2025-07-01T14:57:09-05:00 2025-03-31 582676261 Rogers & Company PLLC 8300 Boone Boulevard Suite 600 Vienna VA 22182 990 2024-04-01 043044983 NICSA Inc NICS 5084851500 101 Federal Street Suite 1900 Boston MA 021101861 James A Fitzpatrick President 5084851500 2025-06-30 1 1 Lori A Collingsworth P00639819 7038930300 2025-06-30 2024 2025-03-06 01:10:19Z James A Fitzpatrick 101 Federal Street Suite 1900 Boston MA 021101861 2233106 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. 31 31 14 700 0 0 64495 0 2146849 2184062 34043 46515 -40308 2529 2205079 2233106 10600 0 0 0 1375688 1415775 0 0 0 848239 900755 2234527 2316530 -29448 -83424 1440460 1551759 833823 1028546 606637 523213 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 651107 505990 Annual Conference: NICSA Strategic Leadership Forum and expo provides educational and networking opportunities for its membership. 472792 362569 Asset & Wealth Management Summit: NICSA facilitated a National Meeting that provided education and networking opportunities for its membership. 382315 169006 Symposium: NICSA's 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. 301756 425000 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. 211061 683997 Membership Services: NICSA offers members opportunities to develop leading practices through participation on committees, access to compliance guides and other services. 82326 37500 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. 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. 595143 1146497 2101357 1 0 0 0 0 0 0 0 0 0 0 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 7 0 1 14 1 0 0 0 0 0 0 0 0 0 0 0 0 X 31 31 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 Clint Harris Chairman 1.00 X X 0 0 0 Scott Brady Chairman through 10/1/2024 1.00 X X 0 0 0 Stacy Bernstein Vice Chairwoman 1.00 X X 0 0 0 David Rosen Vice President 1.00 X X 0 0 0 Kevin Mahn Vice President 1.00 X X 0 0 0 Janet Bienkowski Vice President 1.00 X X 0 0 0 Ryan Burns Vice President 1.00 X X 0 0 0 Kirsten Pickens Vice President 1.00 X X 0 0 0 John Stadtler Vice President 1.00 X 0 0 0 Mark Lavan 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 Mike Melles Director 1.00 X 0 0 0 Jennifer McGovern Director 1.00 X 0 0 0 Ken Cawley 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 Kelli O'Brien Director 1.00 X 0 0 0 Mike Mastroianni Director 1.00 X 0 0 0 John Gray Director 1.00 X 0 0 0 Andrew Strnad Director 1.00 X 0 0 0 Dan Houlihan Director 1.00 X 0 0 0 Brooke Marajo Director 1.00 X 0 0 0 Stephen Patrickakos Director 1.00 X 0 0 0 Christine Waldon Director 1.00 X 0 0 0 Stacy Veleker Director 1.00 X 0 0 0 Brian Shlissel Director 1.00 X 0 0 0 Chris Goff Director 1.00 X 0 0 0 Jocelyn McBride Director 1.00 X 0 0 0 Stella Mink Director 1.00 X 0 0 0 Tiffani Potesta Director 1.00 X 0 0 0 Angela Morales Director through June 2024 1.00 X 0 0 0 Christine Selmi Director through June 2024 1.00 X 0 0 0 Jim Fitzpatrick President & CEO 40.00 X 470000 0 36255 Allison Lovett Vice President 40.00 X 111875 0 0 Justine Phoenix Vice President 40.00 X 142300 0 0 Kelly Sherrard Vice President 40.00 X 147375 0 18979 Allison Walsh Vice President 40.00 X 133905 0 12296 1005455 0 67530 5 0 1 0 0 Membership Dues 900099 683997 683997 Strategic Leadership Forum 900099 505990 505990 Diversity Project 900099 425000 425000 Asset & Wealth Management Summit 900099 362569 362569 Symposium 900099 169006 169006 37500 37500 2184062 46515 46515 Other revenue 900099 2529 2529 2529 2233106 2184062 0 49044 506255 455630 50625 787501 721326 66175 12364 11251 1113 29888 27560 2328 79767 72588 7179 1024 787 237 51737 51737 10821 10080 741 1948 1900 48 70176 50756 19420 92275 84508 7767 81767 80192 1575 554357 554357 11847 11158 689 Dues & Subscriptions 24803 19264 5539 2316530 2101357 215173 0 280269 216208 1069409 965924 43959 306048 46823 63579 1440460 1551759 286049 273941 547774 754605 833823 1028546 X 606637 523213 606637 523213 1440460 1551759 -83424 0 X X 0 1 X 1 0 X 140000 48355 43895 64495 0 296745 1644822 2069095 2210730 2146849 2184062 10255558 1200 16111 11706 22740 2529 54286 1786022 2133561 2266331 2234084 2186591 10606589 0 538481 480508 285633 307930 267541 1880093 538481 480508 285633 307930 267541 1880093 8726496 270 42 11233 34043 46515 92103 270 42 11233 34043 46515 92103 1786292 2133603 2277564 2268127 2233106 10698692 0.81570 0.83550 0.00860 0.00490 X 0 X 2233106 0 2233106 0 2233106 2316530 0 2316530 0 2316530 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, 2025, 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, 2025, there have been no matters that would have resulted in an accrual for interest and/or penalties. X X X 0 0 0 0 0 0 0 0 0 Jim Fitzpatrick President & CEO 270000 0 200000 0 0 0 0 0 36255 0 506255 0 0 0 Kelly Sherrard Vice President 134875 0 12500 0 0 0 4185 0 14794 0 166354 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.