2013-11-14T10:54:31-06:00 2012-12-31 420714325 MCGLADREY LLP 80 CITY SQUARE BOSTON MA 021293742 990 2012-01-01 371428113 CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INC CHAR 4132537373 100 UNIVERSITY DRIVE AMHERST MA 01002 FLORENCE LOMBARD 4132537373 2013-11-14 1 LYNNE JOHNSON P00757336 6179129000 2012 2016-02-24 21:20:13Z FLORENCE LOMBARD 100 UNIVERSITY DRIVE AMHERST MA 01002 8864348 0 X WWW.CAIA.ORG X 2002 MA ESTABLISH THE CHARTERED ALTERNATIVE INVESTMENT ANALYST DESIGNATION AS AN EDUCATIONAL STANDARD IN THE INVESTMENT INDUSTRY, PROVIDE MEMBERS WITH COMPREHENSIVE KNOWLEDGE OF ALTERNATIVE INVESTMENTS, ADVOCATE HIGH STANDARDS OF PROFESSIONAL CONDUCT, PROMOTE PROFESSIONAL DEVELOPMENT THROUGH ONGOING EDUCATION, FACILITATE COMMUNICATION AMONG INDUSTRY PROFESSIONALS. 6 6 41 60 0 0 0 0 7047137 8824384 10406 6898 0 33066 7057543 8864348 0 0 0 0 3519496 3860328 0 0 0 4885613 5434494 8405109 9294822 -1347566 -430474 6131861 6020777 3568981 4320604 2562880 1700173 X ESTABLISH THE CHARTERED ALTERNATIVE INVESTMENT ANALYST DESIGNATION AS AN EDUCATIONAL STANDARD IN THE INVESTMENT INDUSTRY, PROVIDE MEMBERS WITH COMPREHENSIVE KNOWLEDGE OF ALTERNATIVE INVESTMENTS, ADVOCATE HIGH STANDARDS OF PROFESSIONAL CONDUCT, PROMOTE PROFESSIONAL DEVELOPMENT THROUGH ONGOING EDUCATION, FACILITATE COMMUNICATION AMONG INDUSTRY PROFESSIONALS. 0 0 ADMINISTRATION OF CAIA EXAM, AWARDING THE CAIA DESIGNATION, ADVOCATING FOR HIGH PROFESSIONAL STANDARDS, AND CONTRIBUTING TO THE BODY OF KNOWLEDGE RELATED TO ALTERNATIVE INVESTING. 0 0 0 0 0 0 0 0 0 1 0 0 0 1 1 0 1 0 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 1 24 0 41 1 0 1 UK SN 0 0 0 0 X 6 6 0 0 0 0 0 0 0 1 1 0 1 1 1 0 0 0 1 1 0 X CYNTHIA COTE 4135493330 100 UNIVERSITY DRIVE AMHERST MA 01002 THOMAS SCHNEEWEIS 1.00 0.00 X 20000 0 0 ALEXANDER INEICHEN 1.00 0.00 X 0 0 0 PETER DOUGLAS 1.00 0.00 X 0 0 0 JANE BUCHAN 1.00 0.00 X 0 0 0 ANDREW BAKER 1.00 0.00 X 0 0 0 ROBERT DE RITO 1.00 0.00 X 0 0 0 FLORENCE LOMBARD 40.00 1.50 X 352118 0 16337 THOMAS PORTER 40.00 1.80 X 206412 0 25665 RUTH CAROLAN 40.00 5.00 X 82491 0 22966 HOSSEIN KAZEMI 27.00 0.50 X 188166 0 8113 KEITH BLACK 40.00 1.00 X 181729 0 24924 DONALD CHAMBERS 20.00 0.00 X 186373 0 5363 NELSON LACEY 27.00 0.50 X 147154 0 5105 ROBERT CLICHE 40.00 0.00 X 139584 0 17587 KRISTAPS LICIS 40.00 0.00 X 134224 0 21267 BHAVIN PATEL 40.00 0.00 X 106080 0 17015 1744331 0 164342 10 0 1 0 NCS PEARSON INC ONE LAKE STREET UPPER SADDLE RIVER NJ 07458 EXAM ADMINISTRATOR 710320 INSTITUTIONAL INVESTOR JOURNALS 225 PARK AVENUE SOUTH NEW YORK NY 10003 MEMBER SERVICES 489330 OPEN CIRCLE 1510 SPRUCE CT SOUTHLAKE TX 76092 IT SUPPORT 152720 3 EXAM REGISTRATION FEES 900099 5846175 5846175 MEMBERSHIP FEES 900099 1775933 1775933 ENROLLMENT FEES 900099 1032800 1032800 EVENT SPONSORSHIP 900099 90883 90883 PREPARATORY COURSE 900099 24000 24000 54593 54593 8824384 6898 6898 20618 20618 OTHER INCOME 900099 12448 12448 12448 8864348 8836832 0 27516 1360657 2088266 33672 159992 217741 88677 81900 4194 265392 87518 60881 391410 294019 210923 271453 83 284077 12049 MANAGEMENT FEE 1172372 EXAM ADMINISTRATION 1130144 MEMBER SERVICES 556810 CHAPTER SERVICES 147135 375457 9294822 1358628 1607090 3432797 3443228 18246 86756 39527 1773201 1072744 918714 700457 160834 174132 212229 6131861 6020777 526014 1079823 3040743 3237578 2224 3203 3568981 4320604 X 2562880 1700173 2562880 1700173 6131861 6020777 X -430474 -412321 -19912 X 0 1 X 1 0 610250 216627 393623 213026 144092 68934 949925 712025 237900 700457 OTHER CURRENT LIABILITIES 3203 3203 X DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: CAIA FOLLOWS FASB ASC, ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH CLARIFIES THE ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES BY PRESCRIBING THE RECOGNITION THRESHOLD A TAX POSITION IS REQUIRED TO MEET BEFORE BEING RECOGNIZED IN THE FINANCIAL STATEMENTS. IT ALSO PROVIDES GUIDANCE ON DERECOGNITION, CLASSIFICATION, INTEREST AND PENALTIES, ACCOUNTING IN INTERIM PERIODS, DISCLOSURE, AND TRANSITION. MANAGEMENT BELIEVES THAT CAIA HAS NO MATERIAL UNCERTAINTIES IN INCOME TAXES. CAIA IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS BY THE U.S., FEDERAL, STATE, OR LOCAL TAX AUTHORITIES FOR FISCAL YEARS BEFORE 2009. CAIA WILL ACCOUNT FOR INTEREST AND PENALTIES RELATED TO UNCERTAIN TAX POSITIONS, IF ANY, AS PART OF TAX EXPENSE. EAST ASIA/PACIFIC 1 3 PROGRAM SERVICES MEMBER/CANDIDATE SUPPORT 399619 EUROPE 1 3 PROGRAM SERVICES MEMBER/CANDIDATE SUPPORT 687358 NORTH AMERICA PROGRAM SERVICES MEMBER SUPPORT 22691 EUROPE PROGRAM SERVICES MEMBER SUPPORT 57578 EAST ASIA/PACIFIC PROGRAM SERVICES EXAM DELIVERY EXPENSES 144823 EUROPE PROGRAM SERVICES EXAM DELIVERY EXPENSES 193896 MIDDLE EAST & NORTH AFRICA PROGRAM SERVICES EXAM DELIVERY EXPENSES 13804 NORTH AMERICA PROGRAM SERVICES EXAM DELIVERY EXPENSES 36315 SOUTH AMERICA PROGRAM SERVICES EXAM DELIVERY SERVICES 5593 SUB-SAHARAN AFRICA PROGRAM SERVICES EXAM DELIVERY EXPENSES 11900 SOUTH ASIA PROGRAM SERVICES EXAM DELIVERY EXPENSES 14042 2 6 0 0 2 6 1556084 31535 1587619 1 0 1 0 0 1 X X X 0 0 0 FLORENCE LOMBARD 347547 0 0 0 4571 0 7500 0 8837 0 368455 0 0 0 THOMAS PORTER 193995 0 12000 0 417 0 6000 0 19665 0 232077 0 0 0 HOSSEIN KAZEMI 178500 0 9000 0 666 0 5355 0 2758 0 196279 0 0 0 KEITH BLACK 173995 0 7500 0 234 0 5400 0 19524 0 206653 0 0 0 DONALD CHAMBERS 178773 0 7600 0 0 0 5363 0 0 0 191736 0 0 0 NELSON LACEY 137700 0 9000 0 454 0 4131 0 974 0 152259 0 0 0 ROBERT CLICHE 102650 0 7200 0 29734 0 2760 0 14827 0 157171 0 0 0 KRISTAPS LICIS 128494 0 5630 0 100 0 3978 0 17289 0 155491 0 0 0 FORM 990, PART VI, SECTION B, LINE 11 THE CHIEF EXECUTIVE OFFICER WILL SEND AN ELECTRONIC COPY OF THE FORM 990 TO THE ENTIRE GOVERNING BODY FOR REVIEW AND DISCUSSION PRIOR TO FILING THE FORM. FORM 990, PART VI, SECTION B, LINE 12 CURRENTLY, THE ORGANIZATION DOES NOT HAVE A WRITTEN CONFLICT OF INTEREST POLICY. ANY CONFLICT OF INTEREST SHOULD BE DISCLOSED TO THE APPROPRIATE LEVEL. FORM 990, PART VI, SECTION B, LINE 15 A. THE BOARD OF DIRECTORS UTILIZES THE SERVICES OF OUTSIDE LEGAL COUNSEL AND COMPARABILITY DATA FROM FINANCIAL INDUSTRY METRICS TO DETERMINE THE COMPENSATION OF THE PRESIDENT/CHIEF EXECUTIVE DIRECTOR, OR TOP MANAGEMENT OFFICIALS. B. KEY EMPLOYEES SALARIES ARE SET BY THE PRESIDENT/CHIEF EXECUTIVE DIRECTOR IN CONJUNCTION WITH COMPENSATION STUDY DATA OBTAINED BY THE DIRECTOR OF HUMAN RESOURCES. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, FORM 990 AND THE FINANCIAL STATEMENTS AVAILABLE UPON REQUEST. IN ADDITION, THE FORM 990 IS AVAILABLE VIA THE GUIDESTAR WEBSITE. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: FOREIGN CURRENCY ADJUSTMENT -19,912. CAIA FOUNDATION INC 100 UNIVERSITY DRIVE AMHERST MA 01002 800615123 CHARITABLE FOUNDATION SUPPORTING ALT INVESTMENT EDUCATION & RESEARCH MA LINE 7 CHARTERED ALTERNATIVE INVESTMENT 1 CAIA UK OFFICE LIMITED NEW BRIDGE STREET HOUSE LONDON UK INDUSTRY RELATIONS UK CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INC C 27685 156584 1.00000 1 CAIA ASSOCIATION SINGAPORE OFFICE LIMITED ONE RAFFLES PLACE SINGAPORE SN INDUSTRY RELATIONS SN CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INC C 37003 92879 1.00000 1 0 0 1 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 0 CAIA ASSOCIATION SINGAPORE OFFICE LIMITED P 411948 FAIR MARKET VALUE CAIA UK OFFICE LIMITED P 511337 FAIR MARKET VALUE PART II, IDENTIFICATION OF RELATED TAX-EXEMPT ORGANIZATIONS: NAME OF RELATED ORGANIZATIONS: CAIA FOUNDATION INC. DIRECT CONTROLLING ENTITY: CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INC. PART IV, IDENTIFICATION OF RELATED ORGANIZATIONS TAXABLE AS CORP OR TRUST: NAME OF RELATED ORGANIZATION: CAIA UK OFFICE LIMITED DIRECT CONTROLLING ENTITY: CHARTERED ALTERNATIVE INVESTMENT ALANYST ASSOCIATION INC. NAME OF RELATED ORGANIZATION: CAIA ASSOCIATION SINGAPORE OFFICE LIMITED DIRECT CONTROLLING ENTITY: CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INC.