2017-07-20T09:17:26-05:00 2017-03-31 582676261 Rogers & Company PLLC 8300 Boone Boulevard Suite 600 Vienna VA 22182 990 2016-04-01 043044983 NICSA Inc NICS 5084851500 8400 Westpark Drive No 200 McLean VA 22102 James A Fitzpatrick President 5084851500 2017-07-19 1 Lori A Collingsworth P00639819 7038930300 2017-07-19 72.214.41.82 2017-07-20 10:16:42 ED P 6C9B1A35775087DBDB8A6D25ECA509C7F6C27838 539A6A236E8C35E9CB3BF805290DF5953BA1CD00 2016 2021-01-29 14:40:06Z James A Fitzpatrick 8400 Westpark Drive No 200 McLean VA 22102 1477166 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. 25 25 3 200 0 0 0 0 1458710 1476527 80 81 0 558 1458790 1477166 0 0 0 0 275386 424558 0 0 0 1249383 1160870 1524769 1585428 -65979 -108262 1028248 971554 399686 451254 628562 520300 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 0 0 494737 552871 Annual Conference: NICSA facilitated its 33rd Annual Conference and expo that provided educational and networking opportunities for its membership. 353538 210033 General Membership Meetings: NICSA facilitated a National Meeting that provided education and networking opportunities for its membership. 156062 628355 Membership Services: NICSA offers members opportunities to develop leading practices through participation on committees, access to compliance guides and other services. 68948 56442 Regional Meetings: NICSA facilitated regional meetings for its membership to provide networking and educational opportunities. 99181 28826 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. 21335 International Meetings: NICSA facilitates meetings for networking and training opporutunites to its membership. 56000 Networking: NICSA offers members opportunities to meet their peers at other firms. 245464 85268 1249801 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 3 0 1 3 1 0 0 0 0 0 0 0 0 0 0 X 25 25 0 1 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 MA X Association Management Group 7036109000 8400 Westpark Drive 2nd Floor McLean VA 22102 Dan Houlihan Chair 1.00 X X 0 0 0 Peter Poulin Treasurer 1.00 X X 0 0 0 Steve Avera Director 1.00 X 0 0 0 Scott Chelton Director 1.00 X 0 0 0 Elisa Colkitt Director 1.00 X 0 0 0 Michael Collins Director 1.00 X 0 0 0 Michael DeNofrio Director 1.00 X 0 0 0 Lawrence Fahey Director 1.00 X 0 0 0 Jennifer Hanes Director 1.00 X 0 0 0 Anne Hebard-Duduch Director 1.00 X 0 0 0 Lisa Hill Director 1.00 X 0 0 0 Brian Jones Director 1.00 X 0 0 0 Lisa Klassen Director 1.00 X 0 0 0 Philip Kolb Director 1.00 X 0 0 0 Joshue Lovell Director 1.00 X 0 0 0 Jay Martin Director 1.00 X 0 0 0 Ian McCoy Director 1.00 X 0 0 0 Kevin O'Connell Director 1.00 X 0 0 0 Michael O'Reilly Director 1.00 X 0 0 0 Rick Poluch Director 1.00 X 0 0 0 Joseph Quirk Director 1.00 X 0 0 0 Stacy Roode Director 1.00 X 0 0 0 Chris Trede Director 1.00 X 0 0 0 Karen Walsh Director 1.00 X 0 0 0 Margarheeta Wise Director 1.00 X 0 0 0 Ann Maroe Ciccolo Director 1.00 X 0 0 0 Jim Keenan Director 1.00 X 0 0 0 Bob Groth Director 1.00 X 0 0 0 George Batejan Director 1.00 X 0 0 0 Barry Benjamin Director 1.00 X 0 0 0 Doug Morgan Director 1.00 X 0 0 0 Bob Wallace Director 1.00 X 0 0 0 James A Fitzpatrick President 40.00 X 257500 0 0 257500 0 0 1 0 1 0 AMG Inc 8400 Westpark Drive 2nd Floor McLean VA 22102 Association Management Services 414964 Diplomat Hotel 3555 South Ocean Drive Hollywood FL 33019 Event host hotel 114300 2 Membership Dues 900099 628355 628355 Annual Conference 900099 539861 539861 General Membership Meetings 900099 210033 210033 Regional Meetings 900099 56442 56442 Other Meetings, Events, Training 900099 41836 41836 1476527 81 81 Other income 900099 558 558 558 1477166 1476527 0 639 332000 241200 90800 70000 60560 9440 22558 22558 424964 339755 85209 700 700 13293 13293 71287 63665 7622 11596 1506 10090 32452 8704 23748 42986 42986 1375 1375 27282 18498 8784 515913 515913 9573 9573 8080 8080 Dues & Subscriptions 905 905 Board & Committee 454 454 Taxes & Licenses 10 10 1585428 1249801 335627 0 269902 223905 701161 701242 33532 37570 14080 8837 33784 33784 9573 0 1028248 971554 43449 117211 356237 334043 399686 451254 X 628562 520300 628562 520300 1028248 971554 -108262 0 X X 0 1 X 1 0 X 1572016 1515106 1496772 1458710 1476527 7519131 1572016 1515106 1496772 1458710 1476527 7519131 0 51099 291183 245467 587749 51099 291183 245467 587749 6931382 413 96 73 80 81 743 413 96 73 80 81 743 3070 901 1155 558 5684 1575499 1516103 1498000 1458790 1477166 7525558 0.92100 0.95310 0.00010 0.00030 X 33784 33784 0 0 X 1477166 0 1477166 0 1477166 1585428 0 1585428 0 1585428 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 X 0 0 0 0 0 0 0 0 0 James A Fitzpatrick President 250000 0 7500 0 0 0 0 0 0 0 257500 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 VI, Section A, line 3 The Association utilizes the services of a management firm, Association Management Group, to provide management, back-office services, and use of office space and equipment. Management fees totaled $424,964 for the year ended March 31, 2017. 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.