2022-11-10T15:42:09-06:00 2021-12-31 363963131 MANN WEITZ & ASSOCIATES LLC 111 DEER LAKE ROAD SUITE 125 DEERFIELD IL 60015 990 2021-01-01 362976274 AMERICAN ASSOCIATION OF INDIVIDUAL INVESTORS AMER 3122800170 625 N MICHIGAN AVE 1900 CHICAGO IL 60611 JOHN BAJKOWSKI PRESIDENT 3122800170 2022-11-10 1 JOHN BAJKOWSKI 999009999 MARCY STEINDLER P00573131 8472673400 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z JOHN BAJKOWSKI 625 N MICHIGAN AVE 1900 CHICAGO IL 60611 8989179 0 X WWW.AAII.COM X 1978 DE TO ASSIST INDIVIDUALS TO BECOME EFFECTIVE MANAGERS OF THEIR OWN ASSETS THROUGH PROGRAMS OF EDUCATION, INFORMATION AND RESEARCH. 3 2 45 355 0 0 0 523946 5615194 6356845 635182 659568 373603 393701 6623979 7934060 0 0 0 0 3210867 2966216 0 0 0 3934228 4468034 7145095 7434250 -521116 499810 3828005 3907493 15722940 15200488 -11894935 -11292995 X THE AMERICAN ASSOCIATION OF INDIVIDUAL INVESTORS IS AN INDEPENDENT NONPROFIT CORPORATION FORMED IN 1978 FOR THE PURPOSE OF ASSISTING INDIVIDUALS IN BECOMING EFFECTIVE MANAGERS OF THEIR OWN ASSETS THROUGH PROGRAMS OF EDUCATION, INFORMATION AND RESEARCH. 0 0 1844787 2762939 MAMBERSHIP PROGRAMS: AAII PROVIDES INVESTMENT EDUCATION, INFORMATION, AND RESEARCH FOR NEARLY 155,000 MEMBERS. MEMBERS RECEIVE ACCESS TO THE AAII.COM WEBSITE AND ITS 23-YEAR PERSONAL FINANCEAND INVESTING ARTICLES ARCHIVE. MEMBERS ALSO RECEIVE MONTHLY ISSUES OF THE 40-PAGE AAII JOURNAL WITH EDUCATIONAL ARTICLES AND FEATURES COVERING PORTFOLIO MANAGEMENT, STOCK AND MUTUAL FUND INVESTING APPROACHES, RETIREMENT PLANNING, TAXATION, INSURANCE, AND FINANCIAL PLANNING. IN ADDITION, BOTH ANNUAL AND LIFE AAII MEMBERS RECEIVE INVESTMENT INFORMATION GUIDES, INCLUDING OUR MUTUAL FUND GUIDE, PERSONAL TAX GUIDE, GUIDE TO EXCHANGE-TRADED FUNDS AND AS WELL AS OUR PRISM WEALTH BUILDING PROCESS. 1748341 3413827 SUBSCRIPTION PROGRAMS: AAII OFFERS SUBSCRIPTION PROGRAMS THAT PROVIDE MEMBERS WITH INVESTMENT INFORMATION, EDUCATION, AND RESEARCH. OUR STOCK INVESTOR PRO SOFTWARE PROGRAM ALLOWS USERS TO CONDUCT FUNDAMENTAL STOCK ANALYSIS AND RESEARCH ON OVER 6,000 PUBLICLY TRADED COMPANIES. THE STOCK SUPERSTARS REPORT (SSR), DIVIDEND INVESTING (DI), GROWTH INVESTING, AND VMQ STOCKS WEBSITES AND CORRESPONDING PUBLICATIONS PROVIDE INFORMATION AND RESEARCH ON STOCK ANALYSIS AND PORTFOLIO CONSTRUCTION AND MANAGEMENT. A+ INVESTOR IS A SUITE OF TOOLS THAT AID IN THE RESEARCH AND ANALYSIS OF INVESTMENTS. AAII PLATINUM IS A BUNDLE OF STOCK SUPERSTARS REPORT, DIVIDEND INVESTING, GROWTH INVESTING (LAUNCHING IN 2022), VMQ STOCKS, AND A+ INVESTOR. 265035 134856 NATIONAL PROGRAMS: OUR LOCAL CHAPTER PROGRAMS AIM TO OFFER UNBIASED INVESTMENT EDUCATION AND MEMBERSHIP INTERACTION. COVID PROTOCOLS FOR HOSTING IN-PERSON MEETINGS WERE CREATED AND DISTRIBUTED, BUT NEARLY ALL ACTIVE LOCAL CHAPTERS IN 2021 MET VIRTUALLY. IN ADDITION, AAII HOSTED NATIONAL WEBINARS WITH BOTH STAFF AND OUTSIDE EXPERTS. A VIRTUAL INVESTOR CONFERENCE WAS HELD ON SEPTEMBER 30 AND OCTOBER 1,WITH SPECIAL BOOT CAMP SESSIONS HELD ON SEPTEMBER 29. THERE WERE MORE THAN 1,100 REGISTRANTS FOR THE CONFERENCE, ALONG WITH ALMOST 70 ORDERS FOR VIDEO REPLAYS AFTER THE EVENT ENDED. NO FUTURE CONFERENCES ARE CURRENTLY SCHEDULED. 21103 45223 OTHER PROGRAM SERVICES: AAII PROVIDES PROGRAMS OF INVESTMENT EDUCATION TO THE GENERAL PUBLIC AND COLLEGE STUDENTS. FOR THE PURPOSE OF EDUCATING THE PUBLIC ABOUT INVESTING, AAII MAINTAINS A FREE WEBSITE CALLED INVESTINGPATHWAYS.COM. THE SITE COVERS INVESTING BASICS, ASSET ALLOCATION AND PORTFOLIO MANAGEMENT. AAII ALSO MAINTAINS A FREE, ON-LINE INVESTMENT EDUCATION PROGRAM FOR UNIVERSITY PROFESSORS AND THEIR STUDENTS. THE PROGRAM PROVIDES PARTICIPANTS WITH ACCESS TO THE MONTHLY JOURNAL, OUR INVESTOR CLASSROOM SERIES AND MEMBERS-ONLY AREAS OF THE AAII.COM WEBSITE, ALL WITH THE GOAL OF DELIVERING INVESTMENT EDUCATION TO COLLEGE STUDENTS. BOOKS: AAII OFFERS MEMBERS SEVERAL EDUCATIONAL BOOK TITLES WITHIN OUR AAII INVESTOR LIBRARY SERIES. THESE TITLES COVER INVESTING BASICS, RETIREMENT PLANNING AND PORTFOLIO BUILDING.INVESTING AT LEVEL3: HIGHER RETURNS WITH MINIMAL RISK FOR THE LONG-TERM INDIVIDUAL INVESTOR IS A 319 PAGE HARD COVER BOOK WITH COMPANION WEBSITE. AUTHORED BY AAII FOUNDER, JAMES B. CLOONAN, THE BOOK IS DESIGNED TO SHOW INDIVIDUAL INVESTORS HOW TO THINK ABOUT INVESTMENT RISK AND INVESTMENT ALLOCATION. THE BOOK'S FOCUS IS ON IMPLEMENTING AND CONTROLLING LONG-TERM INVESTMENT STRATEGIES WITH A FOCUS ON KNOWING AND DEFINING WHAT INVESTMENT RISK MEANS TO EACH INDIVIDUAL INVESTOR. 21103 45223 3879266 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 10 0 1 45 1 0 0 0 0 0 0 0 0 0 0 0 0 X 3 2 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 X DONNA M CARONE 3122800170 625 N MICHIGAN AVE 1900 CHICAGO IL 60611 JOHN BAJKOWSKI PRESIDENT/CEO 40.00 X X 210365 0 22730 JOHN MARKESE CHAIR 2.00 X X 12000 0 0 LLOYD SHEFSKY DIRECTOR 2.00 X 12000 0 0 CHARLES ROTBLUT VP EDITOR 40.00 X 202069 0 17940 WAYNE THORP VP SR FIN ANALYST 40.00 X 153134 0 5857 HARRY MADORIN SENIOR VP OPERATIONS/SECRETARY 40.00 X 169261 0 21828 NICK POWELL IS DIRECTOR 40.00 X 135000 0 22431 DONNA CARONE CONTROLLER 40.00 X 156000 0 11375 PETER NGUYEN MARKETING DIRECTOR 40.00 X 136338 0 16961 DEREK HAGEMAN FINIANCIAL ANALYST/EDITOR 40.00 X 105000 0 0 1291167 0 119122 8 0 1 0 GH PRINTING CO 5207 WALNUT AVE DOWNERS GROVE IL 60515 PRINTER 541086 LSC COMMUNICATIONS PO BOX 842291 BOSTON MA 022842291 MAILING HOUSE 349642 REFINITIV PO BOX 415983 BOSTON MA 02241 DATA PROVIDER 301950 LAKE GROUP MEDIA INC PO BOX 22106 NEW YORK NY 100872106 MAILING LIST RENTAL 143427 4 483946 40000 523946 SUBSCRIPTIONS 990009 3413827 3413827 MEMBERSHIP PROGRAMS 990009 2762939 2762939 NATIONAL PROGRAMS 990009 151451 151451 BOOKS 990009 28628 28628 6356845 35753 35753 393701 393701 1678934 1055119 623815 623815 623815 7934060 6356845 0 1053269 841254 485181 356073 1691895 1004431 687464 261585 154468 107117 171482 101804 69678 9260 9260 66379 66379 44183 20025 24158 1439088 1439088 389421 26000 363421 377704 233230 144474 143427 143427 240025 142496 97529 7103 560 6543 66298 66298 110218 67535 42683 22514 22514 PUBLICATIONS 1072065 1072065 MEMBER INFORMATION 190600 190600 LICENSES AND SUBSCRIPTI 148253 148253 MISCELLANEOUS 124161 11067 113094 17335 11826 5509 7434250 3879266 3554984 0 634 634 273014 583312 81771 73196 213767 240091 837111 785709 161620 51402 3097199 2958858 3828005 3907493 254182 492836 14939091 14707652 529667 15722940 15200488 X -11894935 -11292995 -11894935 -11292995 3828005 3907493 499810 102127 0 X 0 1 X 1 0 X 523946 523946 6245874 6848511 6171219 5615193 6356845 31237642 6245874 6848511 6171219 5615193 6880791 31761588 0 0 0 31761588 639420 532068 409418 421317 429454 2431677 639420 532068 409418 421317 429454 2431677 6885294 7380579 6580637 6036510 7310245 34193265 0.92890 0.91870 0.07110 0.08130 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 167994 116594 51400 59560 59558 2 609557 609557 0 51402 X 8036187 102127 102127 7934060 0 7934060 7434247 0 7434247 0 7434247 PART X, LINE 2: THE FINANCIAL STATEMENT EFFECTS OF A TAX POSITION TAKEN OR EXPECTED TO BE TAKEN ARE RECOGNIZED IN THE FINANCIAL STATEMENTS WHEN IT IS MORE LIKELY THAN NOT, BASED ON THE TECHNICAL MERITS, THAT THE POSITION WILL BE SUSTAINED UPON EXAMINATION. AS OF DECEMBER 31, 2021, THE ASSOCIATION HAD NO UNCERTAIN TAX POSITIONS THAT QUALIFY FOR RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. X X X X 0 0 0 0 0 0 0 0 0 JOHN BAJKOWSKI PRESIDENT/CEO 210365 0 0 0 0 0 0 0 22730 0 233095 0 0 0 CHARLES ROTBLUT VP EDITOR 202069 0 0 0 0 0 0 0 17940 0 220009 0 0 0 HARRY MADORIN SENIOR VP OPERATIONS/SECRETARY 169261 0 0 0 0 0 0 0 21828 0 191089 0 0 0 DONNA CARONE CONTROLLER 156000 0 0 0 0 0 0 0 11375 0 167375 0 0 0 WAYNE THORP VP SR FIN ANALYST 153134 0 0 0 0 0 0 0 5857 0 158991 0 0 0 NICK POWELL IS DIRECTOR 135000 0 0 0 0 0 0 0 22431 0 157431 0 0 0 PETER NGUYEN MARKETING DIRECTOR 136338 0 0 0 0 0 0 0 16961 0 153299 0 0 0 FORM 990, PART VI, SECTION B, LINE 11B THE TAX RETURN AND SCHEDULES ARE GIVEN TO THE PRESIDENT TO REVIEW AFTER THEY HAVE BEEN COMPLETED. COPIES ARE THEN SENT TO THE BOARD OF DIRECTORS FOR THEIR REVIEW. ANY QUESTIONS AND COMMENTS ARE SUBMITTED BY THE BOARD TO THE PRESIDENT AND CONTROLLER. IF CHANGES ARE REQUIRED, THE REVISED RETURN IS SENT AGAIN TO THE BOARD FOR FINAL APPROVAL. FORM 990, PART VI, SECTION B, LINE 12C ALL OFFICERS AND DIRECTORS ARE MONITORED BY THE CHIEF EXECUTIVE AND CHAIRMAN REGARDING ALL SIGNIFICANT TRANSACTIONS FOR ANY CONFLICT OF INTEREST. THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS ALSO REVIEWS THESE TRANSACTIONS. FORM 990, PART VI, SECTION B, LINE 15 THE ASAE ASSOCIATION COMPENSATION & BENEFITS STUDY BY THE ASAE FOUNDATION PRESS IS PROVIDED TO THE BOARD OF DIRECTORS. THE STUDY IS REVIEWED BY THE INDEPENDENT BOARD DIRECTORS WHO COMPRISE THE COMPENSATION COMMITTEE. ALL OFFICER COMPENSATION IS REVIEWED BY THE COMPENSATION COMMITTEE. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC WITH A WRITTEN REQUEST. COPIES ARE MADE AND MAILED TO THE INTERESTED PARTY.