2022-11-15T14:24:37-06:00 2021-12-31 202153727 SB & COMPANY LLC 10200 GRAND CENTRAL AVENUE SUITE 250 OWINGS MILLS MD 21117 990 2021-01-01 222072345 NATIONAL ASSOCIATION OF INVESTMENT COMPANIES INC NATI 2022043001 1300 PENNSYLVANIA AVENUE NW 700 WASHINGTON DC 20004 TINA MCINTYRE SVP & CHIEF FINANCIAL OFFICER 2022043001 2022-11-15 1 TINA MCINTYRE 999009999 PAMELA GRAY P01237506 4105840060 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z TINA MCINTYRE 1300 PENNSYLVANIA AVENUE NW 700 WASHINGTON DC 20004 4386610 0 X WWW.NAICPE.COM X 1971 DC REPRESENTS THE INTERESTS OF DIVERSE-OWNED ALTERNATIVE INVESTMENT FIRMS. 16 15 7 15 0 0 3398663 3413243 670000 943010 11382 6746 16602 23611 4096647 4386610 0 0 0 0 1915568 2210626 0 0 0 1516206 1391823 3431774 3602449 664873 784161 2445833 3267045 114050 139808 2331783 3127237 TO ADVOCATE FOR AN INCREASE IN ACCESS TO CAPITAL FOR DIVERSE-OWNED ALTERNATIVE INVESTMENT FIRMS. 0 0 3062077 4379864 NAIC ADMINISTERED VARIOUS PROGRAMS AND INITIATIVES DESIGNED TO INCREASE ACCESS TO CAPITAL FOR DIVERSE ALTERNATIVE INVESTMENT FIRMS BY EDUCATING INSTITUTIONAL INVESTORS AND OTHER KEY STAKEHOLDERS ABOUT THE STELLAR EXPERTISE AND RESULTS DELIVERED BY THESE OFTEN UNDERUTILIZED, YET HIGHLY QUALIFIED ASSET MANAGERS. 3062077 0 1 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 1 0 0 1 20 0 1 7 1 0 0 0 0 0 0 0 0 X 16 15 0 0 0 0 1 1 0 1 1 0 0 0 1 1 1 1 1 1 1 0 X TINA MCINTYRE 4433946389 1300 PENNSYLVANIA AVENUE NW SUITE WASHINGTON DC 20004 JOSEPH HASLIP CHAIRMAN 5.00 X X 0 0 0 MICHAEL SMART VICE CHAIRMAN 5.00 X X 0 0 0 LLOYD METZ TREASURER 5.00 X X 0 0 0 XAVIER GUTIERREZ SECRETARY 5.00 X X 0 0 0 CHARLES WILLIS DIRECTOR 2.00 X 0 0 0 CHRIS ALLEN DIRECTOR 2.00 X 0 0 0 CRAIG FOWLER DIRECTOR 2.00 X 0 0 0 DAPHNE DUFRESNE DIRECTOR 2.00 X 0 0 0 DEREK JONES DIRECTOR 2.00 X 0 0 0 ERIC HOLOMAN DIRECTOR 2.00 X 0 0 0 JUAN SABATER DIRECTOR 2.00 X 0 0 0 KOLA OLOFINBOBA DIRECTOR 2.00 X 0 0 0 MAURA REILLY KENNEDY DIRECTOR 2.00 X 0 0 0 PHILIP LO DIRECTOR 2.00 X 0 0 0 VON HUGHES DIRECTOR 2.00 X 0 0 0 ROBERT GREENE PRESIDENT & CEO 40.00 X X 850141 0 26533 CARMEN ORTIZ-MCGHEE CHIEF OPERATING OFFICER 40.00 X 505092 0 39622 TINA MCINTYRE SVP & CHIEF FINANCIAL OFFI 40.00 X 341592 0 42759 1696825 0 108914 3 0 1 0 THE RABEN GROUP 1341 G STREET NW FLOOR 5 WASHINGTON DC 20005 CONSULTING 200000 FRUITION CONSULTING 501 W BROADWAY PLAZA A SUITE SAN DIEGO CA 92101 CONSULTING 115750 2 1307130 136113 1970000 3413243 CONFERENCE SPONSORSHIP 900099 740000 740000 PROGRAM INCOME 900099 166000 166000 CONFERENCE REGISTRATIO 900099 37010 37010 943010 6746 6746 OTHER INCOME 900099 23611 23611 23611 4386610 966621 0 6746 1805739 1534878 270861 270841 230215 40626 47907 40721 7186 86139 73218 12921 1980 1683 297 2060 1751 309 175878 149496 26382 22851 19423 3428 64679 54977 9702 21125 17955 3170 3300 2805 495 21223 18040 3183 16885 14352 2533 5825 4951 874 PROGRAMS 1039557 883623 155934 OTHER EXPENSES 16460 13989 2471 3602449 3062077 540372 0 395193 685962 820084 695433 151055 53937 1005000 1255000 15000 10000 1322 2247 127496 103609 32034 23887 25595 536952 550 3627 2445833 3267045 109050 67058 5000 72750 114050 139808 X 2056783 3127237 275000 0 2331783 3127237 2445833 3267045 784161 11293 0 X 0 0 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 15491 8132 7359 112005 95477 16528 23887 CERTIFICATE OF DEPOSIT 25659 C INVESTMENTS 511293 F 536952 X X X X X 0 0 0 ROBERT GREENE PRESIDENT & CEO 500141 0 350000 0 0 0 11600 0 14933 0 876674 0 0 0 CARMEN ORTIZ-MCGHEE CHIEF OPERATING OFFICER 325092 0 180000 0 0 0 2600 0 37022 0 544714 0 0 0 TINA MCINTYRE SVP & CHIEF FINANCIAL OFFI 221592 0 120000 0 0 0 11600 0 31159 0 384351 0 0 0 ROBERT GREENE PRESIDENT & CEO SPLIT-DOLLAR ARRANGEMENT X 325000 1255000 0 1 1 1255000 FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A ORGANIZATION HAS MEMBERS WHO MAY ELECT ONE OR MORE MEMBERS OF THE GOVERNING BODY. FORM 990, PART VI, SECTION B, LINE 11B THE TREASURER WORKS WITH THE CFO TO ENSURE THE ACCURATE AND COMPREHENSIVE COMPLETION OF THE FORM 990. THE EXECUTIVE COMMITTEE OF THE BOD, OR A MEMBER OF THE EXECUTIVE COMMITTEE, AND/OR THE CFO, REVIEWS THE FORM 990 PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE CONFLICT OF INTEREST POLICY APPLIES TO THE PRESIDENT & CEO AND THE BOARD OF DIRECTORS (BOD). DETERMINATION OF WHETHER A CONFLICT OF INTEREST EXISTS OCCURS AT THE EXECUTIVE COMMITTEE LEVEL. ACTUAL CONFLICTS OF INTERESTS ARE REVIEWED FIRST AT THE EXECUTIVE COMMITTEE LEVEL, THEN BY THE ENTIRE BOARD OF DIRECTORS. ONCE A PERSON IS DETERMINED TO HAVE A CONFLICT OF INTEREST, THE EXECUTIVE COMMITTEE OF THE BOD WILL NOTIFY THAT PERSON IN QUESTION IN WRITING OF ITS CONFLICT OF INTEREST FINDING(S). THE EXECUTIVE COMMITTEE WILL THEN CONVENE A SPECIAL MEETING WITH THE PARTY IN QUESTION TO DISCUSS THE MATTER AND TO GIVE THE PERSON THE OPPORTUNITY TO RESPOND TO THE CONFLICT OF INTEREST ALLEGATION BOTH VERBALLY AND IN WRITING. THE CHAIRMAN OF THE BOD WILL THEN CONVENE A SPECIAL MEETING OF THE ENTIRE BOD TO SHARE THE EXECUTIVE COMMITTEE'S FINDINGS AND THE MINUTES FROM THE IN-PERSON MEETING WITH THE PERSON IN QUESTION AS WELL AS THE PERSON IN QUESTION'S WRITTEN RESPONSE TO THE CONFLICT OF INTEREST ALLEGATION. THE BOD WILL DELIBERATE, THEN DETERMINE WHAT PENALTIES AND RESTRICTIONS WILL BE APPLIED TO THE PERSON IN QUESTION. THE PERSON IN QUESTION WILL NOT PARTICIPATE IN ANY BOD MEETINGS THAT ARE CONVENED TO DISCUSS THEIR RESPECTIVE CONFLICT OF INTEREST ISSUE. FORM 990, PART VI, SECTION B, LINE 15 EXECUTIVE COMMITTEE REVIEWS SALARY PACKAGES OF DIRECTORS, OFFICERS AND KEY EMPLOYEES ONCE A YEAR. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES COPIES OF ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. COMMUNITAS CAPITAL 1300 PENNSYLVANIA AVENUE NW SUITE 7 WASHINGTON DC 20004 463378618 FACILITATES THE INVESTMENT IN OPERATING COMPANIES LOCATED IN LOW-INCOME COMM DE NATIONAL ASSOCIATION OF INVESTMENT COMPANIES INC N/A 0 0 0.99990 NAIC MANAGEMENT GROUP INC 1300 PENNSYLVANIA AVENUE NW SUITE 7 WASHINGTON DC 20004 521846750 FACILITATES THE ESTABLISHMENT OF EQUITY AND DEBT FINANCING VEHICLES. DE NATIONAL ASSOCIATION OF INVESTMENT COMPANIES INC C 1.00000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0