2021-07-30T08:24:55-05:00 2021-03-31 582676261 Rogers & Company PLLC 8300 Boone Boulevard Suite 600 Vienna VA 22182 990 2020-04-01 043044983 NICSA Inc NICS 5084851500 101 Federal Street No 1900 Boston MA 021101861 James A Fitzpatrick President 5084851500 2021-07-30 1 James Fitzpatrick 999009999 Lori A Collingsworth P00639819 7038930300 2021-07-28 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z James A Fitzpatrick 101 Federal Street No 1900 Boston MA 021101861 1786292 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. 27 27 12 500 0 0 181739 140000 2629503 1644822 10253 270 -19693 1200 2801802 1786292 59696 0 0 0 1289939 1223432 0 0 0 1358941 382932 2708576 1606364 93226 179928 990191 1296845 463649 590375 526542 706470 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 245151 312050 Annual Conference: NICSA Strategic Leadership Forum and expo provides educational and networking opportunities for its membership. 490809 327500 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. 271314 286650 General Membership Meetings: NICSA facilitated a National Meeting that provided education and networking opportunities for its membership. 136946 655819 Membership Services: NICSA offers members opportunities to develop leading practices through participation on committees, access to compliance guides and other services. 114963 62803 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. Content: Identify key themes and topics most relevant to our current and prospective membership; Align committee work with NICSA's priority issues and thematic objectives; Shape the Association's thought leadership ; and Assist in framing the content program delivered to our members through conferences & in person meetings, webinars, social media platforms as well as all written content (blogs, white papers, surveys, etc. 251909 718622 1259183 1 1 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 8 0 1 12 1 0 0 0 0 0 0 0 0 0 0 0 0 X 27 27 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 No 1900 Boston MA 021101861 Scott Brady Chair 1.00 X X 0 0 0 Dan Houlihan Chair 1.00 X X 0 0 0 Stacy Bernstein Vice Chair 1.00 X X 0 0 0 Lisa Hill Vice Chair 1.00 X X 0 0 0 Janet Bienkowski Vice President 1.00 X X 0 0 0 Lisa Halbach Vice President - Audit 1.00 X X 0 0 0 David Whitaker Vice President - Membership 1.00 X X 0 0 0 Joshua Lovell Vice President - Nominating 1.00 X X 0 0 0 Larry Fahey Vice President - Treasurer 1.00 X X 0 0 0 Brandon Anderson Director 1.00 X 0 0 0 Patrick Curtin Director 1.00 X 0 0 0 Clint Harris Director 1.00 X 0 0 0 Chris Keller Director 1.00 X 0 0 0 Mark Lavan Director 1.00 X 0 0 0 Frieda Lewis Director 1.00 X 0 0 0 Kevin Mahn Director 1.00 X 0 0 0 Jennifer McGovern Director 1.00 X 0 0 0 Michael Melles Director 1.00 X 0 0 0 Dan Moorman Director 1.00 X 0 0 0 Eileen Norton Director 1.00 X 0 0 0 Kevin O'Connell Director 1.00 X 0 0 0 Melanie Pickett Director 1.00 X 0 0 0 Cliff Poirier Director 1.00 X 0 0 0 Rich Prior Director 1.00 X 0 0 0 Gem Pushpaharan Director 1.00 X 0 0 0 David Rosen Director 1.00 X 0 0 0 Keith Slattery Director 1.00 X 0 0 0 Irene Speridakos Director 1.00 X 0 0 0 Mark Trenchard Director 1.00 X 0 0 0 Katerina Tzouganatos Director 1.00 X 0 0 0 Margarheeta Rheeta Wise Director 1.00 X 0 0 0 James A Fitzpatrick President & CEO 40.00 X 377500 0 5400 Justine Phoenix VP Distribution & Broker Dealer Engagement 40.00 X 127500 0 0 Kelly Sherrard Executive Director 40.00 X 105000 0 3000 Allison Walsh Vice President, Marketing 40.00 X 105000 0 0 715000 0 8400 4 0 1 0 Marriott Harbor Beach Resort & Spa 3030 Holiday Drive Fort Lauderdale FL 33316 Hosting Services for Events 131090 1 140000 140000 Membership Dues 900099 655819 655819 Diversity Project 900099 327500 327500 Strategic Leadership Forum 900099 312050 312050 General Membership Meetings 900099 286650 286650 Other Meetings, Events & Training 900099 62803 62803 1644822 270 270 Other revenue 900099 1200 1200 1200 1786292 1644822 0 1470 407900 367110 40790 715773 640787 74986 4415 3960 455 23213 20804 2409 72131 64699 7432 6556 6556 51672 51672 21258 7125 14133 2104 2104 42393 42393 95477 95477 2648 73 2575 149348 149348 3535 3535 Blogs & podcasts 4080 4080 Dues & Subscriptions 2938 1197 1741 Taxes & Licenses 923 923 1606364 1259183 347181 0 62930 587215 723820 624091 163641 32000 39800 53539 0 0 0 0 990191 1296845 78085 34026 21831 0 363733 556349 463649 590375 X 526542 706470 526542 706470 990191 1296845 179928 0 X X 0 1 X 1 0 X 49625 181739 140000 371364 1476527 1528921 1201722 2629503 1644822 8481495 558 31232 130 43484 1200 76604 1477085 1609778 1201852 2854726 1786022 8929463 0 245467 185186 183800 195280 538481 1348214 245467 185186 183800 195280 538481 1348214 7581249 81 2523 9803 10253 270 22930 81 2523 9803 10253 270 22930 1477166 1612301 1211655 2864979 1786292 8952393 0.84680 0.86970 0.00260 0.00260 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 X 1786292 0 1786292 0 1786292 1606364 0 1606364 0 1606364 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, 2021, 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, 2021, 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 James A Fitzpatrick President & CEO 262500 0 115000 0 0 0 0 0 5400 0 382900 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 1 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.