Civic Intelligence

National Association of Active Investment Managers Inc

990 • Fiscal year 2016 • EIN 38-2904659

Jan 01, 2016 to Dec 31, 2016 • Filed on Aug 02, 2017

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

4th percentile

0.00x

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

2016 filings • 501(c)6 • $10M-$25M nonprofits • Source year 2016

Liabilities / Revenue

4th percentile

0.00x

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

2016 filings • 501(c)6 • $10M-$25M nonprofits • Source year 2016

Net Margin

67th percentile

8.8%

Higher net margin than 67% of similar nonprofits.

2016 filings • 501(c)6 • $10M-$25M nonprofits • Source year 2016

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.

2016 filings • 501(c)6 • $10M-$25M nonprofits • Source year 2016

Asset Growth

62nd percentile

7.0%

Faster asset growth than 62% of similar nonprofits.

2016 filings • 501(c)6 • $10M-$25M nonprofits • Annualized from 2015 to 2016

Revenue Growth

88th percentile

22%

Faster revenue growth than 88% of similar nonprofits.

2016 filings • 501(c)6 • $10M-$25M nonprofits • Annualized from 2015 to 2016

Balance Sheet
Liabilities / Assets4th percentile

Assets

Up

$649,337

Up $42,745 (+7.0%) from 2015

Net Assets

Up

$649,337

Up $42,745 (+7.0%) from 2015

Liabilities

Flat

$0

Flat from 2015

Revenue And Expenses
Liabilities / Revenue4th percentileNet Margin67th percentile

Revenue

Up

$406,975

Up $72,847 (+22%) from 2015

Expenses

Down

$370,971

Down $61,972 (-14%) from 2015

Net Income

Up

$36,004

Up $134,819 (+136%) from 2015

Historical Trend

Balance Sheet Trend

Asset Growth62nd 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

2016

Assets$649,337
Liabilities$0
Net Assets$649,337
Open 2016 Filing

Operations Trend

Revenue Growth88th percentile

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

2016

Revenue$406,975
Expenses$370,971
Net Income$36,004
Open 2016 Filing
Jump To
Filing Snapshot
Filing Period
Jan 1, 2016 to Dec 31, 2016
Signed
Aug 2, 2017
Return Version
2016v3.0
Gross Receipts
$10,364,554
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$606,592$649,337▲ $42,745
Investments Other Securities$161,993$480,803▲ $318,810
Savings and Temporary Cash Investments$444,599$168,536▼ $276,063
Pd in Cap Srpls Land Bldg Eqp Fund$0$0→ $0
Cap Stk Tr Prin Current Funds$0$0→ $0
Cash and Non-Interest-Bearing Accounts-$-2-
Total Assets$606,592$649,337▲ $42,745
Liabilities
Total Liabilities$0$0→ $0
Net Assets / Fund Balance
Total Net Assets Fund Balance$606,592$649,337▲ $42,745
Total Liabilities and Net Assets / Fund Balance$606,592$649,337▲ $42,745

Asset Categories

AssetBook ValueDepreciationBasis
Other Securities$72,213--
Compensation and Service Providers
Top Officer Pay7th percentile

Board Members and Trustees

NameTitle
Ted LundgrenChairperson
Ken GravesPresident
Anfrew QuinnDirector
Brenda WenningDirector
Brian BoughnerDirector
Jason EricksonDirector
Michael PriceDirector
Mike DeanDirector
Patrick BeaudanDirector
Steve WilliamsonDirector
Jim ApplegateSecretary
Paul SchatzTreasurer
Emily CollinsVice Pres
Revenue and Support

Revenue Composition

Contributions and Grants
$50,100
Program Service Revenue
$269,790
Investment Income
$87,085
Other Revenue
$0
Change in Net Assets
$36,004
Expenses and Functional Allocation

Major Expense Lines

Line ItemAmount
Other Expenses$370,971
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---$190,599
Advertising---$60,000
Fees for Services Management---$52,800
Office Expenses---$9,692
Fees for Services Accounting---$6,256
Information Technology---$4,854
Fees for Service Investment Mgmnt Fees---$3,234
Other Expenses---$900
Insurance---$745
All Other Expenses---$360
Total Functional Expenses$0$0$0$370,971
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 11B

“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

Filer Name
National Association of Active
EIN
38-2904659
Phone
3039791280
Address
6732 WEST COAL MINE AVENUE NO 446, LITTLETON, CO 80123-4573

Signing Officer

Name
Paul Schatz
Title
Treasurer
Phone
2033893553
Signed
2017-08-02
Discuss with paid preparer
Yes

Organization Details

Principal Officer
Paul Schatz
Formed
1989
Legal Domicile
Co
Voting Board Members
13
Independent Board Members
13
Employees
0
Volunteers
0

Preparer

Firm
Kircaldie Randall & Mcnab LLC
Address
605 WASHINGTON AVENUE, NORTH HAVEN, CT 06473-1187
Preparer
Brian S Borgerson CPA
Phone
2032394478
Raw XML Appendix373 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/ReportProgramRelatedInvstInd00
IRS990/RtnEarnEndowmentIncmOthFndsGrp/BOYAmt0606592
IRS990/RtnEarnEndowmentIncmOthFndsGrp/EOYAmt0649337
IRS990/SavingsAndTempCashInvstGrp/BOYAmt0444599
IRS990/SavingsAndTempCashInvstGrp/EOYAmt0168536
IRS990/ScheduleBRequiredInd00
IRS990ScheduleD/OtherSecuritiesGrp/BookValueAmt024885
IRS990ScheduleD/OtherSecuritiesGrp/BookValueAmt1125279
IRS990ScheduleD/OtherSecuritiesGrp/BookValueAmt248425
IRS990ScheduleD/OtherSecuritiesGrp/BookValueAmt3122894
IRS990ScheduleD/OtherSecuritiesGrp/BookValueAmt448184
IRS990ScheduleD/OtherSecuritiesGrp/BookValueAmt538923
IRS990ScheduleD/OtherSecuritiesGrp/BookValueAmt672213
IRS990ScheduleD/OtherSecuritiesGrp/Desc0RYDEX-ELECTRONICS
IRS990ScheduleD/OtherSecuritiesGrp/Desc1RYDEX-NASDAQ 100 2X STRAT
IRS990ScheduleD/OtherSecuritiesGrp/Desc2INVESCO HIGH YIELD FD
IRS990ScheduleD/OtherSecuritiesGrp/Desc3AB HIGH INCOME FD
IRS990ScheduleD/OtherSecuritiesGrp/Desc4FRANKLIN HIGH YIELD TAX FREE
IRS990ScheduleD/OtherSecuritiesGrp/Desc5RYDEX-TRANSPORTATION
IRS990ScheduleD/OtherSecuritiesGrp/Desc6RYDEX-S&P 500 2X STRAT
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd0F
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd1F
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd2F
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd3F
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd4F
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd5F
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd6F
IRS990ScheduleD/TotalBookValueLandBuildingsAmt00
IRS990ScheduleD/TotalBookValueSecuritiesAmt0480803
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 11B
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/TotalAssetsBOYAmt0606592
IRS990/TotalAssetsEOYAmt0649337
IRS990/TotalAssetsGrp/BOYAmt0606592
IRS990/TotalAssetsGrp/EOYAmt0649337
IRS990/TotalCompGreaterThan150KInd00
IRS990/TotalContributionsAmt050100
IRS990/TotalEmployeeCnt00
IRS990/TotalFunctionalExpensesGrp/TotalAmt0370971
IRS990/TotalGrossUBIAmt00
IRS990/TotalLiabilitiesBOYAmt00
IRS990/TotalLiabilitiesEOYAmt00
IRS990/TotalLiabilitiesGrp/BOYAmt00
IRS990/TotalLiabilitiesGrp/EOYAmt00
IRS990/TotalNetAssetsFundBalanceGrp/BOYAmt0606592
IRS990/TotalNetAssetsFundBalanceGrp/EOYAmt0649337
IRS990/TotalOtherCompensationAmt00
IRS990/TotalProgramServiceRevenueAmt0269790
IRS990/TotalReportableCompFromOrgAmt00
IRS990/TotalRevenueGrp/ExclusionAmt087085
IRS990/TotalRevenueGrp/RelatedOrExemptFuncIncomeAmt0269790
IRS990/TotalRevenueGrp/TotalRevenueColumnAmt0406975
IRS990/TotalRevenueGrp/UnrelatedBusinessRevenueAmt00
IRS990/TotalVolunteersCnt00
IRS990/TotLiabNetAssetsFundBalanceGrp/BOYAmt0606592
IRS990/TotLiabNetAssetsFundBalanceGrp/EOYAmt0649337
IRS990/TotReportableCompRltdOrgAmt00
IRS990/TypeOfOrganizationCorpInd0X
IRS990/UnrelatedBusIncmOverLimitInd00
IRS990/UponRequestInd0X
IRS990/USAddress/AddressLine1Txt01 BRADLEY ROAD
IRS990/USAddress/CityNm0WOODBRIDGE
IRS990/USAddress/StateAbbreviationCd0CT
IRS990/USAddress/ZIPCd006525
IRS990/VotingMembersGoverningBodyCnt013
IRS990/VotingMembersIndependentCnt013
IRS990/WebsiteAddressTxt0WWW.NAAIM.ORG
IRS990/WhistleblowerPolicyInd00
ReturnHeader/BuildTS02017-02-10 21:41:12Z
ReturnHeader/BusinessOfficerGrp/DiscussWithPaidPreparerInd01
ReturnHeader/BusinessOfficerGrp/PersonNm0PAUL SCHATZ
ReturnHeader/BusinessOfficerGrp/PersonTitleTxt0TREASURER
ReturnHeader/BusinessOfficerGrp/PhoneNum02033893553
ReturnHeader/BusinessOfficerGrp/SignatureDt02017-08-02
ReturnHeader/Filer/BusinessName/BusinessNameLine1Txt0NATIONAL ASSOCIATION OF ACTIVE
ReturnHeader/Filer/BusinessName/BusinessNameLine2Txt0INVESTMENT MANAGERS INC
ReturnHeader/Filer/BusinessNameControlTxt0NATI
ReturnHeader/Filer/EIN0382904659
ReturnHeader/Filer/PhoneNum03039791280
ReturnHeader/Filer/USAddress/AddressLine1Txt06732 WEST COAL MINE AVENUE NO 446
ReturnHeader/Filer/USAddress/CityNm0LITTLETON
ReturnHeader/Filer/USAddress/StateAbbreviationCd0CO
ReturnHeader/Filer/USAddress/ZIPCd0801234573
ReturnHeader/FilingSecurityInformation/AtSubmissionCreationDeviceId0072C9CE94E2F35D49CE48AA940971D520A0395B6
ReturnHeader/FilingSecurityInformation/AtSubmissionFilingDeviceId0072C9CE94E2F35D49CE48AA940971D520A0395B6
ReturnHeader/FilingSecurityInformation/FilingLicenseTypeCd0P
ReturnHeader/FilingSecurityInformation/IPAddress/IPv4AddressTxt096.86.112.241
ReturnHeader/FilingSecurityInformation/IPDt02017-08-02
ReturnHeader/FilingSecurityInformation/IPTimezoneCd0ED
ReturnHeader/FilingSecurityInformation/IPTm014:56:10
ReturnHeader/PreparerFirmGrp/PreparerFirmEIN0060415530
ReturnHeader/PreparerFirmGrp/PreparerFirmName/BusinessNameLine1Txt0KIRCALDIE RANDALL & MCNAB LLC
ReturnHeader/PreparerFirmGrp/PreparerUSAddress/AddressLine1Txt0605 WASHINGTON AVENUE
ReturnHeader/PreparerFirmGrp/PreparerUSAddress/CityNm0NORTH HAVEN
ReturnHeader/PreparerFirmGrp/PreparerUSAddress/StateAbbreviationCd0CT
ReturnHeader/PreparerFirmGrp/PreparerUSAddress/ZIPCd0064731187
ReturnHeader/PreparerPersonGrp/PhoneNum02032394478
ReturnHeader/PreparerPersonGrp/PreparationDt02017-08-02
ReturnHeader/PreparerPersonGrp/PreparerPersonNm0BRIAN S BORGERSON CPA
ReturnHeader/ReturnTs02017-08-04T12:45:35-05:00
ReturnHeader/ReturnTypeCd0990
ReturnHeader/TaxPeriodBeginDt02016-01-01
ReturnHeader/TaxPeriodEndDt02016-12-31
ReturnHeader/TaxYr02016

Document Assets

No mirrored PDF or thumbnail assets are attached yet.

Filings

Displayed year

2016 • Form 990Detailed filing. Detailed filing data is available for this year.

Open filing
Assets
$649,337
Liabilities
$0
Net assets
$649,337
Revenue
$406,975
Expenses
$370,971
Net income
$36,004
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
2016Detailed filing. Detailed filing data is available for this year.$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