Civic Intelligence

National Association of Active Investment Managers Inc

990 • Fiscal year 2013 • EIN 38-2904659

Jan 01, 2013 to Dec 31, 2013 • Filed on Aug 06, 2014

Organization ProfileWWW.NAAIM.ORG
6732 West Coal Mine Avenue No 446Littleton, CO 80123-4573

(303) 979-1280

Siviq Scores

Precomputed percentiles for this filing year versus similar nonprofits in the same peer cohort.

Liabilities / Assets

3rd percentile

0.00x

Tied with the lowest-debt nonprofits in its peer group.

2013 filings • 501(c)6 • $10M-$25M nonprofits • Source year 2013

Liabilities / Revenue

4th percentile

0.00x

Tied with the lowest-debt nonprofits in its peer group.

2013 filings • 501(c)6 • $10M-$25M nonprofits • Source year 2013

Net Margin

31st percentile

1.0%

Higher net margin than 31% of similar nonprofits.

2013 filings • 501(c)6 • $10M-$25M nonprofits • Source year 2013

Top Officer Pay

7th percentile

$0

Higher top officer pay than 7% of similar nonprofits.

Top officer pay equals 0.0% of source-year revenue.

2013 filings • 501(c)6 • $10M-$25M nonprofits • Source year 2013

Asset Growth

26th percentile

0.7%

Faster asset growth than 26% of similar nonprofits.

2013 filings • 501(c)6 • $10M-$25M nonprofits • Annualized from 2012 to 2013

Revenue Growth

Score unavailable

No value available

No earlier valid filing was available within the previous three public years.

Source year 2013

Balance Sheet
Liabilities / Assets3rd percentile

Assets

Up

$651,837

Up $4,560 (+0.7%) from 2012

Net Assets

Up

$651,837

Up $4,560 (+0.7%) from 2012

Liabilities

Flat

$0

Flat from 2012

Revenue And Expenses
Liabilities / Revenue4th percentileNet Margin31st percentile

Revenue

$388,415

No earlier filing loaded for comparison.

Expenses

Up

$384,451

Up $114,193 (+42%) from 2012

Net Income

$3,964

No earlier filing loaded for comparison.

Historical Trend

Balance Sheet Trend

Asset Growth26th percentile

The highlighted filing sits inside the broader history for assets, liabilities, and net assets.

$1.0M$500K$0Assets 2010: $473,062Liabilities 2010: $0Net Assets 2010: $473,0622010Assets 2011: $552,441Liabilities 2011: $0Net Assets 2011: $552,4412011Assets 2012: $647,277Liabilities 2012: $0Net Assets 2012: $647,2772012Assets 2013: $651,837Liabilities 2013: $0Net Assets 2013: $651,8372013Assets 2014: $693,286Liabilities 2014: $0Net Assets 2014: $693,2862014Assets 2015: $606,592Liabilities 2015: $0Net Assets 2015: $606,5922015Assets 2016: $649,337Liabilities 2016: $0Net Assets 2016: $649,3372016Assets 2017: $703,472Liabilities 2017: $0Net Assets 2017: $703,4722017Assets 2018: $675,149Liabilities 2018: $0Net Assets 2018: $675,1492018Assets 2019: $743,876Liabilities 2019: $0Net Assets 2019: $743,8762019Assets 2020: $868,017Liabilities 2020: $0Net Assets 2020: $868,0172020Assets 2021: $865,053Liabilities 2021: $0Net Assets 2021: $865,0532021Assets 2022: $740,883Liabilities 2022: $0Net Assets 2022: $740,8832022Assets 2023: $865,257Liabilities 2023: $0Net Assets 2023: $865,2572023Assets 2024: $902,062Liabilities 2024: $0Net Assets 2024: $902,0622024

Highlighted filing

2013

Assets$651,837
Liabilities$0
Net Assets$651,837
Open 2013 Filing

Operations Trend

Revenue GrowthScore unavailable

Revenue, expenses, and net income across loaded years, with this filing highlighted.

$600K$400K$200K$0-$200KExpenses 2010: $323,8462010Expenses 2011: $288,2552011Expenses 2012: $270,2582012Revenue 2013: $388,415Expenses 2013: $384,451Net Income 2013: $3,9642013Revenue 2014: $337,651Expenses 2014: $288,815Net Income 2014: $48,8362014Revenue 2015: $334,128Expenses 2015: $432,943Net Income 2015: -$98,8152015Revenue 2016: $406,975Expenses 2016: $370,971Net Income 2016: $36,0042016Revenue 2017: $377,903Expenses 2017: $295,867Net Income 2017: $82,0362017Revenue 2018: $214,731Expenses 2018: $238,625Net Income 2018: -$23,8942018Revenue 2019: $275,714Expenses 2019: $245,920Net Income 2019: $29,7942019Revenue 2020: $175,790Expenses 2020: $100,047Net Income 2020: $75,7432020Revenue 2021: $190,287Expenses 2021: $127,727Net Income 2021: $62,5602021Revenue 2022: $191,416Expenses 2022: $249,861Net Income 2022: -$58,4452022Revenue 2023: $331,967Expenses 2023: $261,002Net Income 2023: $70,9652023Revenue 2024: $348,746Expenses 2024: $305,171Net Income 2024: $43,5752024

Highlighted filing

2013

Revenue$388,415
Expenses$384,451
Net Income$3,964
Open 2013 Filing
Jump To
Filing Snapshot
Filing Period
Jan 1, 2013 to Dec 31, 2013
Signed
Aug 6, 2014
Return Version
2013v3.0
Gross Receipts
$16,871,475
Mission and Program Overview

Mission

As an organization, naaim engages in numerous activities to promote active management and further the professional development of its members, including:>acquiring, preserving and disseminating valuable information relative to, or useful in providing, active investment management services; >providing the opportunity for members to exchange information, experiences and opinions through discussions, meetings, study and publications; >keeping its members informed of legislative and administrative changes affecting investment advisory services, and representing their interests in the formulation of policy affecting such services; >developing and encouraging the practice of high standards of personal and professional conduct among members and the public; >educating the public with regard to the concept and benefits of active investment management services and promoting the public's use of such services.

Naaim's purpose is to promote the common interests of those investment advisors who provide active investment management services to clients.

Balance Sheet Detail
LineBeginningEndChange
Assets
Rtn Earn Endowment Incm Other Fnds$647,277$651,837▲ $4,560
Savings and Temporary Cash Investments$316,609$369,602▲ $52,993
Investments Other Securities$330,668$282,235▼ $48,433
Pd in Cap Srpls Land Bldg Eqp Fund$0$0→ $0
Cap Stk Tr Prin Current Funds$0$0→ $0
Total Assets$647,277$651,837▲ $4,560
Liabilities
Total Liabilities$0$0→ $0
Net Assets / Fund Balance
Total Net Assets Fund Balance$647,277$651,837▲ $4,560
Total Liabilities and Net Assets / Fund Balance$647,277$651,837▲ $4,560

Asset Categories

AssetBook ValueDepreciationBasis
Other Securities$91,562--
Compensation and Service Providers
Top Officer Pay7th percentile

Board Members and Trustees

NameTitle
Brenda WenningChairperson
Dave MoenningPresident
Jason WilderVice President
Colleen ChandlerDirector
David TaucherDirector
Lee JohnsonDirector
Renee TothDirector
Ted LundgrenDirector
Thomas McnallyDirector
Jim ApplegateSecretary
Paul SchatzTreasurer
Revenue and Support

Revenue Composition

Contributions and Grants
$56,150
Program Service Revenue
$261,710
Investment Income
$70,555
Other Revenue
$0
Change in Net Assets
$3,964
Expenses and Functional Allocation

Major Expense Lines

Line ItemAmount
Other Expenses$384,451
Grants and Similar Amounts Paid$0
Professional Fundraising Fees$0
Salaries, Compensation, and Employee Benefits$0
Total Fundraising Expense$0

Functional Expense Allocation

Line ItemProgramManagementFundraisingTotal
Conferences and Meetings---$175,090
Advertising---$83,201
Fees for Services Management---$43,200
Office Expenses---$14,925
Information Technology---$14,025
Fees for Services Accounting---$7,256
Fees for Service Investment Mgmnt Fees---$6,352
Other Expenses---$900
All Other Expenses---$300
Total Functional Expenses$0$0$0$384,451
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
Subject to proxy tax
No
Governance and Compliance

Governance Checklist

Compiled or reviewed by an accountant
No
Backup withholding compliance
Yes
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
No
Other officer compensation reviewed
No
Conflict-of-interest policy
No
Audited financial statements prepared
No
Key decisions subject to board approval
No
Management duties delegated
No

Governance Explanations

Form 990, Part VI, Section B, Line 11

“A draft of the tax return was provided to the director and board prior to submission,”

Form 990, Part VI, Section C, Line 19

“AVAILABLE UPON REQUEST”

Filing and Contact Details

Filer

EIN
38-2904659
Phone
3039791280

Signing Officer

Name
Paul Schatz
Title
Treasurer
Phone
2033893553
Signed
2014-08-06
Discuss with paid preparer
Yes

Organization Details

Principal Officer
Paul Schatz
Formed
1989
Legal Domicile
Co
Voting Board Members
11
Independent Board Members
11
Employees
0
Volunteers
0

Preparer

Preparer
Brian S Borgerson CPA
Phone
2032394478
Raw XML Appendix347 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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IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd4F
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd5F
IRS990ScheduleD/TotalBookValueLandBuildingsAmt00
IRS990ScheduleD/TotalBookValueSecuritiesAmt0282235
IRS990/ScheduleJRequiredInd00
IRS990/ScheduleORequiredInd01
IRS990ScheduleO/SupplementalInformationDetail/ExplanationTxt0A DRAFT OF THE TAX RETURN WAS PROVIDED TO THE DIRECTOR AND BOARD PRIOR TO SUBMISSION,
IRS990ScheduleO/SupplementalInformationDetail/ExplanationTxt1AVAILABLE UPON REQUEST
IRS990ScheduleO/SupplementalInformationDetail/FormAndLineReferenceDesc0FORM 990, PART VI, SECTION B, LINE 11
IRS990ScheduleO/SupplementalInformationDetail/FormAndLineReferenceDesc1FORM 990, PART VI, SECTION C, LINE 19
IRS990/SchoolOperatingInd00
IRS990/SignificantChangeInd00
IRS990/SignificantNewProgramSrvcInd00
IRS990/SubjectToProxyTaxInd00
IRS990/TaxablePartyNotificationInd00
IRS990/TaxExemptBondsInd00
IRS990/TempOrPermanentEndowmentsInd00
IRS990/TerminateOperationsInd00
IRS990/TotalAssetsBOYAmt0647277
IRS990/TotalAssetsEOYAmt0651837
IRS990/TotalAssetsGrp/BOYAmt0647277
IRS990/TotalAssetsGrp/EOYAmt0651837
IRS990/TotalCompGreaterThan150KInd00
IRS990/TotalContributionsAmt056150
IRS990/TotalEmployeeCnt00
IRS990/TotalFunctionalExpensesGrp/TotalAmt0384451
IRS990/TotalGrossUBIAmt00
IRS990/TotalLiabilitiesBOYAmt00
IRS990/TotalLiabilitiesEOYAmt00
IRS990/TotalLiabilitiesGrp/BOYAmt00
IRS990/TotalLiabilitiesGrp/EOYAmt00
IRS990/TotalNetAssetsFundBalanceGrp/BOYAmt0647277
IRS990/TotalNetAssetsFundBalanceGrp/EOYAmt0651837
IRS990/TotalOtherCompensationAmt00
IRS990/TotalProgramServiceRevenueAmt0261710
IRS990/TotalReportableCompFromOrgAmt00
IRS990/TotalRevenueGrp/ExclusionAmt070555
IRS990/TotalRevenueGrp/RelatedOrExemptFuncIncomeAmt0261710
IRS990/TotalRevenueGrp/TotalRevenueColumnAmt0388415
IRS990/TotalRevenueGrp/UnrelatedBusinessRevenueAmt00
IRS990/TotalVolunteersCnt00
IRS990/TotLiabNetAssetsFundBalanceGrp/BOYAmt0647277
IRS990/TotLiabNetAssetsFundBalanceGrp/EOYAmt0651837
IRS990/TotReportableCompRltdOrgAmt00
IRS990/TypeOfOrganizationCorpInd0X
IRS990/UnrelatedBusIncmOverLimitInd00
IRS990/UponRequestInd0X
IRS990/USAddress/AddressLine101 BRADLEY ROAD
IRS990/USAddress/City0WOODBRIDGE
IRS990/USAddress/State0CT
IRS990/USAddress/ZIPCode006525
IRS990/VotingMembersGoverningBodyCnt011
IRS990/VotingMembersIndependentCnt011
IRS990/WebsiteAddressTxt0WWW.NAAIM.ORG
IRS990/WhistleblowerPolicyInd00
ReturnHeader/BuildTS02015-11-30 17:44:51Z
ReturnHeader/BusinessOfficerGrp/DiscussWithPaidPreparerInd01
ReturnHeader/BusinessOfficerGrp/PersonNm0PAUL SCHATZ
ReturnHeader/BusinessOfficerGrp/PersonTitleTxt0TREASURER
ReturnHeader/BusinessOfficerGrp/PhoneNum02033893553
ReturnHeader/BusinessOfficerGrp/SignatureDt02014-08-06
ReturnHeader/Filer/BusinessName/BusinessNameLine10NATIONAL ASSOCIATION OF ACTIVE
ReturnHeader/Filer/BusinessName/BusinessNameLine20INVESTMENT MANAGERS INC
ReturnHeader/Filer/BusinessNameControlTxt0NATI
ReturnHeader/Filer/EIN0382904659
ReturnHeader/Filer/PhoneNum03039791280
ReturnHeader/Filer/USAddress/AddressLine106732 WEST COAL MINE AVENUE NO 446
ReturnHeader/Filer/USAddress/City0LITTLETON
ReturnHeader/Filer/USAddress/State0CO
ReturnHeader/Filer/USAddress/ZIPCode0801234573
ReturnHeader/PreparerFirmGrp/PreparerFirmEIN0060415530
ReturnHeader/PreparerFirmGrp/PreparerFirmName/BusinessNameLine10KIRCALDIE RANDALL & MCNAB LLC
ReturnHeader/PreparerFirmGrp/PreparerUSAddress/AddressLine10605 WASHINGTON AVENUE
ReturnHeader/PreparerFirmGrp/PreparerUSAddress/City0NORTH HAVEN
ReturnHeader/PreparerFirmGrp/PreparerUSAddress/State0CT
ReturnHeader/PreparerFirmGrp/PreparerUSAddress/ZIPCode0064731187
ReturnHeader/PreparerPersonGrp/PhoneNum02032394478
ReturnHeader/PreparerPersonGrp/PreparationDt02014-08-06
ReturnHeader/PreparerPersonGrp/PreparerPersonNm0BRIAN S BORGERSON CPA
ReturnHeader/ReturnTs02014-08-07T08:58:07-05:00
ReturnHeader/ReturnTypeCd0990
ReturnHeader/TaxPeriodBeginDt02013-01-01
ReturnHeader/TaxPeriodEndDt02013-12-31
ReturnHeader/TaxYr02013

Document Assets

No mirrored PDF or thumbnail assets are attached yet.

Filings

Displayed year

2013 • Form 990Detailed filing. Detailed filing data is available for this year.

Open filing
Assets
$651,837
Liabilities
$0
Net assets
$651,837
Revenue
$388,415
Expenses
$384,451
Net income
$3,964
Balance SheetOperations
YearAssetsLiabilitiesNet AssetsRevenueExpensesNet Income
2024XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$9.02$0.00$9.02$3.49$3.05$0.44
2023XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$8.65$0.00$8.65$3.32$2.61$0.71
2022Facts available. Structured filing facts are available, but richer extracted sections are limited.$7.41$0.00$7.41$1.91$2.50$0.58
2021XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$8.65$0.00$8.65$1.90$1.28$0.63
2020Facts available. Structured filing facts are available, but richer extracted sections are limited.$8.68$0.00$8.68$1.76$1.00$0.76
2019XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$7.44$0.00$7.44$2.76$2.46$0.30
2018XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$6.75$0.00$6.75$2.15$2.39$0.24
2017XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$7.03$0.00$7.03$3.78$2.96$0.82
2016Facts available. Structured filing facts are available, but richer extracted sections are limited.$6.49$0.00$6.49$4.07$3.71$0.36
2015XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$6.07$0.00$6.07$3.34$4.33$0.99
2014XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$6.93$0.00$6.93$3.38$2.89$0.49
2013Detailed filing. Detailed filing data is available for this year.$6.52$0.00$6.52$3.88$3.84$0.04
2012Facts available. Structured filing facts are available, but richer extracted sections are limited.$6.47$0.00$6.47$2.70
2011Facts available. Structured filing facts are available, but richer extracted sections are limited.$5.52$0.00$5.52$2.88
2010Facts available. Structured filing facts are available, but richer extracted sections are limited.$4.73$0.00$4.73$3.24
Peer Organizations

Similar nonprofits based on the same Siviq industry and scale cohort. 2013 filings • 501(c)6 • $10M-$25M nonprofits