2017-11-14T14:53:23-06:00 2016-12-31 521855942 Tate and Tryon 2021 L Street NW Suite 400 Washington DC 20036 990 2016-01-01 530259837 Small Business Investor Alliance Inc SMAL 2026285055 1100 h STREET No 1200 WASHINGTON DC 20005 Brett T Palmer President 2026285055 2017-11-14 1 R Michael Sorrells P00001737 2022932200 216.59.105.130 2017-11-14 14:53:21 ES P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 5BC65B47B3A1F1CE2534BD8A8DAEFAC1BF945F16 2016 2017-02-10 21:41:12Z SBIA Brett T Palmer 1100 h STREET No 1200 WASHINGTON DC 20005 3297435 0 X WWW.SBIA.ORG X 1958 DE PROMOTE, THROUGH COOPERATIVE EFFORT, FUNDS INVESTING IN DOMESTIC SMALL BUSINESS. 32 31 9 31 435000 218809 0 0 2707448 2955781 809 4128 324000 317640 3032257 3277549 0 0 0 0 1048981 1080507 0 0 0 2109972 2039657 3158953 3120164 -126696 157385 1941599 1911332 944874 757222 996725 1154110 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 0 0 0 0 0 0 1 0 0 1 21 0 1 9 1 1 1 0 0 0 1 1 0 X 32 31 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 610 Washington DC 20005 Jeri Harman Chair 2.00 2.00 X X 0 0 0 Carolyn Galiette chair-elect 2.00 2.00 X X 0 0 0 Curtis Hartman VICE CHAIR 2.00 2.00 X X 0 0 0 Michael Painter SECRETARY 2.00 2.00 X X 0 0 0 Faraz Abbasi Treasurer 2.00 2.00 X X 0 0 0 JD White Immed. 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 (AS OF 10/16) 2.00 0.00 X 0 0 0 Scott Chappell BOARD OF Governors (AS OF 10/16) 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 Doug England Board of Governors 2.00 0.00 X 0 0 0 Trevoir Gregg Board of Governors 2.00 0.00 X 0 0 0 Steve Heinen BOARD OF Governors (AS OF 10/16) 2.00 0.00 X 0 0 0 Lars Hens Board of Governors 2.00 0.00 X 0 0 0 Brett Hickey Board of Governors 2.00 0.00 X 0 0 0 Steve Hobman Board of Governors 2.00 0.00 X 0 0 0 Matt HoganBruen Board of Governors 2.00 0.00 X 0 0 0 Ben Hom BOARD OF Governors (AS OF 10/16) 2.00 0.00 X 0 0 0 Peter Huff Board of Governors 2.00 0.00 X 0 0 0 Carl Jenkins Board of Governors 2.00 0.00 X 0 0 0 Justin Kaplan BOARD OF Governors (AS OF 10/16) 2.00 0.00 X 0 0 0 michael kell Board of Governors 2.00 0.00 X 0 0 0 Carl Kopfinger Board of Governors 2.00 0.00 X 0 0 0 Bill Miltenberger BOARD OF Governors (AS OF 10/16) 2.00 0.00 X 0 0 0 allen Moseley Board of Governors 2.00 0.00 X 0 0 0 Steven Pickhardt BOARD OF Governors (AS OF 10/16) 2.00 0.00 X 0 0 0 Tim Rafalovich Board of Governors 2.00 0.00 X 0 0 0 brad triebsch Board of Governors 2.00 0.00 X 0 0 0 Jeffrey walters Board of Governors 2.00 0.00 X 0 0 0 JONATHAN WILSON Board of Governors 2.00 0.00 X 0 0 0 Michael Blackburn Immed. Past Chair (THRU 10/16) 2.00 0.00 X 0 0 0 Tom Aronson Board of Governors (THRU 10/16) 2.00 0.00 X 0 0 0 Greg Foy Board of Governors (THRU 10/16) 2.00 0.00 X 0 0 0 Jeffrey Holland Board of Governors (THRU 10/16) 2.00 0.00 X 0 0 0 JEFFREY STEVENSON Board of Governors (THRU 10/16) 2.00 0.00 X 0 0 0 Peter Washington Board of Governors (THRU 10/16) 2.00 0.00 X 0 0 0 Spalding White Jr Board of Governors (THRU 10/16) 2.00 0.00 X 0 0 0 Brett Palmer president 18.75 18.75 X X 237499 237499 167062 chris walters Sr Dir, Govt/Reg Affairs 37.50 0.00 X 195000 0 21790 Lisa Slaydon Sr Dir, Mkt/Events 37.50 0.00 X 135000 0 9655 Chris Hayes General Counsel 18.75 18.75 X 70008 70008 7364 Alexandra Frick Director of Business Development 19.50 18.00 X 58053 53588 6602 695560 361095 212473 3 0 1 0 Holland & Knight 800 17th Street NW suite 1100 washington DC 20006 Lobbying Services 180000 1 MEETINGS and Events 900099 1586670 1451670 135000 Membership dues 900099 1369111 1369111 2955781 4128 4128 24000 9431 14569 14569 14569 13526 10455 3071 3071 SBIC Funding Corp Mgmt 561000 300000 300000 300000 3277549 2820781 435000 21768 540984 380869 66588 37664 54402 25505 72929 180000 167902 73703 140040 35793 133322 112057 867095 6554 24825 UBI Tax 98855 Dues and subscriptions 75043 gifts and awards 15088 miscellaneous 6401 4545 3120164 141 141 1058097 657187 19779 65597 167990 195275 235042 199363 37707 35679 657885 957453 1941599 1911332 242805 113627 643268 590485 58801 53110 944874 757222 X 996725 1154110 996725 1154110 1941599 1911332 157385 0 X X 0 1 X 1 0 0 0 0 1369111 706727 -432717 274010 342278 -68268 181198 152919 28279 53844 46444 7400 35679 Money Market Funds 957453 F 957453 Deferred Rent 53110 53110 3302435 5000 5000 3297435 -19886 -19886 3277549 3145050 5000 19886 24886 3120164 0 3120164 Part XI, Line 4b - Other Adjustments: SPECIAL EVENT EXPENSES -10,455. RENTAL EXPENSE -9,431. Part XII, Line 2d - Other Adjustments: SPECIAL EVENT EXPENSES 10,455. RENTAL EXPENSE 9,431. X X X X X 0 0 0 Brett Palmer president 187349 187349 50000 50000 150 150 69425 69425 15463 15463 322387 322387 0 0 chris walters Sr Dir, Govt/Reg Affairs 180000 0 15000 0 0 0 7350 0 16238 0 218588 0 0 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