2018-11-14T10:30:24-06:00 2017-12-31 521855942 TATE AND TRYON 2021 L STREET NW SUITE 400 WASHINGTON DC 20036 990 2017-01-01 530259837 SMALL BUSINESS INVESTOR ALLIANCE INC SMAL 2026285055 1100 H STREET NO 1200 WASHINGTON DC 20005 BRETT T PALMER PRESIDENT 2026285055 2018-11-14 1 R MICHAEL SORRELLS P00001737 2022932200 216.59.105.130 2018-11-14 10:30:22 ES P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 5BC65B47B3A1F1CE2534BD8A8DAEFAC1BF945F16 2017 2019-02-21 02:37:17Z SBIA BRETT T PALMER 1100 H STREET NO 1200 WASHINGTON DC 20005 3775470 0 X WWW.SBIA.ORG X 1958 DE PROMOTE, THROUGH COOPERATIVE EFFORT, FUNDS INVESTING IN DOMESTIC SMALL BUSINESS. 30 29 14 29 424800 197159 0 0 2955781 3439417 4128 6278 317640 308676 3277549 3754371 0 0 0 0 1080507 1233376 0 0 0 2039657 2490445 3120164 3723821 157385 30550 1911332 1882440 757222 697780 1154110 1184660 PROMOTE, THROUGH COOPERATIVE EFFORT, FUNDS INVESTING IN DOMESTIC SMALL BUSINESS. 0 0 PROVIDED A FORUM FOR SMALL BUSINESS INVESTORS TO COMMUNICATE WITH THEIR GOVERNMENT REGARDING IMPEDIMENTS TO INVESTING AND ECONOMIC GROWTH. PROMOTED EDUCATION AND INFORMATION ON TOPICS RELATED TO SMALL BUSINESS INVESTING. PROVIDED MEETING PLANNING AND PRODUCTION TO FACILITATE NETWORKING AND EDUCATION FOR MEMBERS. 0 0 0 1 0 0 0 0 0 1 1 0 0 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 1 0 0 1 23 0 1 14 1 1 1 0 0 0 1 1 0 X 30 29 0 0 0 0 1 1 0 1 1 0 0 1 1 1 1 0 1 1 1 0 X THE ASSOCIATION 2026285055 1100 H STREET NW SUITE 1200 WASHINGTON DC 20005 CAROLYN GALIETTE CHAIR 2.00 2.00 X X 0 0 0 CURTIS HARTMAN CHAIR-ELECT 2.00 2.00 X X 0 0 0 FARAZ ABBASI VICE CHAIR 2.00 2.00 X X 0 0 0 MICHAEL PAINTER TREASURER 2.00 2.00 X X 0 0 0 PETER HUFF SECRETARY 2.00 2.00 X X 0 0 0 JERI HARMAN PAST CHAIR 2.00 0.00 X 0 0 0 MARILYN ADLER BOARD OF GOVERNORS 2.00 0.00 X 0 0 0 CHRISTIAN ALBERT BOARD OF GOVERNORS 2.00 0.00 X 0 0 0 GAVIN BATES BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 JONATHAN CARLETTI BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 SCOTT CHAPPELL BOARD OF GOVERNORS 2.00 0.00 X 0 0 0 TOM DANIS BOARD OF GOVERNORS 2.00 0.00 X 0 0 0 RODGER DAVIS BOARD OF GOVERNORS 2.00 0.00 X 0 0 0 CAROLINE DUCAS BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 DOUG ENGLAND BOARD OF GOVERNORS 2.00 0.00 X 0 0 0 BEN GEIS BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 MICHAEL GERBER BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 SEAN GREENE BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 TREVOIR GREGG BOARD OF GOVERNORS 2.00 0.00 X 0 0 0 DAVE HELGERSON BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 GAYLE HUGHES BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 JUSTIN KAPLAN BOARD OF GOVERNORS 2.00 0.00 X 0 0 0 STEVEN PRICKHARDT BOARD OF GOVERNORS 2.00 0.00 X 0 0 0 CHRIS SEARS BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 JESSE SERVENTI BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 ANDY SHACKELFORD BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 IAN SIMMONDS BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 BRAD TRIEBSCH BOARD OF GOVERNORS 2.00 0.00 X 0 0 0 TIM WELLES BOARD OF GOVERNORS (AS OF 10/17) 2.00 0.00 X 0 0 0 JOHN JD WHITE IMMED PAST CHAIR (TO 10/17) 2.00 0.00 X 0 0 0 STEVE HEINEN BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 LARS HENS BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 BRETT HICKEY BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 STEVE HOBMAN BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 MATT HOGANBRUEN BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 BEN HOM BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 CARL JENKINS BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 MICHAEL KELL BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 CARL KOPFINGER BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 BILL MILTENBERGER BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 ALLEN MOSELEY BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 TIM RAFALOVICH BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 JEFFREY WALTERS BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 JONATHAN WILSON BOARD OF GOVERNORS (TO 10/17) 2.00 0.00 X 0 0 0 BRETT PALMER PRESIDENT 20.00 20.00 X X 251496 251496 67246 LISA SLAYDON CHIEF OPERATING OFFICER 40.00 0.00 X 190841 0 10894 NETONIS WYBENSINGER EXECUTIVE DIRECTOR OF BDC COUNCIL 40.00 0.00 X 129688 0 2334 572025 251496 80474 3 0 1 0 MEGANSETT CAPITAL INC 545 FIFTH AVE SUITE 401 NEW YORK NY 10017 CONSULTING SERVICES 201521 HOLLAND & KNIGHT 800 17TH STREET NW SUITE 1100 WASHINGTON DC 20006 LEGAL AND LOBBYING SERVICES 180000 2 MEMBERSHIP DUES 900099 1739112 1739112 MEETINGS AND EVENTS 900099 1700305 1575505 124800 3439417 6278 6278 24000 9529 14471 14471 14471 4400 11570 -7170 -7170 SBIC FUNDING CORP MGMT 561000 300000 300000 MISCELLANAEOUS INCOME 900099 1375 1375 301375 3754371 3314617 424800 14954 777904 374010 9430 72032 434 80912 251250 236122 11095 155797 49477 134700 106674 1168973 9649 21054 UBI TAX 95487 DUES AND SUBSCRIPTIONS 125305 MISCELLANEOUS 18293 GIFTS AND AWARDS 12933 12290 3723821 141 141 657187 852902 65597 171043 195275 263523 247419 209012 35679 38407 957453 556424 1911332 1882440 113627 95588 590485 560312 53110 41880 757222 697780 X 1154110 1184660 1154110 1184660 1911332 1882440 30550 0 X X 0 1 X 1 0 0 0 1 1739112 873262 -68268 804994 434778 370216 193575 159991 33584 53844 49021 4823 38407 MONEY MARKET FUNDS 556424 F 556424 DEFERRED RENT 41880 41880 3780470 5000 5000 3775470 -21099 -21099 3754371 3749920 5000 21099 26099 3723821 0 3723821 PART XI, LINE 4B - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES -11,570. RENTAL EXPENSE -9,529. PART XII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES 11,570. RENTAL EXPENSE 9,529. X X X X X 0 0 0 BRETT PALMER PRESIDENT 201496 201496 50000 50000 0 0 17897 17897 18030 18030 287423 287423 0 0 LISA SLAYDON CHIEF OPERATING OFFICER 173341 0 17500 0 0 0 5725 0 6491 0 203057 0 0 0 MEGANSETT CAPITAL INC MEGANSETT CAPITAL IS OWNED BY JOHN WHITE, A SBIA (ALLIANCE) BOARD MEMBER 201521 DURING THE YEAR, MEGANSETT CAPITAL PROVIDED CONSULTING SERVICES TO THE ALLIANCE. MEGANSETT CAPITAL IS WHOLLY OWNED BY JOHN "JD" WHITE, AN ALLIANCE BOARD MEMBER. 0 FORM 990, PART VI, SECTION A, LINE 1 THERE SHALL BE AN EXECUTIVE COMMITTEE COMPOSED OF THE CHAIR OF THE ALLIANCE AS THE COMMITTEE CHAIR AND THE CHAIR-ELECT, VICE CHAIR, TREASURER, SECRETARY, IMMEDIATE PAST CHAIR AND NOT MORE THAN FOUR GOVERNORS APPOINTED BY THE CHAIR. THE EXECUTIVE COMMITTEE SHALL CONDUCT THE AFFAIRS OF THE ALLIANCE IN ACCORDANCE WITH ITS ARTICLES OF INCORPORATION AND BYLAWS AND THE POLICIES AND INSTRUCTIONS OF THE BOARD OF GOVERNORS. IT SHALL BE RESPONSIBLE FOR ESTABLISHING A BUDGET FOR FINANCING OF THE ALLIANCE, AND FOR THE MANAGEMENT OF THE ALLIANCE BETWEEN MEETINGS OF THE BOARD OF GOVERNORS. THE EXECUTIVE COMMITTEE SHALL SELECT THE PRESIDENT. FORM 990, PART VI, SECTION A, LINE 6 THE ALLIANCE SHALL HAVE THREE CLASSES OF MEMBERS: VOTING MEMBERS, ASSOCIATE VOTING MEMBERS AND NON-VOTING MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A AT THE ANNUAL MEETING, THE MEMBERS SHALL ELECT THE BOARD OF GOVERNORS. FORM 990, PART VI, SECTION B, LINE 11B THE ORGANIZATION ASSEMBLES REQUIRED INFORMATION AND REVIEWS THE 990 RETURN ALONGSIDE THE FINANCIAL STATEMENTS IN A SPECIAL MEETING OF THE AUDIT COMMITTEE. THE FULL BOARD OF DIRECTORS RECEIVES A DRAFT COPY OF THE 990 PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C BOARD MEMBERS ARE REQUIRED TO DISCLOSE ANY CONFLICTS OF INTEREST ANNUALLY AT THE BOARD MEETING. FORM 990, PART VI, SECTION B, LINE 15 THE CEO'S COMPENSATION IS REVIEWED ANNUALLY BY THE COMPENSATION COMMITTEE. THE COMPENSATION COMMITTEE USES INDUSTRY SALARY STUDIES FOR COMPARISON. FOR KEY STAFF, OUTSIDE CONSULTANTS WERE HIRED TO REVIEW TO DO A STUDY ON COMPENSATION FOR ASSOCIATION LEADERSHIP. THE CHAIR AND CHAIR ELECT WORKED WITH THE OUTSIDE CONSULTANT AND THE FULL BOARD REVIEWED THE RESULTS OF THE STUDY. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC BY REQUEST ONLY. FORM 990, PART XII, LINE 2C: THE AUDIT OVERSIGHT PROCESS HAS REMAINED UNCHANGED FROM THE PRIOR YEAR. SBIA POLITICAL ACTION COMMITTEE 1100 H STREET NW 1200 WASHINGTON DC 20005 PROVIDE CONTRIBUTIONS FOR WORTHY CANDIDATES RUNNING FOR FEDERAL OFFICE. DC 527 0 SBIC FUNDING CORPORATION 1100 H STREET NW 1200 WASHINGTON DC 20005 521471376 PROVIDE FUNDING FOR SMALL BUSINESS INVESTMENT COMPANIES DC N/A C 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 1 0 0 SBIC FUNDING CORPORATION Q 300000 FMV