2021-04-10T11:13:13-05:00 2019-12-31 363963131 MANN WEITZ & ASSOCIATES LLC 111 DEER LAKE ROAD SUITE 125 DEERFIELD IL 60015 990 2019-01-01 362976274 AMERICAN ASSOCIATION OF INDIVIDUAL INVESTORS AMER 3122800170 625 N MICHIGAN AVE NO 1900 CHICAGO IL 60611 JOHN BAJKOWSKI PRESIDENT 3122800170 2021-04-10 1 MARCY STEINDLER P00573131 8472673400 2019 2022-09-23 18:48:47Z JOHN BAJKOWSKI 625 N MICHIGAN AVE NO 1900 CHICAGO IL 60611 9381973 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 37 386 0 0 0 0 6848511 6171219 684900 704055 457935 343689 7991346 7218963 0 0 0 0 3053253 3060283 0 0 0 5083139 4809164 8136392 7869447 -145046 -650484 5611647 4879714 16317744 16028146 -10706097 -11148432 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 2028005 2777271 MEMBERSHIP PROGRAMS: AAII PROVIDES INVESTMENT EDUCATION, INFORMATION, AND RESEARCH FOR OVER 160,000 MEMBERS. MEMBERS RECEIVE ACCESS TO THE AAII.COM WEBSITE AND ITS 21-YEAR ARCHIVE OF PERSONAL FINANCE AND INVESTING ARTICLES. MEMBERS ALSO RECEIVE MONTHLY ISSUES OF THE 36-PAGE AAII JOURNAL WITH EDUCATIONAL ARTICLES AND FEATURES, COVERING PORTFOLIO MANAGEMENT, STOCK AND MUTUAL FUND INVESTING APPROACHES, RETIREMENT PLANNING, TAXATION, INSURANCE, AND FINANCIAL PLANNING. ANNUAL AAII MEMBERS RECEIVE INVESTMENT INFORMATION GUIDES INCLUDING OUR MUTUAL FUNDS GUIDE, PERSONAL, TAX GUIDE, GUIDE TO EXCHANGE TRADED FUNDS AND SEVERAL OTHER EDUCATIONAL INVESTMENT GUIDES. 1431358 2600147 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 (SSR), DIVIDEND INVESTING (DI), VMQ STOCKS WEBSITES AND CORRESPONDING PUBLICATIONS PROVIDE INFORMATION AND RESEARCH ON STOCK ANALYSIS AND PORTFOLIO CONSTRUCTION AND MANAGEMENT. OUR A+ INVESTOR TOOLS INCLUDE PORTFOLIO TRACKING AND ANALYSIS, CUSTOMIZABLE SCREENING TOOLS, AND DATA FOR OVER 30,000 STOCKS, FUNDS, AND ETFS. OUR AAII PLATINUM BUNDLE INCLUDES A+ INVESTOR, STOCK SUPERSTARS REPORT, DIVIDEND INVESTING, AND VMQ STOCKS. OUR INDIVIDUAL INVESTOR PUBLICATION COVERS THE BASICS OF INVESTING. 886840 710321 NATIONAL PROGRAMS: THE GOAL OF OUR LOCAL CHAPTER PROGRAMS IS TO OFFER UNBIASED INVESTMENT EDUCATION AND MEMBERSHIP INTERACTION. AAII HOSTED OVER 230 LOCAL CHAPTER MEETINGS AT 38 CHAPTERS IN 22 STATES THIS YEAR, WITH ALMOST 11,700 ATTENDEES. AAII ALSO HOSTED AN ANNUAL 3-DAY INVESTOR CONFERENCE, OCTOBER 24-27, 2019 IN ORLANDO FLORIDA, FEATURING EDUCATIONAL SPEAKERS WITH OVER 700 ATTENDEES. THE NEXT CONFERENCE WAS TO BE HELD SEPTEMBER 30-OCTOBER 5, 2020 AT THE PARIS LAS VEGAS HOTEL IN LAS VEGAS, NEVADA; HOWEVER DUE TO THE COVID-19 PANDEMIC, THE DECISION WAS MADE NOT TO HOLD THE EVENT AT AN IN-PERSON VENUE. INSTEAD, THE INVESTOR CONFERENCE WAS RESCHEDULED FOR SEPTEMBER 30-OCTOBER 3, 2021 AS A VIRTUAL EVENT. THERE WERE 207 ATTENDEES REGISTERED FOR THE 2020 INVESTOR CONFERENCE. 84837 83480 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. 84837 83480 4431040 1 0 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 12 0 1 37 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 NO 1900 CHICAGO IL 60611 JOHN BAJKOWSKI PRESIDENT/CEO 40.00 X X 281092 0 39104 JOHN MARKESE VICE CHAIRMAN/CHAIR 2.00 X X 14342 0 0 LLOYD SHEFSKY DIRECTOR 2.00 X 14342 0 0 GEORGE W GAU DIRECTOR 2.00 X 14342 0 0 HARRY MADORIN SR VP OPERATIONS/SECRETAR 40.00 X 228008 0 31221 CHARLES ROTBLUT VP EDITOR 40.00 X 199747 0 26093 WAYNE THORP VP SR FIN ANALYST 40.00 X 149498 0 14211 ADAM PFEFFER MARKETING 40.00 X 115743 0 31610 NICK POWELL IS DIRECTOR 40.00 X 132480 0 26641 DONNA CARONE CONTROLLER 40.00 X 143822 0 17838 PETER NGUYEN WEB MANAGER 40.00 X 135121 0 24370 1428537 0 211088 8 0 1 0 LSC COMMUNICATIONS PO BOX 842291 BOSTON MA 02284 PRINTING 368122 GOLDSTAR GRAPHICS 1749 W WINDHAVEN CT GRAYSLAKE IL 60030 PRINTING 252254 REFINITIV PO BOX 415893 BOSTON MA 02241 DATA ACQUISITION 240000 ZELL COMPANY 329 W 18TH ST CHICAGO IL 60616 MAILING HOUSE 231661 SYNERGY MARKETING 375 W SOUTH FRONTAGE RD UNIT E BOLINGBROOK IL 60440 MAILING HOUSE 136113 8 MEMBERSHIP PROGRAMS 990009 2777271 2777271 SUBSCRIPTIONS 990009 2600147 2600147 NATIONAL PROGRAMS 990009 710321 710321 BOOKS 990009 83480 83480 6171219 65729 65729 343689 343689 2801336 2163010 638326 638326 638326 7218963 6171219 0 1047744 1057888 538127 519761 1539747 812559 727188 56927 26979 29948 247804 129514 118290 157917 83337 74580 12759 12759 45887 45887 95339 42040 53299 690503 690503 334773 36406 298367 408806 239720 169086 153998 153998 228063 120354 107709 18931 9058 9873 426579 426579 125717 89275 36442 25009 850 24159 PUBLICATIONS 1170901 1170901 CHAPTERS 384829 192945 191884 MISCELLANEOUS 334643 5971 328672 MEMBER INFORMATION 217841 217841 134586 134586 7869447 4431040 3438407 0 395 510 590888 419931 142913 81711 288799 240159 837111 557922 404175 279189 4184477 3858214 5611647 4879714 506404 749087 15681581 15279059 129759 16317744 16028146 X -10706097 -11148432 -10706097 -11148432 5611647 4879714 -650484 219826 -11677 0 X 0 1 X 1 0 X 7007482 6726709 6245874 6848511 6171219 32999795 7007482 6726709 6245874 6848511 6171219 32999795 0 0 0 32999795 655110 718275 639420 532068 409418 2954291 655110 718275 639420 532068 409418 2954291 7662592 7444984 6885294 7380579 6580637 35954086 0.91780 0.91050 0.08220 0.08950 X 167994 69164 98830 59560 59558 2 609557 429200 180357 279189 X 7438788 219825 219825 7218963 0 7218963 7869447 0 7869447 0 7869447 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, 2019, 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 281092 0 0 0 0 0 13971 0 25133 0 320196 0 0 0 HARRY MADORIN SR VP OPERATIONS/SECRETAR 228008 0 0 0 0 0 11684 0 19537 0 259229 0 0 0 CHARLES ROTBLUT VP EDITOR 199747 0 0 0 0 0 10350 0 15743 0 225840 0 0 0 WAYNE THORP VP SR FIN ANALYST 149498 0 0 0 0 0 8942 0 5269 0 163709 0 0 0 NICK POWELL IS DIRECTOR 132480 0 0 0 0 0 6750 0 19891 0 159121 0 0 0 DONNA CARONE CONTROLLER 143822 0 0 0 0 0 7588 0 10250 0 161660 0 0 0 PETER NGUYEN WEB MANAGER 135121 0 0 0 0 0 7050 0 17320 0 159491 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 ANNUAL NATIONAL COMPENSATION STUDY SALARY SURVEY BY THE AMERICAN RESEARCH COMPANY IS PROVIDED TO THE BOARD OF DIRECTORS. THE SURVEY 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. DURING 2020 A KEY FINANCE STAFF MEMBER FOR THE ORGANIZATION WAS GREATLY IMPACTED BY THE COVID-19 PANDEMIC AND OTHER PERSONAL ISSUES. THIS CAUSED A DELAY IN THE RECORDS BEING AVAILABLE FOR AUDIT AND SUBSEQUENT FORM 990 COMPLETION. THERE WAS NO WILLFUL INTENTION TO AVOID FILING AND THE ORGANIZATION THOROUGHLY UNDERSTANDS ITS DUTY TO ADHERE TO ALL IRS REQUIREMENTS. THE AUDIT FOR 2020 IS ALREADY UNDERWAY AND THE RELATED 990 WILL BE FILED TIMELY.