CAIA FOUNDATION INC: Form 990, tax year 2017

View the entire original 990 at ProPublica ↗

Organization
CAIA FOUNDATION INC (EIN 80-0615123)
Tax period
2017-01-01 to 2017-12-31
Filed
2018-11-09
IRS object ID
201833139349301908
Schema version
2017v2.3
Source
Download XML · Original 990 at ProPublica

Every field in the e-filed return. Faint text is the IRS element name, for citing.

Return header ReturnHeader

FieldValueIRS element (for citing)
Return2018-11-09T10:58:09-06:00ReturnTs
Tax Period End2017-12-31TaxPeriodEndDt

Preparer Firm PreparerFirmGrp

FieldValueIRS element (for citing)
Preparer Firm EIN420714325PreparerFirmEIN

Preparer Firm Name PreparerFirmName

FieldValueIRS element (for citing)
Business Name Line1RSM US LLPBusinessNameLine1Txt

Preparer US Address PreparerUSAddress

FieldValueIRS element (for citing)
Address Line180 CITY SQUAREAddressLine1Txt
CityBOSTONCityNm
State AbbreviationMAStateAbbreviationCd
ZIP021293742ZIPCd
FieldValueIRS element (for citing)
Return Type990ReturnTypeCd
Tax Period Begin2017-01-01TaxPeriodBeginDt

Filer Filer

FieldValueIRS element (for citing)
EIN800615123EIN

Business Name BusinessName

FieldValueIRS element (for citing)
Business Name Line1CAIA FOUNDATION INCBusinessNameLine1Txt
FieldValueIRS element (for citing)
Business Name ControlCAIABusinessNameControlTxt
Phone4132537373PhoneNum

US Address USAddress

FieldValueIRS element (for citing)
Address Line1100 UNIVERSITY DRIVEAddressLine1Txt
CityAMHERSTCityNm
State AbbreviationMAStateAbbreviationCd
ZIP01002ZIPCd

Business Officer BusinessOfficerGrp

FieldValueIRS element (for citing)
PersonTHOMAS SCHNEEWEISPersonNm
Person TitleDIRECTOR/PRESIDENTPersonTitleTxt
Phone4132537373PhoneNum
Signature2018-11-08SignatureDt
Discuss With Paid PreparerYes (1)DiscussWithPaidPreparerInd

Preparer Person PreparerPersonGrp

FieldValueIRS element (for citing)
Preparer PersonLYNNE JOHNSONPreparerPersonNm
PTINP00757336PTIN
Phone6179129000PhoneNum

Filing Security Information FilingSecurityInformation

IP Address IPAddress

FieldValueIRS element (for citing)
I Pv4 Address108.171.130.188IPv4AddressTxt
FieldValueIRS element (for citing)
IP2018-11-08IPDt
IP Tm16:40:04IPTm
IP TimezoneESIPTimezoneCd
Filing License TypePFilingLicenseTypeCd
At Submission Creation Device Id537009A0A005A6691AF8E3CD281085943AFA35D8AtSubmissionCreationDeviceId
At Submission Filing Device Id93DCBEFAA18E51E34D8F84E5D1CC4DB28D8C7E60AtSubmissionFilingDeviceId
FieldValueIRS element (for citing)
Tax2017TaxYr
Build TS2019-02-21 02:37:17ZBuildTS

Form 990 IRS990

FieldValueIRS element (for citing)
Principal OfficerTHOMAS SCHNEEWEISPrincipalOfficerNm

US Address USAddress

FieldValueIRS element (for citing)
Address Line1100 UNIVERSITY DRIVEAddressLine1Txt
CityAMHERSTCityNm
State AbbreviationMAStateAbbreviationCd
ZIP01002ZIPCd
FieldValueIRS element (for citing)
Gross Receipts$1,346GrossReceiptsAmt
Group Return For Affiliates0GroupReturnForAffiliatesInd
Organization501c3Yes (X)Organization501c3Ind
Website AddressFOUNDATION.CAIA.ORGWebsiteAddressTxt
Type Of Organization CorpYes (X)TypeOfOrganizationCorpInd
Formation2010FormationYr
Legal Domicile StateMALegalDomicileStateCd
Activity Or MissionFOSTER ALTERNATIVE INVESTMENT EDUCATION WITHIN THE FINANCE INDUSTRY, DEVELOP AND AGGREGATE QUALITY RESEARCH AND COMMENTARY, FINANCE AND DEVELOP CURRICULUM STANDARDS FOR ALTERNATIVE INVESTMENT EDUCATION, AND FOSTER A SCHOLARSHIP PROGRAM TO INCREASE THE KNOWLEDGE BASE AND THE FLOW OF WELL PREPARED TALENT TO LEAD THE ALTERNATIVE INVESTMENT INDUSTRY.ActivityOrMissionDesc
Voting Members Governing Body4VotingMembersGoverningBodyCnt
Voting Members Independent3VotingMembersIndependentCnt
Total Employee0TotalEmployeeCnt
Total Volunteers3TotalVolunteersCnt
Total Gross UBI$0TotalGrossUBIAmt
Net Unrelated Bus Txbl Incm$0NetUnrelatedBusTxblIncmAmt
PY Contributions Grants$265,199PYContributionsGrantsAmt
CY Contributions Grants$1,346CYContributionsGrantsAmt
PY Program Service Revenue$0PYProgramServiceRevenueAmt
CY Program Service Revenue$0CYProgramServiceRevenueAmt
PY Investment Income$0PYInvestmentIncomeAmt
CY Investment Income$0CYInvestmentIncomeAmt
PY Other Revenue$0PYOtherRevenueAmt
CY Other Revenue$0CYOtherRevenueAmt
PY Total Revenue$265,199PYTotalRevenueAmt
CY Total Revenue$1,346CYTotalRevenueAmt
PY Grants And Similar Paid$16,866PYGrantsAndSimilarPaidAmt
CY Grants And Similar Paid$21,450CYGrantsAndSimilarPaidAmt
PY Benefits Paid To Members$0PYBenefitsPaidToMembersAmt
CY Benefits Paid To Members$0CYBenefitsPaidToMembersAmt
PY Salaries Comp Emp Bnft Paid$0PYSalariesCompEmpBnftPaidAmt
CY Salaries Comp Emp Bnft Paid$0CYSalariesCompEmpBnftPaidAmt
PY Total Prof Fndrsng Expns$0PYTotalProfFndrsngExpnsAmt
CY Total Prof Fndrsng Expns$0CYTotalProfFndrsngExpnsAmt
CY Total Fundraising Expense$0CYTotalFundraisingExpenseAmt
PY Other Expenses$17,124PYOtherExpensesAmt
CY Other Expenses$15,860CYOtherExpensesAmt
PY Total Expenses$33,990PYTotalExpensesAmt
CY Total Expenses$37,310CYTotalExpensesAmt
PY Revenues Less Expenses$231,209PYRevenuesLessExpensesAmt
CY Revenues Less Expenses-$35,964CYRevenuesLessExpensesAmt
Total Assets BOY$399,960TotalAssetsBOYAmt
Total Assets EOY$357,680TotalAssetsEOYAmt
Total Liabilities BOY$98,946TotalLiabilitiesBOYAmt
Total Liabilities EOY$92,630TotalLiabilitiesEOYAmt
Net Assets Or Fund Balances BOY$301,014NetAssetsOrFundBalancesBOYAmt
Net Assets Or Fund Balances EOY$265,050NetAssetsOrFundBalancesEOYAmt
Info In Schedule O Part IIIYes (X)InfoInScheduleOPartIIIInd
MissionFOSTER ALTERNATIVE INVESTMENT EDUCATION WITHIN THE FINANCE INDUSTRY, DEVELOP AND AGGREGATE QUALITY RESEARCH AND COMMENTARY, FINANCE AND DEVELOP CURRICULUM STANDARDS FOR ALTERNATIVE INVESTMENT EDUCATION, AND FOSTER A SCHOLARSHIP PROGRAM TO INCREASE THE KNOWLEDGE BASE AND THE FLOW OF WELL PREPARED TALENT TO LEAD THE ALTERNATIVE INVESTMENT INDUSTRY.MissionDesc
Significant New Program Srvc0SignificantNewProgramSrvcInd
Significant Change0SignificantChangeInd
Expense$23,130ExpenseAmt
Grant$21,450GrantAmt
DescFOSTER A SCHOLARSHIP PROGRAM TO INCREASE THE KNOWLEDGE BASE AND THE FLOW OF WELL PREPARED TALENT TO LEAD THE ALTERNATIVE INVESTMENT INDUSTRY.Desc
Total Program Service Expenses$23,130TotalProgramServiceExpensesAmt
Described In Section501c3Yes (1)DescribedInSection501c3Ind
Schedule B Required0ScheduleBRequiredInd
Political Campaign Acty0PoliticalCampaignActyInd
Lobbying Activities0LobbyingActivitiesInd
Subject To Proxy Tax0SubjectToProxyTaxInd
Donor Advised Fund0DonorAdvisedFundInd
Conservation Easements0ConservationEasementsInd
Collections Of Art0CollectionsOfArtInd
Credit Counseling0CreditCounselingInd
Temp Or Permanent Endowments0TempOrPermanentEndowmentsInd
Report Land Building Equipment0ReportLandBuildingEquipmentInd
Report Investments Other Sec0ReportInvestmentsOtherSecInd
Report Program Related Invst0ReportProgramRelatedInvstInd
Report Other Assets0ReportOtherAssetsInd
Report Other LiabilitiesYes (1)ReportOtherLiabilitiesInd
Include FIN48 FootnoteYes (1)IncludeFIN48FootnoteInd
Independent Audit Fincl Stmt0IndependentAuditFinclStmtInd
Consolidated Audit Fincl StmtYes (1)ConsolidatedAuditFinclStmtInd
School Operating0SchoolOperatingInd
Foreign Office0ForeignOfficeInd
Foreign ActivitiesYes (1)ForeignActivitiesInd
More Than5000 K To Org0MoreThan5000KToOrgInd
More Than5000 K To IndividualsYes (1)MoreThan5000KToIndividualsInd
Professional Fundraising0ProfessionalFundraisingInd
Fundraising Activities0FundraisingActivitiesInd
Gaming Activities0GamingActivitiesInd
Operate Hospital0OperateHospitalInd
Grants To Organizations0GrantsToOrganizationsInd
Grants To IndividualsYes (1)GrantsToIndividualsInd
Schedule J RequiredYes (1)ScheduleJRequiredInd
Tax Exempt Bonds0TaxExemptBondsInd
Engaged In Excess Benefit Trans0EngagedInExcessBenefitTransInd
PY Excess Benefit Trans0PYExcessBenefitTransInd
Loan Outstanding0LoanOutstandingInd
Grant To Related Person0GrantToRelatedPersonInd
Business Rln With Org Mem0BusinessRlnWithOrgMemInd
Business Rln With Fam Mem0BusinessRlnWithFamMemInd
Business Rln With Officer Ent0BusinessRlnWithOfficerEntInd
Deductible Non Cash Contri0DeductibleNonCashContriInd
Deductible Art Contribution0DeductibleArtContributionInd
Terminate Operations0TerminateOperationsInd
Partial Liquidation0PartialLiquidationInd
Disregarded Entity0DisregardedEntityInd
Related EntityYes (1)RelatedEntityInd
Related Organization Ctrl Ent0RelatedOrganizationCtrlEntInd
Trnsfr Exmpt Non Chrtbl Rltd Org0TrnsfrExmptNonChrtblRltdOrgInd
Activities Conducted Prtshp0ActivitiesConductedPrtshpInd
Schedule O RequiredYes (1)ScheduleORequiredInd
IRP Document0IRPDocumentCnt
IRP Document W2 G0IRPDocumentW2GCnt
Employee0EmployeeCnt
Unrelated Bus Incm Over Limit0UnrelatedBusIncmOverLimitInd
Foreign Financial Account0ForeignFinancialAccountInd
Prohibited Tax Shelter Trans0ProhibitedTaxShelterTransInd
Taxable Party Notification0TaxablePartyNotificationInd
Nondeductible Contributions0NondeductibleContributionsInd
Quid Pro Quo Contributions0QuidProQuoContributionsInd
Form8282 Property Disposed Of0Form8282PropertyDisposedOfInd
Rcv Fnds To Pay Prsnl Bnft Cntrct0RcvFndsToPayPrsnlBnftCntrctInd
Pay Premiums Prsnl Bnft Cntrct0PayPremiumsPrsnlBnftCntrctInd
Indoor Tanning Services0IndoorTanningServicesInd
Info In Schedule O Part VIYes (X)InfoInScheduleOPartVIInd
Governing Body Voting Members4GoverningBodyVotingMembersCnt
Independent Voting Member3IndependentVotingMemberCnt
Family Or Business Rln0FamilyOrBusinessRlnInd
Delegation Of Mgmt Duties0DelegationOfMgmtDutiesInd
Change To Org Documents0ChangeToOrgDocumentsInd
Material Diversion Or Misuse0MaterialDiversionOrMisuseInd
Members Or Stockholders0MembersOrStockholdersInd
Election Of Board Members0ElectionOfBoardMembersInd
Decisions Subject To Approva0DecisionsSubjectToApprovaInd
Minutes Of Governing BodyYes (1)MinutesOfGoverningBodyInd
Minutes Of CommitteesYes (1)MinutesOfCommitteesInd
Officer Mailing Address0OfficerMailingAddressInd
Local ChaptersYes (1)LocalChaptersInd
Policies Reference ChaptersYes (1)PoliciesReferenceChaptersInd
Form990 Provided To Gvrn BodyYes (1)Form990ProvidedToGvrnBodyInd
Conflict Of Interest PolicyYes (1)ConflictOfInterestPolicyInd
Annual Disclosure Covered PrsnYes (1)AnnualDisclosureCoveredPrsnInd
Regular Monitoring EnfrcYes (1)RegularMonitoringEnfrcInd
Whistleblower PolicyYes (1)WhistleblowerPolicyInd
Document Retention Policy0DocumentRetentionPolicyInd
Compensation Process CEO0CompensationProcessCEOInd
Compensation Process Other0CompensationProcessOtherInd
Investment In Joint Venture0InvestmentInJointVentureInd
States Where Copy Of Return Is FldMAStatesWhereCopyOfReturnIsFldCd
Upon RequestYes (X)UponRequestInd

Books In Care Of Detail BooksInCareOfDetail

Business Name BusinessName

FieldValueIRS element (for citing)
Business Name Line1DAVID W INNESBusinessNameLine1Txt
FieldValueIRS element (for citing)
Phone4135493330PhoneNum

US Address USAddress

FieldValueIRS element (for citing)
Address Line1100 UNIVERSITY DRIVEAddressLine1Txt
CityAMHERSTCityNm
State AbbreviationMAStateAbbreviationCd
ZIP01002ZIPCd

Form990 Part VII Section A Form990PartVIISectionAGrp (6 entries)

TitleTitleTxtAverage Hours Per WeekAverageHoursPerWeekRtAverage Hours Per Week Rltd OrgAverageHoursPerWeekRltdOrgRtIndividual Trustee Or DirectorIndividualTrusteeOrDirectorIndReportable Comp From OrgReportableCompFromOrgAmtReportable Comp From Rltd OrgReportableCompFromRltdOrgAmtOther CompensationOtherCompensationAmtOfficerOfficerInd
HOSSEIN KAZEMI
DIRECTOR0.2527.00Yes (X)$0$194,133$7,259
JUDY POSNIKOFF
DIRECTOR0.250.00Yes (X)$0$0$0
THOMAS SCHNEEWEIS
PRESIDENT1.001.00Yes (X)$0$0$0Yes (X)
PETER DOUGLAS
DIRECTOR5.000.00Yes (X)$0$0$0
KEITH BLACK
TREASURER0.2540.00$0$229,525$26,816Yes (X)
KIM DURAND
CLERK0.250.00$0$56,048$0Yes (X)
FieldValueIRS element (for citing)
Total Reportable Comp From Org$0TotalReportableCompFromOrgAmt
Tot Reportable Comp Rltd Org$479,706TotReportableCompRltdOrgAmt
Total Other Compensation$34,075TotalOtherCompensationAmt
Indiv Rcvd Greater Than100 K0IndivRcvdGreaterThan100KCnt
Former Ofcr Employees Listed0FormerOfcrEmployeesListedInd
Total Comp Greater Than150 KYes (1)TotalCompGreaterThan150KInd
Compensation From Other Srcs0CompensationFromOtherSrcsInd
Cntrct Rcvd Greater Than100 K0CntrctRcvdGreaterThan100KCnt
All Other Contributions$1,346AllOtherContributionsAmt
Total Contributions$1,346TotalContributionsAmt

Total Revenue TotalRevenueGrp

FieldValueIRS element (for citing)
Total Revenue Column$1,346TotalRevenueColumnAmt
Related Or Exempt Func Income$0RelatedOrExemptFuncIncomeAmt
Unrelated Business Revenue$0UnrelatedBusinessRevenueAmt
Exclusion$0ExclusionAmt

Grants To Domestic Individuals GrantsToDomesticIndividualsGrp

FieldValueIRS element (for citing)
Total$6,600TotalAmt
Program Services$6,600ProgramServicesAmt

Foreign Grants ForeignGrantsGrp

FieldValueIRS element (for citing)
Total$14,850TotalAmt
Program Services$14,850ProgramServicesAmt

Fees For Services Legal FeesForServicesLegalGrp

FieldValueIRS element (for citing)
Total$19TotalAmt
Management And General$19ManagementAndGeneralAmt

Fees For Services Accounting FeesForServicesAccountingGrp

FieldValueIRS element (for citing)
Total$3,650TotalAmt
Management And General$3,650ManagementAndGeneralAmt

Advertising AdvertisingGrp

FieldValueIRS element (for citing)
Total$556TotalAmt
Management And General$556ManagementAndGeneralAmt

Office Expenses OfficeExpensesGrp

FieldValueIRS element (for citing)
Total$113TotalAmt
Management And General$113ManagementAndGeneralAmt

Information Technology InformationTechnologyGrp

FieldValueIRS element (for citing)
Total$267TotalAmt
Management And General$267ManagementAndGeneralAmt

Occupancy OccupancyGrp

FieldValueIRS element (for citing)
Total$6,000TotalAmt
Management And General$6,000ManagementAndGeneralAmt

Other Expenses OtherExpensesGrp (4 entries)

DescDescTotalTotalAmtManagement And GeneralManagementAndGeneralAmtProgram ServicesProgramServicesAmt
EXAM FEES$2,300$2,300
EXAM ADMINISTRATION$1,680$1,680
ENROLLMENT FEES$1,150$1,150
TAXES$125$125

Total Functional Expenses TotalFunctionalExpensesGrp

FieldValueIRS element (for citing)
Total$37,310TotalAmt
Program Services$23,130ProgramServicesAmt
Management And General$14,180ManagementAndGeneralAmt
Fundraising$0FundraisingAmt

Cash Non Interest Bearing CashNonInterestBearingGrp

FieldValueIRS element (for citing)
BOY$204,222BOYAmt
EOY$210,596EOYAmt

Pledges And Grants Receivable PledgesAndGrantsReceivableGrp

FieldValueIRS element (for citing)
BOY$195,738BOYAmt
EOY$147,084EOYAmt

Total Assets TotalAssetsGrp

FieldValueIRS element (for citing)
BOY$399,960BOYAmt
EOY$357,680EOYAmt

Accounts Payable Accr Expnss AccountsPayableAccrExpnssGrp

FieldValueIRS element (for citing)
BOY$43,503BOYAmt
EOY$4,590EOYAmt

Other Liabilities OtherLiabilitiesGrp

FieldValueIRS element (for citing)
BOY$55,443BOYAmt
EOY$88,040EOYAmt

Total Liabilities TotalLiabilitiesGrp

FieldValueIRS element (for citing)
BOY$98,946BOYAmt
EOY$92,630EOYAmt
FieldValueIRS element (for citing)
Organization Follows SFAS117Yes (X)OrganizationFollowsSFAS117Ind

Unrestricted Net Assets UnrestrictedNetAssetsGrp

FieldValueIRS element (for citing)
BOY-$84,296BOYAmt
EOY-$97,795EOYAmt

Temporarily Rstr Net Assets TemporarilyRstrNetAssetsGrp

FieldValueIRS element (for citing)
BOY$385,310BOYAmt
EOY$362,845EOYAmt

Total Net Assets Fund Balance TotalNetAssetsFundBalanceGrp

FieldValueIRS element (for citing)
BOY$301,014BOYAmt
EOY$265,050EOYAmt

Tot Liab Net Assets Fund Balance TotLiabNetAssetsFundBalanceGrp

FieldValueIRS element (for citing)
BOY$399,960BOYAmt
EOY$357,680EOYAmt
FieldValueIRS element (for citing)
Reconcilation Revenue Expnss-$35,964ReconcilationRevenueExpnssAmt
Other Changes In Net Assets$0OtherChangesInNetAssetsAmt
Method Of Accounting AccrualYes (X)MethodOfAccountingAccrualInd
Accountant Compile Or Review0AccountantCompileOrReviewInd
FS AuditedYes (1)FSAuditedInd

FS Audited Basis FSAuditedBasisGrp

FieldValueIRS element (for citing)
Consolidated Basis Fincl StmtYes (X)ConsolidatedBasisFinclStmtInd
FieldValueIRS element (for citing)
Audit CommitteeYes (1)AuditCommitteeInd
Federal Grant Audit Required0FederalGrantAuditRequiredInd

Schedule A IRS990ScheduleA

FieldValueIRS element (for citing)
Public Organization170Yes (X)PublicOrganization170Ind

Gifts Grants Contri Rcvd170 GiftsGrantsContriRcvd170Grp

FieldValueIRS element (for citing)
Current Tax Year Minus4 Years$12,675CurrentTaxYearMinus4YearsAmt
Current Tax Year Minus3 Years$1,800CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years$50,908CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year$265,199CurrentTaxYearMinus1YearAmt
Current Tax Year$1,346CurrentTaxYearAmt
Total$331,928TotalAmt

Total Calendar Year170 TotalCalendarYear170Grp

FieldValueIRS element (for citing)
Current Tax Year Minus4 Years$12,675CurrentTaxYearMinus4YearsAmt
Current Tax Year Minus3 Years$1,800CurrentTaxYearMinus3YearsAmt
Current Tax Year Minus2 Years$50,908CurrentTaxYearMinus2YearsAmt
Current Tax Year Minus1 Year$265,199CurrentTaxYearMinus1YearAmt
Current Tax Year$1,346CurrentTaxYearAmt
Total$331,928TotalAmt
FieldValueIRS element (for citing)
Public Support Total170$331,928PublicSupportTotal170Amt
Total Support$331,928TotalSupportAmt
Public Support CY1701.00000PublicSupportCY170Pct
Public Support PY1701.00000PublicSupportPY170Pct
Thirty Thr Pct Suprt Tests CY170Yes (X)ThirtyThrPctSuprtTestsCY170Ind

Schedule D IRS990ScheduleD

FieldValueIRS element (for citing)
Total Book Value Land Buildings$0TotalBookValueLandBuildingsAmt

Other Liabilities Org OtherLiabilitiesOrgGrp

FieldValueIRS element (for citing)
DescDUE TO RELATED ORGANIZATIONDesc
Amt$88,040Amt
FieldValueIRS element (for citing)
Total Liability$88,040TotalLiabilityAmt
Footnote TextYes (X)FootnoteTextInd

Supplemental Information Detail SupplementalInformationDetail

FieldValueIRS element (for citing)
Form And Line ReferencePART X, LINE 2:FormAndLineReferenceDesc
ExplanationCAIA FOUNDATION FOLLOWS FASB ASC 740, "INCOME TAXES," WHICH CLARIFIES THE ACCOUNTING FOR UNCERTAINLY IN INCOME TAXES BY PRESCRIBING THE RECOGNITION THRESHOLD A TAX POSITION IS REQUIRED TO MEET BEFORE BEING RECOGNIZED IN THE FINANCIAL STATEMENTS. CAIA FOUNDATION RECOGNIZES A TAX BENEFIT FROM UNCERTAIN TAX POSITIONS ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY THE TAXING AUTHORITY. MANAGEMENT EVALUATED CAIA FOUNDATION'S TAX POSITIONS AND CONCLUDED THAT CAIA FOUNDATION HAS NO MATERIAL UNCERTAINTIES IN INCOME TAXES AS OF DECEMBER 31, 2017 AND 2016. CAIA FOUNDATION IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS BY THE U.S. FEDERAL, STATE OR LOCAL TAX AUTHORITIES FOR FISCAL YEARS BEFORE 2014. CAIA FOUNDATION WILL ACCOUNT FOR INTEREST AND PENALTIES RELATED TO UNCERTAIN TAX POSITIONS, IF ANY, AS PART OF TAX EXPENSE.ExplanationTxt

Schedule F IRS990ScheduleF

FieldValueIRS element (for citing)
Grant Records MaintainedYes (1)GrantRecordsMaintainedInd

Account Activities Outside US AccountActivitiesOutsideUSGrp (3 entries)

RegionRegionTxtType Of Activities ConductedTypeOfActivitiesConductedTxtRegion Total ExpendituresRegionTotalExpendituresAmt
EUROPE (INCLUDING ICELAND & GREENLAND)GRANTMAKING$3,650
EAST ASIA AND THE PACIFICGRANTMAKING$9,550
MIDDLE EASTGRANTMAKING$1,650
FieldValueIRS element (for citing)
Subtotal Offices0SubtotalOfficesCnt
Subtotal Employees0SubtotalEmployeesCnt
Continuation Total Office0ContinuationTotalOfficeCnt
Continuation Total Employee0ContinuationTotalEmployeeCnt
Total Office0TotalOfficeCnt
Total Employee0TotalEmployeeCnt
Subtotal Spent$14,850SubtotalSpentAmt
Continuation Spent$0ContinuationSpentAmt
Total Spent$14,850TotalSpentAmt

Foreign Individuals Grants ForeignIndividualsGrantsGrp (3 entries)

Type Of AssistanceTypeOfAssistanceTxtRegionRegionTxtRecipientRecipientCntNon Cash AssistanceNonCashAssistanceAmtDescription Of Non Cash AsstDescriptionOfNonCashAsstTxtValuation Method UsedValuationMethodUsedDesc
SCHOLARSHIPSEUROPE (INCLUDING ICELAND & GREENLAND)2$3,650EXAM FEES, PROGRAM MATERIALS, AND MEMBERSHIP FEES;LISTTOTAL 2150BOOK
SCHOLARSHIPSEAST ASIA AND THE PACIFIC5$9,550EXAM FEES AND PROGRAM MATERIALSBOOK
SCHOLARSHIPSMIDDLE EAST1$1,650EXAM FEES AND PROGRAM MATERIALSBOOK
FieldValueIRS element (for citing)
Transfer To Foreign Corp0TransferToForeignCorpInd
Interest In Foreign Trust0InterestInForeignTrustInd
Foreign Corp Ownership0ForeignCorpOwnershipInd
Passive Foreign Investmest Co0PassiveForeignInvestmestCoInd
Foreign Partnership0ForeignPartnershipInd
Boycott Countries0BoycottCountriesInd

Schedule I IRS990ScheduleI

FieldValueIRS element (for citing)
Grant Records MaintainedYes (1)GrantRecordsMaintainedInd

Grants Other Asst To Indiv In US GrantsOtherAsstToIndivInUSGrp

FieldValueIRS element (for citing)
Grant TypeSCHOLARSHIPSGrantTypeTxt
Recipient4RecipientCnt
Non Cash Assistance$6,600NonCashAssistanceAmt
Valuation Method UsedBOOKValuationMethodUsedDesc
Non Cash AssistanceEXAM FEES AND PROGRAM MATERIALSNonCashAssistanceDesc

Supplemental Information Detail SupplementalInformationDetail

FieldValueIRS element (for citing)
Form And Line ReferencePART I, LINE 2:FormAndLineReferenceDesc
ExplanationCAIA FOUNDATION PROVIDES 100WHF SCHOLARSHIPS TO INDIVIDUALS AND IT IS TRACKED BY INDIVIDUAL AWARD ON THE FOUNDATION'S BOOKS AND RECORDS. THE SCHOLARSHIP COVERS ENROLLMENT AND FIRST-TIME REGISTRATION FEES FOR THE CAIA LEVEL I AND LEVEL II EXAMS, ASSOCIATED CAIA TEXTBOOKS, PREPARATION COURSES, AND THE CAIA ASSOCIATION MEMBERSHIP FEE FOR THE FIRST YEAR. IN ORDER TO BE CONSIDERED FOR THE 100WF CAIA CHARTER SCHOLARSHIP, APPLICANTS MUST BE FULL MEMBERS OF 100 WOMEN IN FINANCE, NOT BE ELIGIBLE FOR PROGRAM REIMBURSEMENT BY THEIR EMPLOYERS, AND HAVE ONE YEAR OF PROFESSIONAL EXPERIENCE IN THE ALTERNATIVE INVESTMENT INDUSTRY, AMONG OTHER SPECIFICATIONS.ExplanationTxt

Schedule J IRS990ScheduleJ

FieldValueIRS element (for citing)
Severance Payment0SeverancePaymentInd
Supplemental Nonqual Rtr Plan0SupplementalNonqualRtrPlanInd
Equity Based Comp Arrngm0EquityBasedCompArrngmInd
Comp Based On Revenue Of Flng Org0CompBasedOnRevenueOfFlngOrgInd
Comp Bsd On Rev Related Orgs0CompBsdOnRevRelatedOrgsInd
Comp Bsd Net Earns Flng Org0CompBsdNetEarnsFlngOrgInd
Comp Bsd Net Earns Rltd Orgs0CompBsdNetEarnsRltdOrgsInd
Any Non Fixed Payments0AnyNonFixedPaymentsInd
Initial Contract Exception0InitialContractExceptionInd

Rltd Org Officer Trst Key Empl RltdOrgOfficerTrstKeyEmplGrp (2 entries)

TitleTitleTxtBase Compensation Filing OrgBaseCompensationFilingOrgAmtCompensation Based On Rltd OrgsCompensationBasedOnRltdOrgsAmtBonus Filing OrganizationBonusFilingOrganizationAmountBonus Related OrganizationsBonusRelatedOrganizationsAmtOther Compensation Filing OrgOtherCompensationFilingOrgAmtOther Compensation Rltd OrgsOtherCompensationRltdOrgsAmtDeferred Compensation Flng OrgDeferredCompensationFlngOrgAmtDeferred Comp Rltd OrgsDeferredCompRltdOrgsAmtNontaxable Benefits Filing OrgNontaxableBenefitsFilingOrgAmtNontaxable Benefits Rltd OrgsNontaxableBenefitsRltdOrgsAmtTotal Compensation Filing OrgTotalCompensationFilingOrgAmtTotal Compensation Rltd OrgsTotalCompensationRltdOrgsAmtComp Report Prior990 Filing OrgCompReportPrior990FilingOrgAmtComp Report Prior990 Rltd OrgsCompReportPrior990RltdOrgsAmt
HOSSEIN KAZEMI
DIRECTOR$0$193,154$0$0$0$979$0$5,824$0$1,435$0$201,392$0$0
KEITH BLACK
TREASURER$0$229,089$0$0$0$436$0$6,886$0$19,930$0$256,341$0$0

Schedule O IRS990ScheduleO

Supplemental Information Detail SupplementalInformationDetail (3 entries)

Form And Line ReferenceFormAndLineReferenceDescExplanationExplanationTxt
FORM 990, PART VI, SECTION B, LINE 11BA COPY OF THE 990 IS PRESENTED TO THE BOARD FOR THEIR REVIEW AND COMMENT PRIOR TO FILING WITH THE IRS.
FORM 990, PART VI, SECTION B, LINE 12CBOARD MEMBERS ARE REQUIRED TO DISCLOSE ANNUALLY INTERESTS THAT COULD RISE TO CONFLICTS. IN CONNECTION WITH ANY ACTUAL OR POSSIBLE CONFLICT OF INTEREST, AN INTERESTED PERSON MUST DISCLOSE THE EXISTENCE OF THE FINANCIAL INTEREST AND BE GIVEN THE OPPORTUNITY TO DISCLOSE ALL MATERIAL FACTS TO THE DIRECTORS AND MEMBERS OF COMMITTEES WITH BOARD OF DIRECTORS DELEGATED POWERS CONSIDERING THE PROPOSED TRANSACTION OR ARRANGEMENT. AFTER DISCLOSURE OF THE FINANCIAL INTEREST AND ALL MATERIAL FACTS, AND AFTER ANY DISCUSSION WITH THE INTERESTED PERSON, HE OR SHE SHALL LEAVE ANY BOARD OF DIRECTORS OR COMMITTEE MEETINGS WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS DISCUSSED AND VOTED UPON, OR OTHERWISE NOT PARTICIPATE IN ANY DISCUSSION OR CONSENT RELATING THERETO. THE REMAINING BOARD OR COMMITTEE MEMBERS SHALL DECIDE IF A CONFLICT OF INTEREST EXISTS. PROCEDURES FOR ADDRESSING THE CONFLICT OF INTEREST: A) AN INTERESTED PERSON MAY MAKE A PRESENTATION AT ANY BOARD OF DIRECTORS OR COMMITTEE MEETING, OR OTHERWISE PROVIDE RELEVANT INFORMATION. HE OR SHE SHALL NOT PARTICIPATE IN ANY DISCUSSION, VOTE, OR ANY CONSENT RELATING TO THE TRANSACTION OR ARRANGEMENT INVOLVING THE POSSIBLE CONFLICT OF INTEREST. B) THE CHAIRPERSON OF THE BOARD OF DIRECTORS OR COMMITTEE SHALL, IF APPROPRIATE, APPOINT A DISINTERESTED PERSON OR COMMITTEE TO INVESTIGATE ALTERNATIVES TO THE PROPOSED TRANSACTION OR ARRANGEMENT. C) AFTER EXERCISING DUE DILIGENCE, THE BOARD OF DIRECTORS OR COMMITTEE SHALL DETERMINE WHETHER THE ORGANIZATION CAN OBTAIN WITH REASONABLE EFFORTS A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT FROM A PERSON OR ENTITY THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST. D) IF A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT IS NOT REASONABLY POSSIBLE UNDER CIRCUMSTANCES NOT PRODUCING A CONFLICT OF INTEREST, THE BOARD OF DIRECTORS OR COMMITTEE SHALL DETERMINE BY A MAJORITY VOTE OF THE DISINTERESTED DIRECTORS WHETHER THE TRANSACTION OR ARRANGEMENT IS IN THE ORGANIZATION'S BEST INTEREST, FOR ITS OWN BENEFIT, AND WHETHER IT IS FAIR AND REASONABLE. IN CONFORMITY WITH THE ABOVE DETERMINATION IT SHALL MAKE ITS DECISION AS TO WHETHER TO ENTER INTO THE TRANSACTION OR ARRANGEMENT. IF THE BOARD OF DIRECTORS OR COMMITTEE HAS REASONABLE CAUSE TO BELIEVE A MEMBER HAS FAILED TO DISCLOSE ACTUAL OR POSSIBLE CONFLICTS OF INTEREST, IT SHALL INFORM THE MEMBER OF THE BASIS FOR SUCH BELIEF AND AFFORD THE MEMBER AN OPPORTUNITY TO EXPLAIN THE ALLEGED FAILURE TO DISCLOSE. IF, AFTER HEARING THE MEMBER'S RESPONSE AND AFTER MAKING FURTHER INVESTIGATION AS WARRANTED BY THE CIRCUMSTANCES, THE BOARD OF DIRECTORS OR COMMITTEE DETERMINES THE MEMBER HAS FAILED TO DISCLOSE AN ACTUAL OR POSSIBLE CONFLICT OF INTEREST, IT SHALL TAKE APPROPRIATE DISCIPLINARY AND CORRECTIVE ACTION.
FORM 990, PART VI, SECTION C, LINE 19THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, FORM 990, AND THE FINANCIAL STATEMENTS AVAILABLE UPON REQUEST FOR THE SAME PERIOD OF DISCLOSURE AS SET FORTH IN SECTION 6104(D). IN ADDITION, THE FORM 990 WITHOUT SCHEDULE B IS AVAILABLE VIA THE GUIDESTAR AND THE MASSACHUSETTS ATTORNEY GENERAL'S OFFICE WEBSITE.

Schedule R IRS990ScheduleR

Id Related Tax Exempt Org IdRelatedTaxExemptOrgGrp

Disregarded Entity Name DisregardedEntityName

FieldValueIRS element (for citing)
Business Name Line1CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INCBusinessNameLine1Txt

US Address USAddress

FieldValueIRS element (for citing)
Address Line1100 UNIVERSITY DRIVEAddressLine1Txt
CityAMHERSTCityNm
State AbbreviationMAStateAbbreviationCd
ZIP01002ZIPCd
FieldValueIRS element (for citing)
EIN371428113EIN
Primary ActivitiesPROFESSIONAL ASSOCIATIONPrimaryActivitiesTxt
Legal Domicile StateMALegalDomicileStateCd
Exempt Code Section501(C)(6)ExemptCodeSectionTxt
Controlled Organization0ControlledOrganizationInd

Id Related Org Txbl Corp Tr IdRelatedOrgTxblCorpTrGrp (3 entries)

Address Line1ForeignAddress/AddressLine1TxtCityForeignAddress/CityNmCountryForeignAddress/CountryCdPrimary ActivitiesPrimaryActivitiesTxtLegal Domicile Foreign CountryLegalDomicileForeignCountryCdDirect Controlling NADirectControllingNACdEntity TypeEntityTypeTxtControlled OrganizationControlledOrganizationInd
CAIA UK OFFICE LIMITED
NEW BRIDGE STREET HOUSELONDONUKCHARTERED ALTERNATIVE INVESTMENTUKN/AC0
CAIA ASSOCIATION SINGAPORE OFFICE LIMITED
ONE RAFFLES PLACESINGAPORESNCHARTERED ALTERNATIVE INVESTMENTSNN/AC0
CAIA ASSOCIATION HONG KONG LIMITED
13/F WYNDHAM PLACE 40-44 WYNDHAM SHONG KONGHKCHARTERED ALTERNATIVE INVESTMENTHKN/AC0
FieldValueIRS element (for citing)
Receipt Of Int Annts Rnts Rylts0ReceiptOfIntAnntsRntsRyltsInd
Gift Grnt Or Cap Contri To Oth Org0GiftGrntOrCapContriToOthOrgInd
Gift Grnt Cap Contri From Oth Org0GiftGrntCapContriFromOthOrgInd
Loans Or Guarantees To Other Org0LoansOrGuaranteesToOtherOrgInd
Loans Or Guarantees From Oth Org0LoansOrGuaranteesFromOthOrgInd
Div Related Organization0DivRelatedOrganizationInd
Asset Sale To Other Org0AssetSaleToOtherOrgInd
Asset Purchase From Other Org0AssetPurchaseFromOtherOrgInd
Asset Exchange0AssetExchangeInd
Rental Of Facilities To Oth Org0RentalOfFacilitiesToOthOrgInd
Rental Of Fclts From Oth Org0RentalOfFcltsFromOthOrgInd
Perform Of Services For Oth Org0PerformOfServicesForOthOrgInd
Perform Of Services By Other Org0PerformOfServicesByOtherOrgInd
Sharing Of FacilitiesYes (1)SharingOfFacilitiesInd
Paid Employees SharingYes (1)PaidEmployeesSharingInd
Reimbursement Paid To Other Org0ReimbursementPaidToOtherOrgInd
Reimbursement Paid By Other Org0ReimbursementPaidByOtherOrgInd
Transfer To Other Org0TransferToOtherOrgInd
Transfer From Other Org0TransferFromOtherOrgInd

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