2019-08-15T10:21:56-05:00 2019-03-31 582676261 Rogers & Company PLLC 8300 Boone Boulevard Suite 600 Vienna VA 22182 990 2018-04-01 043044983 NICSA Inc NICS 5084851500 1420 New York Avenue NW 5th Floor Washington DC 20005 James A Fitzpatrick President 5084851500 2019-08-15 1 Lori A Collingsworth P00639819 7038930300 2019-08-14 129.213.51.162 2019-08-15 11:19:40 ED P 5757F712A8161F6F3964D64EA127352BD3BB441C 4E34592AB1F6423AB9D06C25827E64500E8BEDD1 2018 2019-02-21 02:37:17Z James A Fitzpatrick 1420 New York Avenue NW 5th Floor Washington DC 20005 1211655 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 5 325 0 0 49625 0 1528921 1201722 2523 9803 -6176 130 1574893 1211655 40068 0 0 0 414982 720855 0 0 0 1064965 626820 1520015 1347675 54878 -136020 1096439 1494081 521261 1060765 575178 433316 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 1 0 275801 333267 General Membership Meetings: NICSA facilitated a National Meeting that provided education and networking opportunities for its membership. 272445 142500 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. 245863 664459 Membership Services: NICSA offers members opportunities to develop leading practices through participation on committees, access to compliance guides and other services. 147489 Annual Conference: NICSA Annual Conference and expo provides educational and networking opportunities for its membership. 101336 61496 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. 47866 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. 296691 61496 1090800 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 9 0 1 5 1 0 0 0 0 0 0 0 0 0 0 0 0 X 27 27 0 1 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 MA X Interel US Inc 5084851500 1420 New York Avenue NW 5th Floor Washington DC 20005 Dan Houlihan Chair 1.00 X X 0 0 0 Peter Poulin Treasurer 1.00 X X 0 0 0 Timothy Johnson Director 1.00 X 0 0 0 Lisa Halbach Director 1.00 X 0 0 0 Scott Brady Director 1.00 X 0 0 0 Keith Slattery Director 1.00 X 0 0 0 Mark Trenchard Director 1.00 X 0 0 0 Rich Prior Director 1.00 X 0 0 0 Matt Thomas Director 1.00 X 0 0 0 Scott Brady Director 1.00 X 0 0 0 David Whitaker Director 1.00 X 0 0 0 Ian McCoy Director 1.00 X 0 0 0 Scott Chelton Director 1.00 X 0 0 0 Lisa Hill Director 1.00 X 0 0 0 Margarheeta Rheeta Wise Director 1.00 X 0 0 0 Philip Kolb Director 1.00 X 0 0 0 Stacy Roode Director 1.00 X 0 0 0 Michael DeNofrio Director 1.00 X 0 0 0 Larry Fahey Director 1.00 X 0 0 0 Joseph Quirk Director 1.00 X 0 0 0 Jennifer Hanes Director 1.00 X 0 0 0 Joshua Lovell Director 1.00 X 0 0 0 Michael O'Reilly Director 1.00 X 0 0 0 Kevin O'Connell Director 1.00 X 0 0 0 Jay Martin Director 1.00 X 0 0 0 Anne Hebard Director 1.00 X 0 0 0 Stacy Bernstein Director 1.00 X 0 0 0 Bethany Hendricks Director 1.00 X 0 0 0 Mark Lavan Director 1.00 X 0 0 0 Rachel Schnoll Director 1.00 X 0 0 0 Cliff Poirier Director 1.00 X 0 0 0 James A Fitzpatrick President 40.00 X 332000 0 0 332000 0 0 1 0 1 0 Interel US Inc 1420 New York Avenue NW 5th Floor Washington DC 20005 Association Management Services 261241 Trump Miami Resort 4400 NW 87th Avenue Miami FL 33178 Mtg Venue/ Hotel 155200 2 Membership Dues 900099 655003 655003 General Membership Meetings 900099 333267 333267 Diversity Project 900099 142500 142500 Other Meetings, Events, Training 900099 61496 61496 Regional Meetings 900099 9456 9456 1201722 9803 9803 Other income 900099 130 130 130 1211655 1201722 0 9933 332000 298800 33200 339430 301871 37559 10674 9549 1125 38751 34667 4084 305000 244000 61000 179 179 13921 13921 26652 3955 22697 12476 1740 10736 62086 39089 22997 47135 25259 21876 47343 28430 18913 102027 102027 6027 1413 4614 Dues & Subscriptions 2691 2691 Board & Committee 696 696 Taxes & Licenses 550 550 Training 37 37 1347675 1090800 256875 0 334621 572633 703765 713568 29394 36917 28659 170963 33784 33784 0 0 1096439 1494081 244065 7976 277196 1052789 521261 1060765 X 575178 433316 575178 433316 1096439 1494081 -136020 -5842 0 X X 0 1 X 1 0 X 49625 49625 1496772 1458710 1476527 1528921 1201722 7162652 1155 558 31232 130 33075 1497927 1458710 1477085 1609778 1201852 7245352 0 51099 291183 245467 185186 183800 956735 51099 291183 245467 185186 183800 956735 6288617 73 80 81 2523 9803 12560 73 80 81 2523 9803 12560 1498000 1458790 1477166 1612301 1211655 7257912 0.86640 0.89660 0.00170 0.00040 X 33784 33784 0 0 X 1211655 0 1211655 0 1211655 1347675 0 1347675 0 1347675 Part X, Line 2: Management has evaluated NICSA's tax positions and has concluded that NICSA has taken no uncertain tax positions that qualify for either recognition or disclosure in the financial statements. X X X 0 0 0 0 0 0 0 0 0 James A Fitzpatrick President 250000 0 82000 0 0 0 0 0 0 0 332000 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 III, line 2 The Diversity Project was launched in fiscal year 2019. The program is an initiative focused on increasing diversity within the asset management industry. Form 990, Part VI, Section A, line 3 The Association utilizes the services of a management firm, Interel US, Inc., to provide management, back-office services, and use of office space and equipment. Management fees totaled $305,000 for the year ended March 31, 2019. 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.