Civic Intelligence

National Association of Active Investment Managers Inc

990 • Fiscal year 2019 • EIN 38-2904659

Jan 01, 2019 to Dec 31, 2019 • Filed on Nov 09, 2020

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

9th percentile

0.00x

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

2019 filings • 501(c)6 • $1M-$5M nonprofits • Source year 2019

Liabilities / Revenue

10th percentile

0.00x

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

2019 filings • 501(c)6 • $1M-$5M nonprofits • Source year 2019

Net Margin

72nd percentile

11%

Higher net margin than 72% of similar nonprofits.

2019 filings • 501(c)6 • $1M-$5M nonprofits • Source year 2019

Top Officer Pay

24th percentile

$0

Higher top officer pay than 24% of similar nonprofits.

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

2019 filings • 501(c)6 • $1M-$5M nonprofits • Source year 2019

Asset Growth

63rd percentile

10%

Faster asset growth than 63% of similar nonprofits.

2019 filings • 501(c)6 • $1M-$5M nonprofits • Annualized from 2018 to 2019

Revenue Growth

90th percentile

28%

Faster revenue growth than 90% of similar nonprofits.

2019 filings • 501(c)6 • $1M-$5M nonprofits • Annualized from 2018 to 2019

Balance Sheet
Liabilities / Assets9th percentile

Assets

Up

$743,876

Up $68,727 (+10%) from 2018

Net Assets

Up

$743,876

Up $68,727 (+10%) from 2018

Liabilities

Flat

$0

Flat from 2018

Revenue And Expenses
Liabilities / Revenue10th percentileNet Margin72nd percentile

Revenue

Up

$275,714

Up $60,983 (+28%) from 2018

Expenses

Up

$245,920

Up $7,295 (+3.1%) from 2018

Net Income

Up

$29,794

Up $53,688 (+225%) from 2018

Historical Trend

Balance Sheet Trend

Asset Growth63rd 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

2019

Assets$743,876
Liabilities$0
Net Assets$743,876
Open 2019 Filing

Operations Trend

Revenue Growth90th 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

2019

Revenue$275,714
Expenses$245,920
Net Income$29,794
Open 2019 Filing
Jump To
Filing Snapshot
Filing Period
Jan 1, 2019 to Dec 31, 2019
Signed
Nov 9, 2020
Return Version
2019v5.1
Gross Receipts
$2,631,383
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$675,149$743,876▲ $68,727
Investments Other Securities$463,408$422,446▼ $40,962
Savings and Temporary Cash Investments$123,954$249,792▲ $125,838
Cash and Non-Interest-Bearing Accounts$87,787$71,638▼ $16,149
Pd in Cap Srpls Land Bldg Eqp Fund$0$0→ $0
Cap Stk Tr Prin Current Funds$0$0→ $0
Total Assets$675,149$743,876▲ $68,727
Liabilities
Total Liabilities$0$0→ $0
Net Assets / Fund Balance
Total Net Assets Fund Balance$675,149$743,876▲ $68,727
Total Liabilities and Net Assets / Fund Balance$675,149$743,876▲ $68,727

Asset Categories

AssetBook ValueDepreciationBasis
Other Securities$103,690--
Compensation and Service Providers
Top Officer Pay24th percentile

Board Members and Trustees

NameTitle
Steven WilliamsonChairperson
Matt SpanglerPresident
David BushDirector
David DaughtreyDirector
Dextor LyonsDirector
Dina FlissDirector
Jack PetersDirector
Jeffrey CribbsDirector
Mike DeanDirector
Robert BernsteinDirector
Sam Bills JrDirector
Jim ApplegateSecretary
Paul SchatzTreasurer
Ryan RedfernVice Pres
Revenue and Support

Revenue Composition

Contributions and Grants
$32,700
Program Service Revenue
$191,664
Investment Income
$51,350
Other Revenue
$0
Change in Net Assets
$29,794
Expenses and Functional Allocation

Major Expense Lines

Line ItemAmount
Other Expenses$245,920
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---$126,885
Fees for Services Management---$56,198
Office Expenses---$7,501
Fees for Services Accounting---$7,136
Fees for Service Investment Mgmnt Fees---$5,364
Advertising---$5,313
Information Technology---$4,809
Other Expenses---$900
Insurance---$745
Fees for Services Legal---$387
All Other Expenses---$200
Total Functional Expenses$0$0$0$245,920
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 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
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
2020-11-09
Discuss with paid preparer
Yes

Organization Details

Principal Officer
Paul Schatz
Formed
1989
Legal Domicile
Co
Voting Board Members
14
Independent Board Members
14
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 Appendix378 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/PYInvestmentIncomeAmt0-27888
IRS990/PYOtherExpensesAmt0238625
IRS990/PYOtherRevenueAmt00
IRS990/PYProgramServiceRevenueAmt0202119
IRS990/PYRevenuesLessExpensesAmt0-23894
IRS990/PYSalariesCompEmpBnftPaidAmt00
IRS990/PYTotalExpensesAmt0238625
IRS990/PYTotalProfFndrsngExpnsAmt00
IRS990/PYTotalRevenueAmt0214731
IRS990/RcvFndsToPayPrsnlBnftCntrctInd00
IRS990/ReconcilationRevenueExpnssAmt029794
IRS990/RelatedEntityInd00
IRS990/RelatedOrganizationCtrlEntInd00
IRS990/ReportInvestmentsOtherSecInd01
IRS990/ReportLandBuildingEquipmentInd00
IRS990/ReportOtherAssetsInd00
IRS990/ReportOtherLiabilitiesInd00
IRS990/ReportProgramRelatedInvstInd00
IRS990/RtnEarnEndowmentIncmOthFndsGrp/BOYAmt0675149
IRS990/RtnEarnEndowmentIncmOthFndsGrp/EOYAmt0743876
IRS990/SavingsAndTempCashInvstGrp/BOYAmt0123954
IRS990/SavingsAndTempCashInvstGrp/EOYAmt0249792
IRS990/ScheduleBRequiredInd00
IRS990ScheduleD/OtherSecuritiesGrp/BookValueAmt0103793
IRS990ScheduleD/OtherSecuritiesGrp/BookValueAmt1-66
IRS990ScheduleD/OtherSecuritiesGrp/BookValueAmt2106170
IRS990ScheduleD/OtherSecuritiesGrp/BookValueAmt3108859
IRS990ScheduleD/OtherSecuritiesGrp/BookValueAmt4103690
IRS990ScheduleD/OtherSecuritiesGrp/Desc0RYDEX MONTHLY REBALANCE NASDAQ
IRS990ScheduleD/OtherSecuritiesGrp/Desc1OPTIONS CONTRACTS
IRS990ScheduleD/OtherSecuritiesGrp/Desc2BLACKROCK HIGH YOELD BD
IRS990ScheduleD/OtherSecuritiesGrp/Desc3COLUMBIA HIGH YIELD BD
IRS990ScheduleD/OtherSecuritiesGrp/Desc4PIONEER STRATEGIC INCOME
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd0F
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd1F
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd2F
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd3F
IRS990ScheduleD/OtherSecuritiesGrp/MethodValuationCd4F
IRS990ScheduleD/TotalBookValueLandBuildingsAmt00
IRS990ScheduleD/TotalBookValueSecuritiesAmt0422446
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/SubjectToExcsTaxNetInvstIncInd00
IRS990/SubjectToProxyTaxInd00
IRS990/SubjToTaxRmnrtnExPrchtPymtInd00
IRS990/TaxablePartyNotificationInd00
IRS990/TaxExemptBondsInd00
IRS990/TerminateOperationsInd00
IRS990/TotalAssetsBOYAmt0675149
IRS990/TotalAssetsEOYAmt0743876
IRS990/TotalAssetsGrp/BOYAmt0675149
IRS990/TotalAssetsGrp/EOYAmt0743876
IRS990/TotalCompGreaterThan150KInd00
IRS990/TotalContributionsAmt032700
IRS990/TotalEmployeeCnt00
IRS990/TotalFunctionalExpensesGrp/TotalAmt0245920
IRS990/TotalGrossUBIAmt00
IRS990/TotalLiabilitiesBOYAmt00
IRS990/TotalLiabilitiesEOYAmt00
IRS990/TotalLiabilitiesGrp/BOYAmt00
IRS990/TotalLiabilitiesGrp/EOYAmt00
IRS990/TotalNetAssetsFundBalanceGrp/BOYAmt0675149
IRS990/TotalNetAssetsFundBalanceGrp/EOYAmt0743876
IRS990/TotalOtherCompensationAmt00
IRS990/TotalProgramServiceRevenueAmt0191664
IRS990/TotalReportableCompFromOrgAmt00
IRS990/TotalRevenueGrp/ExclusionAmt051350
IRS990/TotalRevenueGrp/RelatedOrExemptFuncIncomeAmt0191664
IRS990/TotalRevenueGrp/TotalRevenueColumnAmt0275714
IRS990/TotalRevenueGrp/UnrelatedBusinessRevenueAmt00
IRS990/TotalVolunteersCnt00
IRS990/TotLiabNetAssetsFundBalanceGrp/BOYAmt0675149
IRS990/TotLiabNetAssetsFundBalanceGrp/EOYAmt0743876
IRS990/TotReportableCompRltdOrgAmt00
IRS990/TypeOfOrganizationCorpInd0X
IRS990/UnrelatedBusIncmOverLimitInd00
IRS990/UponRequestInd0X
IRS990/USAddress/AddressLine1Txt01 BRADLEY ROAD
IRS990/USAddress/CityNm0WOODBRIDGE
IRS990/USAddress/StateAbbreviationCd0CT
IRS990/USAddress/ZIPCd006525
IRS990/VotingMembersGoverningBodyCnt014
IRS990/VotingMembersIndependentCnt014
IRS990/WebsiteAddressTxt0WWW.NAAIM.ORG
IRS990/WhistleblowerPolicyInd00
ReturnHeader/BuildTS02022-01-07 14:23:13Z
ReturnHeader/BusinessOfficerGrp/DiscussWithPaidPreparerInd01
ReturnHeader/BusinessOfficerGrp/PersonNm0PAUL SCHATZ
ReturnHeader/BusinessOfficerGrp/PersonTitleTxt0TREASURER
ReturnHeader/BusinessOfficerGrp/PhoneNum02033893553
ReturnHeader/BusinessOfficerGrp/SignatureDt02020-11-09
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/AtSubmissionCreationDeviceId0FACFBC3495202C27E8670EFD0659F50215726617
ReturnHeader/FilingSecurityInformation/AtSubmissionFilingDeviceId0FACFBC3495202C27E8670EFD0659F50215726617
ReturnHeader/FilingSecurityInformation/FilingLicenseTypeCd0P
ReturnHeader/FilingSecurityInformation/IPAddress/IPv4AddressTxt096.86.112.241
ReturnHeader/FilingSecurityInformation/IPDt02020-11-09
ReturnHeader/FilingSecurityInformation/IPTimezoneCd0ES
ReturnHeader/FilingSecurityInformation/IPTm014:01:01
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/PreparationDt02020-11-09
ReturnHeader/PreparerPersonGrp/PreparerPersonNm0BRIAN S BORGERSON CPA
ReturnHeader/ReturnTs02020-11-09T13:37:22-06:00
ReturnHeader/ReturnTypeCd0990
ReturnHeader/TaxPeriodBeginDt02019-01-01
ReturnHeader/TaxPeriodEndDt02019-12-31
ReturnHeader/TaxYr02019

Document Assets

No mirrored PDF or thumbnail assets are attached yet.

Filings

Displayed year

2019 • Form 990Detailed filing. Detailed filing data is available for this year.

Open filing
Assets
$743,876
Liabilities
$0
Net assets
$743,876
Revenue
$275,714
Expenses
$245,920
Net income
$29,794
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
2019Detailed filing. Detailed filing data is available for this year.$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