Civic Intelligence

Financial Services Institute Inc

EIN 20-0587793 • 501(c)6 • Washington, DC

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Profile

Financial services institute's mission is to create a healthier regulatory environment for independent broker-dealers and their affiliated independent financial advisors through aggressive and effective advocacy, education and public awareness.

1201 Pennsylvania Ave NW 700Washington, DC 20004

www.financialservices.org

Siviq Scores

Precomputed percentiles relative to similar nonprofits. These scores are descriptive rather than judgmental.

Liabilities / Assets

77th percentile

0.49x

Higher debt load relative to assets than 77% of similar nonprofits.

501(c)6 • $10M-$25M nonprofits • Source year 2024

Liabilities / Revenue

71st percentile

0.61x

Higher debt load relative to revenue than 71% of similar nonprofits.

501(c)6 • $10M-$25M nonprofits • Source year 2024

Net Margin

35th percentile

0.3%

Higher net margin than 35% of similar nonprofits.

501(c)6 • $10M-$25M nonprofits • Source year 2024

Top Officer Pay

Score unavailable

No value available

No filing with officer rows is available for this organization yet.

Asset Growth

16th percentile

-3.9%

Faster asset growth than 16% of similar nonprofits.

501(c)6 • $10M-$25M nonprofits • Annualized from 2023 to 2024

Revenue Growth

60th percentile

9.8%

Faster revenue growth than 60% of similar nonprofits.

501(c)6 • $10M-$25M nonprofits • Annualized from 2023 to 2024

Balance Sheet
Liabilities / Assets77th percentile

Assets

Down

$15,058,119

Down $614,404 (-3.9%) from 2023

Liabilities

Down

$7,362,979

Down $2,711,576 (-27%) from 2023

Net Assets

Up

$7,695,140

Up $2,097,172 (+37%) from 2023

Operations
Liabilities / Revenue71st percentileNet Margin35th percentile

Revenue

Up

$12,075,796

Up $1,080,196 (+9.8%) from 2023

Expenses

Up

$12,035,984

Up $1,115,504 (+10%) from 2023

Net Income

Down

$39,812

Down $35,308 (-47%) from 2023

Trend Graphs

Balance Sheet Trend

Asset Growth16th percentile

Grouped bars show assets, liabilities, and net assets across loaded filings.

$20M$15M$10M$5.0M$0Assets 2010: $3,808,861Liabilities 2010: $1,856,117Net Assets 2010: $1,952,7442010Assets 2011: $3,841,004Liabilities 2011: $2,634,559Net Assets 2011: $1,206,4452011Assets 2012: $4,909,878Liabilities 2012: $4,060,227Net Assets 2012: $849,6512012Assets 2013: $3,122,941Liabilities 2013: $2,261,472Net Assets 2013: $861,4692013Assets 2014: $4,851,083Liabilities 2014: $4,395,504Net Assets 2014: $455,5792014Assets 2015: $4,966,828Liabilities 2015: $4,119,903Net Assets 2015: $846,9252015Assets 2016: $5,935,668Liabilities 2016: $4,378,209Net Assets 2016: $1,557,4592016Assets 2017: $6,273,528Liabilities 2017: $4,133,205Net Assets 2017: $2,140,3232017Assets 2018: $13,114,954Liabilities 2018: $9,922,456Net Assets 2018: $3,192,4982018Assets 2019: $15,063,133Liabilities 2019: $10,895,897Net Assets 2019: $4,167,2362019Assets 2020: $14,528,941Liabilities 2020: $9,576,530Net Assets 2020: $4,952,4112020Assets 2021: $15,307,729Liabilities 2021: $10,077,880Net Assets 2021: $5,229,8492021Assets 2022: $15,775,442Liabilities 2022: $10,252,594Net Assets 2022: $5,522,8482022Assets 2023: $15,672,523Liabilities 2023: $10,074,555Net Assets 2023: $5,597,9682023Assets 2024: $15,058,119Liabilities 2024: $7,362,979Net Assets 2024: $7,695,1402024

Highlighted filing

2024

Assets$15,058,119
Liabilities$7,362,979
Net Assets$7,695,140
Open 2024 Filing

Operations Trend

Revenue Growth60th percentile

Revenue, expenses, and net income by year, with the latest filing highlighted.

$15M$10M$5.0M$0-$5.0MExpenses 2010: $3,436,6592010Revenue 2011: $3,923,040Expenses 2011: $4,669,339Net Income 2011: -$746,2992011Expenses 2012: $5,736,5302012Revenue 2013: $6,925,192Expenses 2013: $6,913,374Net Income 2013: $11,8182013Revenue 2014: $8,044,724Expenses 2014: $7,640,672Net Income 2014: $404,0522014Revenue 2015: $9,571,953Expenses 2015: $9,180,607Net Income 2015: $391,3462015Revenue 2016: $9,354,719Expenses 2016: $8,644,185Net Income 2016: $710,5342016Revenue 2017: $9,600,255Expenses 2017: $9,017,391Net Income 2017: $582,8642017Revenue 2018: $9,959,280Expenses 2018: $8,908,653Net Income 2018: $1,050,6272018Revenue 2019: $10,363,757Expenses 2019: $9,390,117Net Income 2019: $973,6402019Revenue 2020: $10,710,617Expenses 2020: $9,925,442Net Income 2020: $785,1752020Revenue 2021: $9,484,774Expenses 2021: $9,207,336Net Income 2021: $277,4382021Revenue 2022: $10,638,881Expenses 2022: $10,345,882Net Income 2022: $292,9992022Revenue 2023: $10,995,600Expenses 2023: $10,920,480Net Income 2023: $75,1202023Revenue 2024: $12,075,796Expenses 2024: $12,035,984Net Income 2024: $39,8122024

Highlighted filing

2024

Revenue$12,075,796
Expenses$12,035,984
Net Income$39,812
Open 2024 Filing

Filings

Most recent year

2024 • Form 990Detailed filing. Detailed filing data is available for this year.

Open filing
Assets
$15,058,119
Liabilities
$7,362,979
Net assets
$7,695,140
Revenue
$12,075,796
Expenses
$12,035,984
Net income
$39,812
Balance SheetOperations
YearAssetsLiabilitiesNet AssetsRevenueExpensesNet Income
2024Detailed filing. Detailed filing data is available for this year.$15.1$7.36$7.70$12.1$12.0$0.04
2023Detailed filing. Detailed filing data is available for this year.$15.7$10.1$5.60$11.0$10.9$0.08
2022Detailed filing. Detailed filing data is available for this year.$15.8$10.3$5.52$10.6$10.3$0.29
2021Detailed filing. Detailed filing data is available for this year.$15.3$10.1$5.23$9.48$9.21$0.28
2020Detailed filing. Detailed filing data is available for this year.$14.5$9.58$4.95$10.7$9.93$0.79
2019Detailed filing. Detailed filing data is available for this year.$15.1$10.9$4.17$10.4$9.39$0.97
2018Detailed filing. Detailed filing data is available for this year.$13.1$9.92$3.19$9.96$8.91$1.05
2017Detailed filing. Detailed filing data is available for this year.$6.27$4.13$2.14$9.60$9.02$0.58
2016Summary only. Only limited summary data is available for this year.$5.94$4.38$1.56$9.35$8.64$0.71
2015Summary only. Only limited summary data is available for this year.$4.97$4.12$0.85$9.57$9.18$0.39
2014Detailed filing. Detailed filing data is available for this year.$4.85$4.40$0.46$8.04$7.64$0.40
2013Detailed filing. Detailed filing data is available for this year.$3.12$2.26$0.86$6.93$6.91$0.01
2012Facts available. Structured filing facts are available, but richer extracted sections are limited.$4.91$4.06$0.85$5.74
2011Summary only. Only limited summary data is available for this year.$3.84$2.63$1.21$3.92$4.67$0.75
2010Facts available. Structured filing facts are available, but richer extracted sections are limited.$3.81$1.86$1.95$3.44
Latest Filing Detail
Jump To
Filing Snapshot
Filing Period
Jan 1, 2024 to Dec 31, 2024
Signed
Aug 6, 2025
Return Version
2024v5.2
Gross Receipts
$12,113,204
Mission and Program Overview

Mission

Financial services institute's mission is to create a healthier regulatory environment for independent broker-dealers and their affiliated independent financial advisors through aggressive and effective advocacy, education and public awareness.

To create a healthier regulatory environment for independent broker-dealers and their affiliated independent financial advisors through aggressive and effective advocacy, education and public awareness.

Balance Sheet Detail
LineBeginningEndChange
Assets
Savings and Temporary Cash Investments$5,751,555$5,971,182▲ $219,627
Cash and Non-Interest-Bearing Accounts$2,722,173$1,213,188▼ $1,508,985
Investments in Publicly Traded Securities$1,020,716$1,066,448▲ $45,732
Prepaid Expenses and Deferred Charges$283,109$1,036,262▲ $753,153
Land, Buildings, and Equipment, Net$168,007$140,807▼ $27,200
Accounts Receivable$13,174$49,132▲ $35,958
Total Assets$15,672,523$15,058,119▼ $614,404
Other Assets Total$5,713,789$5,581,100▼ $132,689
Liabilities
Other Liabilities$6,780,075$4,560,903▼ $2,219,172
Deferred Revenue$2,593,168$2,128,579▼ $464,589
Accounts Payable and Accrued Expenses$701,312$673,497▼ $27,815
Total Liabilities$10,074,555$7,362,979▼ $2,711,576
Net Assets / Fund Balance
Net Assets Without Donor Restrictions$5,597,968$7,695,140▲ $2,097,172
Total Net Assets Fund Balance$5,597,968$7,695,140▲ $2,097,172
Total Liabilities and Net Assets / Fund Balance$15,672,523$15,058,119▼ $614,404

Asset Categories

AssetBook ValueDepreciationBasis
Other Land Buildings$14,254$487,504$501,758
Leasehold Improvements$97,654$154,295$251,949
Equipment$28,899$62,426$91,325
Other Assets Org$3,079,259--
Compensation and Service Providers
Top Officer PayScore unavailable

Employees

NameTitleFull / Part TimeBaseOtherTotal
Dale BrownPresident & CEOFT$1,110,166$581,044$1,691,210
David BellaireExec VP & General CounselFT$428,209$414,892$843,101
Brett McallisterSVP, Finance, Ops & Bus StratFT$410,656$301,533$712,189
Robin TraxlerSVP, Policy & Dep Gen CoFT$363,100$216,581$579,681
Michelle AllgauerSVP, Education & EngFT$325,257$243,488$568,745
Renee BarnettVP, Fed Reg AffairsFT$253,693$174,977$428,670
Kathryn AndersonSVP, Growth & Strat PartFT$200,597$201,536$402,133
Christopher PaulitzHead, Strat. InitiativesFT$291,019$65,050$356,069

Board Members and Trustees

NameTitle
Jamie PriceChair
Christine ByrneChair, Finance Committee
Doug KettererFsi Pac Chair
Scott SpikerImmediate Past Chair
Tim StinsonVice Chair
Adam MalamedMember
Alex DavidMember
Amy WebberMember
Ben WuerffelMember
David KnochMember
Denise BarrowsMember
Ed ForstMember
Emily SchlosserMember
Gwen WeithausMember
Jodi PerryMember
John RooneyMember
Libet AndersonMember
Marc SquiresMember
Mary Beth HofmeisterMember
Mary SteeleMember
Robert MilmoreMember
Stephen LangloisMember
Tom MccartneyMember
Von CookMember

Highest Paid Contractors

ContractorServicesLocationCompensation
Gibson Dunn & Crutcher LLPLegal Services1050 CONNECTICUT AVE NW, Washington, DC 20036$988,930
Eversheds Sutherland LLPLegal Services700 SIXTH STREET NW SUITE 700, Washington, DC 20001$270,485
Thorn Run Partners LLCPublic Relations100 M STREET SE, Washington, DC 20003$180,000
Haventower Group INCPublic Relations3019 WILSHIRE BLVD, Santa Monica, CA 90403$129,210
Revenue and Support

Revenue Composition

Contributions and Grants
$0
Program Service Revenue
$11,624,023
Investment Income
$417,935
Other Revenue
$33,838
Change in Net Assets
$39,812
Expenses and Functional Allocation

Major Expense Lines

Line ItemAmount
Salaries, Compensation, and Employee Benefits$7,322,184
Other Expenses$4,713,800
Grants and Similar Amounts Paid$0
Professional Fundraising Fees$0
Total Fundraising Expense$0

Functional Expense Allocation

Line ItemProgramManagementFundraisingTotal
Current Officers, Directors, Trustees, and Key Employees---$5,581,795
Fees for Services Legal---$1,111,929
Other Salaries and Wages---$865,600
Occupancy---$719,324
Conferences and Meetings---$715,323
Payroll Taxes---$403,124
All Other Expenses---$338,311
Pension Plan Contributions---$276,702
Fees for Services Lobbying---$222,375
Information Technology---$206,454
Other Employee Benefits---$194,963
Other Expenses---$166,307
Office Expenses---$136,940
Fees for Services Other---$128,718
Travel---$72,457
Depreciation Depletion---$44,523
Insurance---$21,903
Total Functional Expenses$0$0$0$12,035,984
Fundraising, Events, and Gaming
Fundraising activities
No
Gaming activities
No
Professional fundraiser used
No

Fundraising and Gaming Totals

Line ItemAmount
Professional Fundraising Fees$0
Political and Lobbying Activity
Political campaign activity
No
In-house lobbying only
No
Subject to proxy tax
Yes
Debt and Bond Financing

Other Reported Liabilities

LiabilityAmount
Office Lease Liability$3,766,397
457 Plan Payable$794,506
Governance and Compliance

Governance Checklist

Compiled or reviewed by an accountant
No
Annual disclosure for covered persons
Yes
Audit committee
Yes
Backup withholding compliance
Yes
Business relationship with 35% controlled entity
No
Business relationship with family members
No
Business relationship with organization members
No
Material changes to governing documents
No
Compensation from other sources disclosed
No
CEO compensation reviewed
Yes
Other officer compensation reviewed
No
Conflict-of-interest policy
Yes
Audited financial statements prepared
Yes
Key decisions subject to board approval
No
Management duties delegated
No

Governance Explanations

Form 990, Part VI, Section A, Line 6

“This is a membership organization who is interested in creating a healthier regulatory environment for independent broker-dealers and their affiliated independent financial advisors through aggressive and effective advocacy, education and public awareness.”

Form 990, Part VI, Section B, Line 11B

“The form 990 and all schedules were circulated to the board of directors for review and comment. A deadline was established for comments. After comments were received and reviewed, the form 990 was finalized and submitted.”

Form 990, Part VI, Section B, Line 12C

“The board of directors meet each january and discusses any potential conflict of interest and then completes a form.”

Form 990, Part VI, Section B, Line 15A

“The policy for determining compensation for the ceo is reviewed and approved by the board of directors or compensation committee. Use of data as to comparable compensation for similarly qualified persons in functionally comparable positions at similarly situated organizations, and contemporaneous documentation and recordkeeping with respect to the deliberations and decisions regarding the compensation arrangement.”

Form 990, Part VI, Section C, Line 19

“The institute makes its governing documents, conficts of interest policy, and financial statements available to the public upon request.”

Filing and Contact Details

Filer

Filer Name
Financial Services Institute Inc
EIN
20-0587793
Phone
8883731840
Address
1201 PENNSYLVANIA AVE NW 700, WASHINGTON, DC 20004

Signing Officer

Name
Dale Brown
Title
President & CEO
Phone
8883731840
Signed
2025-08-06
Discuss with paid preparer
Yes

Organization Details

Principal Officer
Dale Brown
Formed
2004
Legal Domicile
Ga
Voting Board Members
24
Independent Board Members
24
Employees
21
Volunteers
24

Preparer

Firm
Renner and Company CPA Pc
Address
700 NORTH FAIRFAX STREET SUITE 400, ALEXANDRIA, VA 22314
Preparer
Adriel Henriquez Baires CPA
Phone
7035351200
Supplemental Narrative

Additional Explanations

Form 990, Part XII, Line 2C

“The process has not changed from the prior year. The finance committee maintains oversight over the independent audit and selection of the independent auditors.”

Financial Statement Notes

PART X, LINE 2:

“In accounting for uncertainty in income taxes, accounting standards require an entity to recognize the financial statement impact of a tax position when it is more-likely-than-not that the position will not be sustained upon examination. Management evaluated the institute's tax positions and concluded that the institute has taken no uncertain tax position that requires adjustment to the consolidated financial statements to comply with the provisions of this guidance.”

Raw XML AppendixShowing 400 of 759 raw XML fields

This appendix keeps the raw XML leaves available for debugging and edge-case review. The human report above is the primary experience.

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IRS990/Form990PartVIISectionAGrp/PersonNm2TIM STINSON
IRS990/Form990PartVIISectionAGrp/PersonNm3CHRISTINE BYRNE
IRS990/Form990PartVIISectionAGrp/PersonNm4DOUG KETTERER
IRS990/Form990PartVIISectionAGrp/PersonNm5ED FORST
IRS990/Form990PartVIISectionAGrp/PersonNm6JODI PERRY
IRS990/Form990PartVIISectionAGrp/PersonNm7VON COOK
IRS990/Form990PartVIISectionAGrp/PersonNm8ALEX DAVID
IRS990/Form990PartVIISectionAGrp/PersonNm9MARY BETH HOFMEISTER
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IRS990/Form990PartVIISectionAGrp/PersonNm11LIBET ANDERSON
IRS990/Form990PartVIISectionAGrp/PersonNm12DENISE BARROWS
IRS990/Form990PartVIISectionAGrp/PersonNm13TOM MCCARTNEY
IRS990/Form990PartVIISectionAGrp/PersonNm14EMILY SCHLOSSER
IRS990/Form990PartVIISectionAGrp/PersonNm15MARY STEELE
IRS990/Form990PartVIISectionAGrp/PersonNm16MARC SQUIRES
IRS990/Form990PartVIISectionAGrp/PersonNm17BEN WUERFFEL
IRS990/Form990PartVIISectionAGrp/PersonNm18AMY WEBBER
IRS990/Form990PartVIISectionAGrp/PersonNm19DAVID KNOCH
IRS990/Form990PartVIISectionAGrp/PersonNm20STEPHEN LANGLOIS
IRS990/Form990PartVIISectionAGrp/PersonNm21ROBERT MILMORE
IRS990/Form990PartVIISectionAGrp/PersonNm22JOHN ROONEY
IRS990/Form990PartVIISectionAGrp/PersonNm23GWEN WEITHAUS
IRS990/Form990PartVIISectionAGrp/PersonNm24DALE BROWN
IRS990/Form990PartVIISectionAGrp/PersonNm25DAVID BELLAIRE
IRS990/Form990PartVIISectionAGrp/PersonNm26BRETT MCALLISTER
IRS990/Form990PartVIISectionAGrp/PersonNm27ROBIN TRAXLER
IRS990/Form990PartVIISectionAGrp/PersonNm28MICHELLE ALLGAUER
IRS990/Form990PartVIISectionAGrp/PersonNm29RENEE BARNETT
IRS990/Form990PartVIISectionAGrp/PersonNm30CHRISTOPHER PAULITZ
IRS990/Form990PartVIISectionAGrp/PersonNm31KATHRYN ANDERSON
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IRS990/Form990PartVIISectionAGrp/TitleTxt0CHAIR
IRS990/Form990PartVIISectionAGrp/TitleTxt1IMMEDIATE PAST CHAIR
IRS990/Form990PartVIISectionAGrp/TitleTxt2VICE CHAIR
IRS990/Form990PartVIISectionAGrp/TitleTxt3CHAIR, FINANCE COMMITTEE
IRS990/Form990PartVIISectionAGrp/TitleTxt4FSI PAC CHAIR
IRS990/Form990PartVIISectionAGrp/TitleTxt5MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt6MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt7MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt8MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt9MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt10MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt11MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt12MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt13MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt14MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt15MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt16MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt17MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt18MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt19MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt20MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt21MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt22MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt23MEMBER
IRS990/Form990PartVIISectionAGrp/TitleTxt24PRESIDENT & CEO
IRS990/Form990PartVIISectionAGrp/TitleTxt25EXEC VP & GENERAL COUNSEL
IRS990/Form990PartVIISectionAGrp/TitleTxt26SVP, FINANCE, OPS & BUS STRAT
IRS990/Form990PartVIISectionAGrp/TitleTxt27SVP, POLICY & DEP GEN CO
IRS990/Form990PartVIISectionAGrp/TitleTxt28SVP, EDUCATION & ENG
IRS990/Form990PartVIISectionAGrp/TitleTxt29VP, FED REG AFFAIRS
IRS990/Form990PartVIISectionAGrp/TitleTxt30HEAD, STRAT. INITIATIVES
IRS990/Form990PartVIISectionAGrp/TitleTxt31SVP, GROWTH & STRAT PART
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IRS990/MissionDesc0FINANCIAL SERVICES INSTITUTE'S MISSION IS TO CREATE A HEALTHIER REGULATORY ENVIRONMENT FOR INDEPENDENT BROKER-DEALERS AND THEIR AFFILIATED INDEPENDENT FINANCIAL ADVISORS THROUGH AGGRESSIVE AND EFFECTIVE ADVOCACY, EDUCATION AND PUBLIC AWARENESS.
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IRS990/OtherExpensesGrp/Desc0LEGISLATIVE EXPENSES
IRS990/OtherExpensesGrp/Desc1REGULATORY EXPENSES
IRS990/OtherExpensesGrp/Desc2MEMBERSHIP EXPENSES
IRS990/OtherExpensesGrp/Desc3PERSONNEL EXPENSES & DE

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