2023-11-13T10:40:04-06:00 2022-12-31 363963131 MANN WEITZ & ASSOCIATES LLC 111 DEER LAKE ROAD SUITE 125 DEERFIELD IL 60015 990 2022-01-01 362976274 AMERICAN ASSOCIATION OF INDIVIDUAL INVESTORS AMER 3122800170 625 N MICHIGAN AVE 1900 CHICAGO IL 60611 JOHN BAJKOWSKI PRESIDENT 3122800170 2023-11-13 1 JOHN BAJKOWSKI 999009999 0 MARCY STEINDLER P00573131 8472673400 2 AAL1 IAL1 2022 2023-04-26 12:10:37Z JOHN BAJKOWSKI 625 N MICHIGAN AVE 1900 CHICAGO IL 60611 8645632 0 X WWW.AAII.COM X 1978 DE TO ASSIST INDIVIDUALS TO BECOME EFFECTIVE MANAGERS OF THEIR OWN ASSETS THROUGH PROGRAMS OF EDUCATION, INFORMATION AND RESEARCH. 4 3 44 355 0 0 523946 0 6356845 6504724 659568 176396 393701 422084 7934060 7103204 0 0 0 0 2966216 3278924 0 0 0 4468034 3790140 7434250 7069064 499810 34140 3907493 3214356 15200488 14918039 -11292995 -11703683 X THE AMERICAN ASSOCIATION OF INDIVIDUAL INVESTORS IS AN INDEPENDENT NONPROFIT CORPORATION FORMED IN 1978 FOR THE PURPOSE OF ASSISTING INDIVIDUALS IN BECOMING EFFECTIVE MANAGERS OF THEIR OWN ASSETS THROUGH PROGRAMS OF EDUCATION, INFORMATION AND RESEARCH. 0 0 1864993 2707185 MEMBERSHIP PROGRAMS: AAII PROVIDES INVESTMENT EDUCATION, INFORMATION, AND RESEARCH FOR APPROXIMATELY 145,000 MEMBERS. MEMBERS RECEIVE ACCESS TO THE AAII.COM WEBSITE AND ITS 24-YEAR PERSONAL FINANCIAL AND INVESTING ARTICLES ARCHIVE. MEMBERS ALSO RECEIVE THE MONTHLY AAII JOURNAL WITH EDUCATIONAL ARTICLES AND FEATURES COVERING PORTFOLIO MANAGEMENT, STOCK AND FUND INVESTING APPROACHES, RETIREMENT PLANNING, TAXATION, INSURANCE, AND FINANCIAL PLANNING. IN ADDITION, BOTH ANNUAL AND LIFE MEMBERS RECEIVE INVESTMENT INFORMATION GUIDES, INCLUDING OUR MUTUAL FUND GUIDE, EXCHANGE-TRADED FUND GUIDE, PERSONAL TAX GUIDE AND OUR PRISM WEALTH-BUILDING PROCESS. 2098929 3770726 SUBSCRIPTION PROGRAMS: AAII OFFERS SUBSCRIPTION PROGRAMS THAT PROVIDE MEMBERS WITH INVESTMENT EDUCATION, INFORMATION, AND RESEARCH. OUR STOCK INVESTOR PRO SOFTWARE PROGRAM ALLOWS USERS TO CONDUCT FUNDAMENTAL STOCK ANALYSIS AND RESEARCH ON OVER 7,000 PUBLICLY TRADED COMPANIES WITH EDUCTION ON THE INVESTMENT SCREENING AND SELECTION PROCESS. THE DIVIDEND INVESTING, GROWTH INVESTING, STOCK SUPERSTARS REPORT AND VMQ STOCKS WEBSITES AND CORRESPONDING PUBLICATIONS EDUCATE INVESTORS AND PROVIDE INFORMATION AND RESEARCH ON STOCK ANALYSIS, PORTFOLIO CONSTRUCTION AND MANAGEMENT. A+ INVESTOR IS A SUITE OF TOOLS THAT EDUCATES IN DISCOVERING, RESEARCHING, AND TRACKING INVESTMENTS. AAII PLATINUM IS A BUNDLE OF DIVIDEND INVESTING, GROWTH INVESTING, STOCK SUPERSTARS REPORT, VMQ STOCKS AND A+ INVESTOR. 126859 23528 NATIONAL PROGRAMS: OUR LOCAL CHAPTER PROGRAMS AIM TO OFFER UNBIASED INVESTMENT EDUCATION AND MEMBERSHIP INTERACTION. ACTIVE LOCAL CHAPTERS ARE USING A COMBINATION OF IN-PERSON-ONLY MEETINGS, IN-PERSON MEETINGS THAT ARE STREAMED LIVE, AND VIRTUAL-ONLY MEETINGS. AAII CONTINUES TO HOST NATIONAL WEBINARS, MOSTLY WITH STAFF. 45931 3285 OTHER PROGRAM SERVICES: AAII PROVIDES PROGRAMS OF INVESTMENT EDUCATION TO THE GENERAL PUBLIC AND COLLEGE STUDENTS. FOR THE PURPOSE OF EDUCATING THE PUBLIC ABOUT INVESTING A FREE, ON-LINE INVESTMENT EDUCATION PROGRAM FOR UNIVERSITY PROFESSORS AND THEIR STUDENTS. THE PROGRAM PROVIDES PARTICIPANTS WITH ACCESS TO THE MONTHLY JOURNAL, OUR INVESTOR CLASSROOM SERIES AND MEMBERS-ONLY AREAS OF THE AAII.COM WEBSITE, ALL WITH THE GOAL OF DELIVERING INVESTMENT EDUCATION TO COLLEGE STUDENTS. BOOKS: AAII OFFERS MEMBERS SEVERAL EDUCATIONAL BOOK TITLES WITHIN OUR AAII INVESTOR LIBRARY SERIES. THESE TITLES COVER INVESTING BASICS, RETIREMENT PLANNING AND PORTFOLIO BUILDING. 45931 3285 4136712 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 10 0 1 44 1 0 0 0 0 0 0 0 0 0 0 0 0 X 4 3 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 X DONNA M CARONE 3122800170 625 N MICHIGAN AVE 1900 CHICAGO IL 60611 JOHN BAJKOWSKI PRESIDENT/CEO 40.00 X X 211525 0 32193 JOHN MARKESE CHAIR 2.00 X X 12000 0 0 LLOYD SHEFSKY DIRECTOR 2.00 X 12000 0 0 JIA PENG DIRECTOR 2.00 X 0 0 0 CHARLES ROTBLUT VP EDITOR 40.00 X 202124 0 25638 WAYNE THORP VP SR FIN ANALYST 40.00 X 167010 0 11190 PETER NGUYEN VP DIRECTOR OF MARKETING 40.00 X 153853 0 22582 HARRY MADORIN SENIOR VP OPERATIONS/SECRE 40.00 X 122206 0 27618 NICK POWELL IT DIRECTOR 40.00 X 135000 0 24368 DONNA CARONE CONTROLLER 40.00 X 160615 0 12491 DEREK HAGEMAN FINIANCIAL ANALYST/EDITOR 40.00 X 110308 0 0 MOHAN PERERA WEB DIVELOPER 40.00 X 106579 0 10792 JEAN HENRICH MANAGING EDITOR 40.00 X 100679 0 25808 1493899 0 192680 12 0 1 0 LSC COMMUNICATIONS PO BOX 842291 BOSTON MA 022842291 MAILING HOUSE 345399 REFINITIV PO BOX 415983 BOSTON MA 02241 DATA PROVIDER 317602 GH PRINTING CO 5207 WALNUT AVE DOWNERS GROVE IL 60515 PRINTER 219430 DATA AXLE PO BOX 22106 NEW YORK NY 100872106 MAILING LIST RENTAL 125733 4 SUBSCRIPTIONS 990009 3770726 3770726 MEMBERSHIP PROGRAMS 990009 2707185 2707185 NATIONAL PROGRAMS 990009 23528 23528 BOOKS 990009 3285 3285 6504724 39890 39890 418877 418877 1678934 1542428 136506 136506 136506 MISCELLANEOUS 990009 3207 3207 3207 7103204 6507931 0 595273 999939 635976 363963 1787106 1195454 591652 30597 20447 10150 273851 181534 92317 187431 124246 63185 41169 41169 34136 34136 45066 20183 24883 1080762 1080762 317188 30155 287033 331342 197592 133750 125733 125733 245178 163162 82016 11903 1803 10100 23715 15647 8068 26600 26600 PUBLICATIONS 1037960 1037960 MEMBER INFORMATION 192363 192363 LICENSES AND SUBSCRIPTI 160528 160528 MISCELLANEOUS 76873 200 76673 39624 33729 5895 7069064 4136712 2932352 0 634 634 583312 374294 73196 108772 240091 301922 837111 809424 51402 27687 2958858 2290417 0 110630 3907493 3214356 492836 623310 14707652 14294729 15200488 14918039 X -11292995 -11703683 -11292995 -11703683 3907493 3214356 34140 -444828 0 X 0 0 0 X 523946 523946 6848511 6171219 5615193 6356845 6504724 31496492 6848511 6171219 5615193 6880791 6504724 32020438 0 0 0 32020438 532068 409418 421317 429454 458767 2251024 532068 409418 421317 429454 458767 2251024 3207 3207 7380579 6580637 6036510 7310245 6966698 34274669 0.93420 0.92890 0.06570 0.07110 X 167994 140307 27687 59560 59560 0 609557 609557 0 27687 X 6658376 -444828 -444828 7103204 0 7103204 7069064 0 7069064 0 7069064 PART X, LINE 2: THE FINANCIAL STATEMENT EFFECTS OF A TAX POSITION TAKEN OR EXPECTED TO BE TAKEN ARE RECOGNIZED IN THE FINANCIAL STATEMENTS WHEN IT IS MORE LIKELY THAN NOT, BASED ON THE TECHNICAL MERITS, THAT THE POSITION WILL BE SUSTAINED UPON EXAMINATION. AS OF DECEMBER 31, 2022, THE ASSOCIATION HAD NO UNCERTAIN TAX POSITIONS THAT QUALIFY FOR RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. X X X X 0 0 0 0 0 0 0 0 0 JOHN BAJKOWSKI PRESIDENT/CEO 211525 0 0 0 0 0 6035 0 26158 0 243718 0 0 0 CHARLES ROTBLUT VP EDITOR 202124 0 0 0 0 0 5732 0 19906 0 227762 0 0 0 WAYNE THORP VP SR FIN ANALYST 167010 0 0 0 0 0 4708 0 6482 0 178200 0 0 0 PETER NGUYEN VP DIRECTOR OF MARKETING 153853 0 0 0 0 0 4430 0 18152 0 176435 0 0 0 DONNA CARONE CONTROLLER 160615 0 0 0 0 0 0 0 12491 0 173106 0 0 0 NICK POWELL IT DIRECTOR 135000 0 0 0 0 0 0 0 24368 0 159368 0 0 0 FORM 990, PART VI, SECTION B, LINE 11B THE TAX RETURN AND SCHEDULES ARE GIVEN TO THE PRESIDENT TO REVIEW AFTER THEY HAVE BEEN COMPLETED. COPIES ARE THEN SENT TO THE BOARD OF DIRECTORS FOR THEIR REVIEW. ANY QUESTIONS AND COMMENTS ARE SUBMITTED BY THE BOARD TO THE PRESIDENT AND CONTROLLER. IF CHANGES ARE REQUIRED, THE REVISED RETURN IS SENT AGAIN TO THE BOARD FOR FINAL APPROVAL. FORM 990, PART VI, SECTION B, LINE 12C ALL OFFICERS AND DIRECTORS ARE MONITORED BY THE CHIEF EXECUTIVE AND CHAIRMAN REGARDING ALL SIGNIFICANT TRANSACTIONS FOR ANY CONFLICT OF INTEREST. THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS ALSO REVIEWS THESE TRANSACTIONS. FORM 990, PART VI, SECTION B, LINE 15 REPORTS FROM THE ASSOCIATION COMPENSATION AND BENEFITS STUDY BY THE ASAE ARE CREATED AND REVIEWED, WHICH CONSIDER ORGANIZATION TYPE, BUDGET, STAFF SIZE, GEOGRAPHIC SCOPE AND LOCATION. OFFICER COMPENSATION IS REVIEWED BY THE COMPENSATION COMMITTEE WHICH IS COMPRISED OF THE INDEPENDENT BOARD MEMBERS. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC WITH A WRITTEN REQUEST. COPIES ARE MADE AND MAILED TO THE INTERESTED PARTY.