years of scholarship support, a mentor from a NICSA member company, and access to career networking and internship opportunities. 618800 9862 990378 1737364 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 1 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 3 0 1 10 1 0 0 0 0 0 1 1 0 0 0 0 0 0 X 30 30 0 0 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 MA X The Organization 5084851500 101 Federal Street Suite 1900 Boston MA 021101861 James A Fitzpatrick President & CEO 40.00 X X 408125 0 5113 Scott Brady Chairman 1.00 X X 0 0 0 Stacy Bernstein Vice Chair 1.00 X X 0 0 0 Larry Fahey VP & Treasurer 1.00 X X 0 0 0 Joshua Lovell Vice President 1.00 X X 0 0 0 Lisa Halbach Vice President 1.00 X X 0 0 0 David Whitaker Vice President 1.00 X X 0 0 0 Irene Speridakos Vice President 1.00 X X 0 0 0 Janet Bienkowski Vice President 1.00 X X 0 0 0 Kevin O'Connell Director 1.00 X 0 0 0 Rich Prior Director 1.00 X 0 0 0 Mark Trenchard Director 1.00 X 0 0 0 Keith Slattery Director 1.00 X 0 0 0 Mark Lavan Director 1.00 X 0 0 0 Katarina Tzouganatos Director 1.00 X 0 0 0 Brandon Anderson Director 1.00 X 0 0 0 David Rosen Director 1.00 X 0 0 0 Clint Harris Director 1.00 X 0 0 0 Patrick Curtin Director 1.00 X 0 0 0 Eileen Norton Director 1.00 X 0 0 0 Dan Moorman Director 1.00 X 0 0 0 Frieda Lewis Director 1.00 X 0 0 0 Chris Keller Director 1.00 X 0 0 0 Kevin Mahn Director 1.00 X 0 0 0 Mike Melles Director 1.00 X 0 0 0 Jennifer McGovern Director 1.00 X 0 0 0 Ryan Burns Director 1.00 X 0 0 0 Ken Cawley Director 1.00 X 0 0 0 Lisa Goulemas Director 1.00 X 0 0 0 Kirsten Pickens Director 1.00 X 0 0 0 Steve Rueschhoff Director 1.00 X 0 0 0 Cindy Schreiner Director 1.00 X 0 0 0 Melanie Pickett Director 1.00 X 0 0 0 Cliff Piorier Director 1.00 X 0 0 0 Allison Lovett Vice President 40.00 X 101302 0 0 Justine Phoenix Vice President 40.00 X 134500 0 0 Kelly Sherrard Executive Director 40.00 X 114813 0 4695 Allison Walsh Vice President 40.00 X 111156 0 3335 869896 0 13143 5 0 1 0 CommPartners 7230 Lee DeForest Dr Suite 206 Columbia MD 21046 Online Conference & Webinar IT Services 133360 1 48355 48355 Membership Dues 900099 676478 676478 Strategic Leadership Forum 900099 420259 420259 Diversity Project 900099 390844 390844 General Membership Meetings 900099 267614 267614 Symposium 900099 225500 225500 88400 88400 2069095 42 42 15600 48355 54093 -38493 -38493 Other revenue 900099 511 511 511 2079510 2069095 0 -37940 9862 9862 445113 400602 44511 759787 709844 49943 9920 9143 777 38379 35485 2894 80889 74555 6334 3227 3227 47579 47579 11376 3350 8026 2478 1369 1109 58002 5875 52127 123838 101443 22395 27594 13721 13873 367207 367207 7809 3314 4495 Dues & Subscriptions 6477 1594 4883 Taxes 526 526 2000063 1737364 262699 0 587215 1122024 624091 624132 32000 121295 53539 38545 1296845 1905996 34026 558151 556349 561928 590375 1120079 X 706470 785917 706470 785917 1296845 1905996 79447 0 X X 0 1 X 1 0 X 49625 0 181739 140000 48355 419719 1528921 1201722 2629503 1644822 2069095 9074063 31232 130 43484 1200 16111 92157 1609778 1201852 2854726 1786022 2133561 9585939 0 185186 183800 195280 538481 480508 1583255 185186 183800 195280 538481 480508 1583255 8002684 2523 9803 10253 270 42 22891 2523 9803 10253 270 42 22891 1612301 1211655 2864979 1786292 2133603 9608830 0.83280 0.84680 0.00240 0.00260 X 0 X 2069648 0 2069648 9862 9862 2079510 1990201 0 1990201 9862 9862 2000063 Part X, Line 2: NICSA follows the Financial Accounting Standards Board Accounting Standards Codification, which provides guidance on accounting for uncertainty in income taxes recognized in NICSA's financial statements, if any. As of March 31, 2022, NICSA had no unrecognized tax benefits related to uncertain tax positions in its information return that would qualify for either recognition or disclosure in its financial statements. NICSA's policy would be to recognize interest and penalties on tax positions related to its unrecognized tax benefits in income tax expense in the financial statements. Through March 31, 2022, there have been no matters that would have resulted in an accrual for interest and/or penalties. Part XI, Line 4b - Other Adjustments: Golf Tournament net proceeds donation to Blackwell Scholarship Fund Part XII, Line 4b - Other Adjustments: Golf Tournament net proceeds donation to Blackwell Scholarship Fund Golf Tournament 63955 48355 15600 1999 25456 16617 10021 63955 48355 15600 1999 25456 16617 10021 54093 -38493 1 Boston Foundation Inc 75 Arlington St 1000 Boston MA 02116 042104021 501(c)(3) 9862 0 N/A N/A NICSA/William T. Blackwell Scholarship Fund 1 0 Part I, Line 2: The NICSA/William T. Blackwell Scholarship Fund was established as a tribute to Bill Blackwell's commitment to education and to recognize outstanding students of the NICSA family with financial and social support for postsecondary education. Blackwell Scholars receive up to four years of scholarship support, a mentor from a NICSA member company, and access to career networking and internship opportunities. Working together with The Philanthropic Initiative, the Boston Foundation assures that the intent and spirit of NICSA and William T. Blackwell will be carried out and maintained. X X X 0 0 0 0 0 0 0 0 0 James A Fitzpatrick President & CEO 268125 0 140000 0 0 0 0 0 5113 0 413238 0 0 0 Form 990, Part III, Line 1: Mission Continuation NICSA forums enable associates of asset managers, distributors, and service providers to: Collaborate to establish standards for operational best practices to assist compliance with regulations and continuously improve operating performance. Stay up-to-date on the latest developments through education and Information sharing. Learn about trends in all types of investment vehicles, including mutual funds, hedge funds, unit investment trusts, UCITS and ETFS. Connect members with peers to network and learn from each other, and foster skills that can help advance careers. Form 990, Part VI, Section A, line 1a The officers shall serve as the Executive Committee. The Executive Committee may exercise the powers of the Board of Directors between meetings on all matters requiring immediate attention and not otherwise delegated herein, and shall carry out such other responsibilities as may be designated by the Board of Directors. The Executive Committee shall advise the Board of Directors as to the need to appoint additional committees and shall, by majority vote, appoint the Chair of each committee. Form 990, Part VI, Section A, line 6 The organization has members. Form 990, Part VI, Section A, line 7a Each member organization shall designate one nominee as its representative and may designate one or more alternate nominees. Such nominees shall be employees of the member organization. Form 990, Part VI, Section B, line 11b A draft of the Federal Form 990 is circulated to the Board of Directors for review prior to filing with the IRS. Any questions are collected and resolved. The Audit Committee approves the final Federal Form 990 to be filed. Form 990, Part VI, Section B, line 12c The organization requires an annual written disclosure that all directors must sign confirming that they are in compliance with the Conflict of Interest Policy and must be updated throughout the year as necessary. Form 990, Part VI, Section B, line 15 The compensation of the President and top management positions are determined by the Executive Committee consisting of members of the Board of Directors. The Committee considers performance as well as comparability data when determining compensation. The full Board of Directors approves the President's compensation based upon recommendation from the Executive Committee. Form 990, Part VI, Section C, line 19 The organization makes it governing documents, conflict of interest policy and financial statements available to the public upon request. Form 990, Part XII, Line 2c: The organization's Audit Committee is responsible for the oversight of the audit and the selection of the independent accountant. This process has not changed from prior years.