CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INC: Form 990, tax year 2011
View the entire original 990 at ProPublica ↗
- Organization
- CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INC (EIN 37-1428113)
- Tax period
- 2011-01-01 to 2011-12-31
- Filed
- 2012-11-13
- IRS object ID
- 201223189349303302
- Schema version
- 2011v1.2
- Source
- Download XML · Original 990 at ProPublica
Every field in the e-filed return. Faint text is the IRS element name, for citing.
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Timestamp | 2012-11-13T14:03:21-06:00 | Timestamp |
| Tax Period End Date | 2011-12-31 | TaxPeriodEndDate |
Preparer Firm PreparerFirm
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 042944648 | EIN |
Preparer Firm Business Name PreparerFirmBusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | ROMANO PASCUCCI & CO PC | BusinessNameLine1 |
Preparer Firm US Address PreparerFirmUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 78 MAIN ST | AddressLine1 |
| City | NORTHAMPTON | City |
| State | MA | State |
| ZIP Code | 01060 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990 | ReturnType |
| Tax Period Begin Date | 2011-01-01 | TaxPeriodBeginDate |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 371428113 | EIN |
Name Name
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | CHARTERED ALTERNATIVE INVESTMENT | BusinessNameLine1 |
| Business Name Line2 | ANALYST ASSOCIATION INC | BusinessNameLine2 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Control | CHAR | NameControl |
| Phone | 4132537373 | Phone |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 100 UNIVERSITY DRIVE | AddressLine1 |
| City | AMHERST | City |
| State | MA | State |
| ZIP Code | 01002 | ZIPCode |
Officer Officer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | THOMAS PORTER | Name |
| Title | TREASURER | Title |
| Phone | 4132537373 | Phone |
| Date Signed | 2012-11-12 | DateSigned |
| Authorize Third Party | 1 | AuthorizeThirdParty |
Preparer Preparer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | DAVID E PASCUCCI | Name |
| PTIN | P01210688 | PTIN |
| Phone | 4135860990 | Phone |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax Year | 2011 | TaxYear |
| Build TS | 2016-02-24 21:20:13Z | BuildTS |
Form 990 IRS990
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Of Principal Officer Person | THOMAS PORTER | NameOfPrincipalOfficerPerson |
Address Principal Officer US AddressPrincipalOfficerUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 100 UNIVERSITY DRIVE | AddressLine1 |
| City | AMHERST | City |
| State | MA | State |
| ZIP Code | 01002 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Gross Receipts | 7057543 | GrossReceipts |
| Group Return For Affiliates | 0 | GroupReturnForAffiliates |
| Organization501c | X | Organization501c |
| Web Site | WWW.CAIA.ORG | WebSite |
| Type Of Organization Corporation | X | TypeOfOrganizationCorporation |
| Year Formation | 2002 | YearFormation |
| State Legal Domicile | MA | StateLegalDomicile |
| Activity Or Mission Description | 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. | ActivityOrMissionDescription |
| Nbr Voting Members Governing Body | 6 | NbrVotingMembersGoverningBody |
| Nbr Independent Voting Members | 6 | NbrIndependentVotingMembers |
| Total Nbr Employees | 42 | TotalNbrEmployees |
| Total Nbr Volunteers | 60 | TotalNbrVolunteers |
| Total Gross UBI | 0 | TotalGrossUBI |
| Net Unrelated Business Txbl Income | 0 | NetUnrelatedBusinessTxblIncome |
| Contributions Grants Prior Year | 0 | ContributionsGrantsPriorYear |
| Contributions Grants Current Year | 0 | ContributionsGrantsCurrentYear |
| Program Service Revenue Prior Year | 6221686 | ProgramServiceRevenuePriorYear |
| Program Service Revenue CY | 7047137 | ProgramServiceRevenueCY |
| Investment Income Prior Year | 10205 | InvestmentIncomePriorYear |
| Investment Income Current Year | 10406 | InvestmentIncomeCurrentYear |
| Other Revenue Prior Year | 186217 | OtherRevenuePriorYear |
| Other Revenue Current Year | 0 | OtherRevenueCurrentYear |
| Total Revenue Prior Year | 6418108 | TotalRevenuePriorYear |
| Total Revenue Current Year | 7057543 | TotalRevenueCurrentYear |
| Grants And Similar Amnts Prior Year | 0 | GrantsAndSimilarAmntsPriorYear |
| Grants And Similar Amnts CY | 0 | GrantsAndSimilarAmntsCY |
| Benefits Paid To Members Prior Year | 0 | BenefitsPaidToMembersPriorYear |
| Benefits Paid To Members CY | 0 | BenefitsPaidToMembersCY |
| Salaries Etc Prior Year | 2986811 | SalariesEtcPriorYear |
| Salaries Etc Current Year | 3519496 | SalariesEtcCurrentYear |
| Total Prof Fundrsng Exp Prior Year | 0 | TotalProfFundrsngExpPriorYear |
| Total Prof Fundrsng Exp CY | 0 | TotalProfFundrsngExpCY |
| Total Fundrsng Exp Current Year | 0 | TotalFundrsngExpCurrentYear |
| Other Expense Prior Year | 4230856 | OtherExpensePriorYear |
| Other Expenses Current Year | 4885613 | OtherExpensesCurrentYear |
| Total Expenses Prior Year | 7217667 | TotalExpensesPriorYear |
| Total Expenses Current Year | 8405109 | TotalExpensesCurrentYear |
| Revenues Less Expenses Prior Year | -799559 | RevenuesLessExpensesPriorYear |
| Revenues Less Expenses CY | -1347566 | RevenuesLessExpensesCY |
| Total Assets BOY | 6683447 | TotalAssetsBOY |
| Total Assets EOY | 6131861 | TotalAssetsEOY |
| Total Liabilities BOY | 2798857 | TotalLiabilitiesBOY |
| Total Liabilities EOY | 3568981 | TotalLiabilitiesEOY |
| Net Assets Or Fund Balances BOY | 3884590 | NetAssetsOrFundBalancesBOY |
| Net Assets Or Fund Balances EOY | 2562880 | NetAssetsOrFundBalancesEOY |
| Info In Schedule O Part III | X | InfoInScheduleOPartIII |
| Mission Description | 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. | MissionDescription |
| Significant New Program Services | 0 | SignificantNewProgramServices |
| Significant Change | 0 | SignificantChange |
| Description | ADMINISTRATION OF CAIA EXAM, AWARDING THE CAIA DESIGNATION, ADVOCATING FOR HIGH PROFESSIONAL STANDARDS, AND CONTRIBUTING TO THE BODY OF KNOWLEDGE RELATED TO ALTERNATIVE INVESTING. | Description |
Activity Other ActivityOther
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | ADMINISTRATION OF CAIA EXAM, AWARDING THE CAIA DESIGNATION, ADVOCATING FOR HIGH PROFESSIONAL STANDARDS, AND CONTRIBUTING TO THE BODY OF KNOWLEDGE RELATED TO ALTERNATIVE INVESTING. | Description |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Described In501 C3 | 0 | DescribedIn501C3 |
| Schedule B Required | 0 | ScheduleBRequired |
| Political Activities | 0 | PoliticalActivities |
| Subject To Proxy Tax | 0 | SubjectToProxyTax |
| Donor Advised Funds | 0 | DonorAdvisedFunds |
| Conservation Easements | 0 | ConservationEasements |
| Collections Of Art | 0 | CollectionsOfArt |
| Credit Counseling | 0 | CreditCounseling |
| Term Or Permanent Endowments | 0 | TermOrPermanentEndowments |
| Report Land Bldg Equip | 1 | ReportLandBldgEquip |
| Report Invest Oth Securities | 0 | ReportInvestOthSecurities |
| Report Prog Rel Invest | 0 | ReportProgRelInvest |
| Report Other Assets | 0 | ReportOtherAssets |
| Report Other Liabilities | 1 | ReportOtherLiabilities |
| Report Fin48 Footnote | 1 | ReportFin48Footnote |
| Independent Audit Financial Stmt | 0 | IndependentAuditFinancialStmt |
| Consolidated Audit Financial Stmt | 1 | ConsolidatedAuditFinancialStmt |
| School | 0 | School |
| Foreign Office | 1 | ForeignOffice |
| Foreign Activities | 1 | ForeignActivities |
| More Than5000 K To Organizations | 0 | MoreThan5000KToOrganizations |
| More Than5000 K To Individuals | 0 | MoreThan5000KToIndividuals |
| Professional Fundraising | 0 | ProfessionalFundraising |
| Fundraising Activities | 0 | FundraisingActivities |
| Gaming | 0 | Gaming |
| Hospital | 0 | Hospital |
| Grants To Organizations | 0 | GrantsToOrganizations |
| Grants To Individuals | 0 | GrantsToIndividuals |
| Schedule J Required | 1 | ScheduleJRequired |
| Tax Exempt Bonds | 0 | TaxExemptBonds |
| Loan To Officer Or DQP | 0 | LoanToOfficerOrDQP |
| Grant To Related Person | 0 | GrantToRelatedPerson |
| Bsnss Rltnshp With Organization | 0 | BsnssRltnshpWithOrganization |
| Bsnss Rltnshp Thru Family Member | 0 | BsnssRltnshpThruFamilyMember |
| Officer Entity With Bsnss Rltnshp | 0 | OfficerEntityWithBsnssRltnshp |
| Deductible Non Cash Contributions | 0 | DeductibleNonCashContributions |
| Deductible Contributions Of Art | 0 | DeductibleContributionsOfArt |
| Terminated | 0 | Terminated |
| Partial Liquidation | 0 | PartialLiquidation |
| Disregarded Entity | 0 | DisregardedEntity |
| Related Entity | 1 | RelatedEntity |
| Related Org Controlled Entity | 1 | RelatedOrgControlledEntity |
| Transaction Related Entity | 1 | TransactionRelatedEntity |
| Activities Conducted Partnership | 0 | ActivitiesConductedPartnership |
| Schedule O Required | 1 | ScheduleORequired |
| Number Forms Transmitted With1096 | 17 | NumberFormsTransmittedWith1096 |
| Number W2 G Included | 0 | NumberW2GIncluded |
| Compliance With Backup Witholding | 0 | ComplianceWithBackupWitholding |
| Number Of Employees | 42 | NumberOfEmployees |
| Employment Tax Returns Filed | 1 | EmploymentTaxReturnsFiled |
| Unrelated Business Income | 0 | UnrelatedBusinessIncome |
| Foreign Financial Account | 1 | ForeignFinancialAccount |
| Name Of Foreign Country | UK | NameOfForeignCountry |
| Name Of Foreign Country | SN | NameOfForeignCountry |
| Prohibited Tax Shelter Trans | 0 | ProhibitedTaxShelterTrans |
| Taxable Party Notification | 0 | TaxablePartyNotification |
| Non Deductible Contributions | 0 | NonDeductibleContributions |
| Indoor Tanning Services | 0 | IndoorTanningServices |
| Info In Schedule O Part VI | X | InfoInScheduleOPartVI |
| Nbr Voting Governing Body Members | 6 | NbrVotingGoverningBodyMembers |
| Number Independent Voting Members | 6 | NumberIndependentVotingMembers |
| Family Or Business Relationship | 0 | FamilyOrBusinessRelationship |
| Delegation Of Management Duties | 0 | DelegationOfManagementDuties |
| Changes To Organizing Docs | 0 | ChangesToOrganizingDocs |
| Material Diversion Or Misuse | 0 | MaterialDiversionOrMisuse |
| Members Or Stockholders | 0 | MembersOrStockholders |
| Election Of Board Members | 0 | ElectionOfBoardMembers |
| Decisions Subject To Approval | 0 | DecisionsSubjectToApproval |
| Minutes Of Governing Body | 1 | MinutesOfGoverningBody |
| Minutes Of Committees | 1 | MinutesOfCommittees |
| Officer Mailing Address | 0 | OfficerMailingAddress |
| Local Chapters | 1 | LocalChapters |
| Policies Reference Chapters | 1 | PoliciesReferenceChapters |
| Form990 Provided To Governing Body | 0 | Form990ProvidedToGoverningBody |
| Conflict Of Interest Policy | 1 | ConflictOfInterestPolicy |
| Annual Disclosure Covered Persons | 1 | AnnualDisclosureCoveredPersons |
| Regular Monitoring Enforcement | 1 | RegularMonitoringEnforcement |
| Whistleblower Policy | 0 | WhistleblowerPolicy |
| Document Retention Policy | 0 | DocumentRetentionPolicy |
| Compensation Process CEO | 1 | CompensationProcessCEO |
| Compensation Process Other | 1 | CompensationProcessOther |
| Investment In Joint Venture | 0 | InvestmentInJointVenture |
| Upon Request | X | UponRequest |
The Books Are In Care Of TheBooksAreInCareOf
Name Business NameBusiness
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | THOMAS PORTER | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Telephone Number | 4132537373 | TelephoneNumber |
Address US AddressUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 100 UNIVERSITY DRIVE | AddressLine1 |
| City | AMHERST | City |
| State | MA | State |
| ZIP Code | 01002 | ZIPCode |
Form990 Part VII Section A Form990PartVIISectionA (16 entries)
| TitleTitle | Average Hours Per WeekAverageHoursPerWeek | Individual Trustee Or DirectorIndividualTrusteeOrDirector | Reportable Comp From OrganizationReportableCompFromOrganization | Reportable Comp From Related OrgsReportableCompFromRelatedOrgs | Other CompensationOtherCompensation | OfficerOfficer | Key EmployeeKeyEmployee | Highest Compensated EmployeeHighestCompensatedEmployee | FormerFormer |
|---|---|---|---|---|---|---|---|---|---|
| THOMAS SCHNEEWEIS | |||||||||
| DIRECTOR | 1.00 | X | 20000 | 0 | 0 | ||||
| ALEXANDER INEICHEN | |||||||||
| DIRECTOR | 1.00 | X | 20000 | 0 | 0 | ||||
| PETER DOUGLAS | |||||||||
| DIRECTOR | 1.00 | X | 20000 | 0 | 0 | ||||
| JANE BUCHAN | |||||||||
| DIRECTOR | 1.00 | X | 20000 | 0 | 0 | ||||
| ANDREW BAKER | |||||||||
| DIRECTOR | 1.00 | X | 0 | 0 | 0 | ||||
| ROBERT DERITO | |||||||||
| DIRECTOR | 1.00 | X | 0 | 0 | 0 | ||||
| FLORENCE LOMBARD | |||||||||
| PRESIDENT & CEO | 40.00 | 344479 | 0 | 14823 | X | ||||
| THOMAS PORTER | |||||||||
| TREASURER | 40.00 | 203294 | 0 | 12152 | X | ||||
| RUTH CAROLAN | |||||||||
| SECRETARY | 40.00 | 76336 | 0 | 14558 | X | ||||
| ROBERT CLICHE | |||||||||
| DIRECTOR GBD, AMRS | 40.00 | 168347 | 0 | 19268 | X | ||||
| HOSSEIN KAZEMI | |||||||||
| PROG DIRECTOR | 27.00 | 183683 | 0 | 6769 | X | ||||
| KEITH BLACK | |||||||||
| ASSOC DIR OF CIRRICULUM | 40.00 | 168225 | 0 | 19379 | X | ||||
| NELSON LACEY | |||||||||
| DIR. OF EXAMS | 27.00 | 141298 | 0 | 4129 | X | ||||
| DONALD CHAMBERS | |||||||||
| ASSOC DIR OF CIRRICULUM | 40.00 | 137327 | 0 | 4030 | X | ||||
| KRISTAPS LICIS | |||||||||
| SR. ASSOC DIRECTOR OF EXAMS | 40.00 | 132279 | 0 | 16146 | X | ||||
| EDWARD ASCHE | |||||||||
| DIRECTOR | 1.00 | 27308 | 0 | 0 | X | ||||
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Reportable Comp From Org | 1662576 | TotalReportableCompFromOrg |
| Total Reportable Comp Frm Rltd Orgs | 0 | TotalReportableCompFrmRltdOrgs |
| Total Other Compensation | 111254 | TotalOtherCompensation |
| Number Individuals GT100 K | 8 | NumberIndividualsGT100K |
| Formers Listed | 1 | FormersListed |
| Total Comp GT150 K | 1 | TotalCompGT150K |
| Compensation From Other Sources | 0 | CompensationFromOtherSources |
Contractor Compensation ContractorCompensation (4 entries)
| Address Line1AddressOfContractor/AddressUS/AddressLine1 | CityAddressOfContractor/AddressUS/City | StateAddressOfContractor/AddressUS/State | ZIP CodeAddressOfContractor/AddressUS/ZIPCode | Description Of ServicesDescriptionOfServices | CompensationCompensation |
|---|---|---|---|---|---|
| NCS PEARSON INC | |||||
| ONE LAKE STREET | UPPER SADDLE RIVER | NJ | 07458 | EXAM ADMINISTRATOR | 669864 |
| INSTITUTIONAL INVESTOR | |||||
| 225 PARK AVENUE SOUTH | NEW YORK | NY | 10003 | MEMBER SERVICES | 542302 |
| OPEN CIRCLE | |||||
| 775 E BLITHEDALE SUITE 184 | MILL VALLEY | CA | 94941 | IT | 162187 |
| TRINITY COMMUNICATIONS | |||||
| 180 CANAL STREET | BOSTON | MA | 02114 | IT | 116698 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Number Of Contractors GT100 K | 4 | NumberOfContractorsGT100K |
Program Service Revenue ProgramServiceRevenue (3 entries)
| DescriptionDescription | Business CodeBusinessCode | Total Revenue ColumnTotalRevenueColumn | Related Or Exempt Function IncomeRelatedOrExemptFunctionIncome |
|---|---|---|---|
| EXAM FEES INCOME | 900099 | 5744160 | 5744160 |
| MEMBERSHIPS | 900099 | 1217721 | 1217721 |
| OTHER | 900099 | 85256 | 85256 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Program Service Revenue | 7047137 | TotalProgramServiceRevenue |
Investment Income InvestmentIncome
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 10406 | TotalRevenueColumn |
| Exclusion | $10,406 | ExclusionAmount |
Total Revenue TotalRevenue
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Revenue Column | 7057543 | TotalRevenueColumn |
| Related Or Exempt Function Income | 7047137 | RelatedOrExemptFunctionIncome |
| Unrelated Business Revenue | 0 | UnrelatedBusinessRevenue |
| Exclusion | $10,406 | ExclusionAmount |
Comp Current Officers Directors CompCurrentOfficersDirectors
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 1662576 | Total |
Other Salaries And Wages OtherSalariesAndWages
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 1347301 | Total |
Pension Plan Contributions PensionPlanContributions
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 84790 | Total |
Other Employee Benefits OtherEmployeeBenefits
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 226382 | Total |
Payroll Taxes PayrollTaxes
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 198447 | Total |
Fees For Services Legal FeesForServicesLegal
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 103006 | Total |
Fees For Services Accounting FeesForServicesAccounting
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 32050 | Total |
Advertising Advertising
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 324817 | Total |
Office Expenses OfficeExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 47792 | Total |
Information Technology InformationTechnology
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 282058 | Total |
Occupancy Occupancy
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 232064 | Total |
Travel Travel
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 252762 | Total |
Depreciation Depletion DepreciationDepletion
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 288028 | Total |
Insurance Insurance
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 22852 | Total |
Other Expenses OtherExpenses (4 entries)
| DescriptionDescription | TotalTotal |
|---|---|
| MANAGEMENT FEES | 817191 |
| MEMBER SERVICES | 766731 |
| EXAM ADMINISTRATION FEE | 717918 |
| INDUSTRY RELATION AND O | 396256 |
All Other Expenses AllOtherExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 602088 | Total |
Total Functional Expenses TotalFunctionalExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 8405109 | Total |
Cash Non Interest Bearing CashNonInterestBearing
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 991841 | BOY |
| EOY | 1358628 | EOY |
Savings And Temp Cash Investments SavingsAndTempCashInvestments
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 4119087 | BOY |
| EOY | 3432797 | EOY |
Accounts Receivable AccountsReceivable
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 0 | EOY |
Receivables From Officers Etc ReceivablesFromOfficersEtc
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
Prepaid Expenses Deferred Charges PrepaidExpensesDeferredCharges
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 169595 | BOY |
| EOY | 86756 | EOY |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Land Buildings Equipment Basis | 1707380 | LandBuildingsEquipmentBasis |
| Land Bldg Equipment Accum Deprec | 788666 | LandBldgEquipmentAccumDeprec |
Land Buildings Equipment Basis Net LandBuildingsEquipmentBasisNet
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 1136885 | BOY |
| EOY | 918714 | EOY |
Intangible Assets IntangibleAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 160834 | BOY |
| EOY | 160834 | EOY |
Other Assets Total OtherAssetsTotal
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 105205 | BOY |
| EOY | 174132 | EOY |
Total Assets TotalAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 6683447 | BOY |
| EOY | 6131861 | EOY |
Accounts Payable Accrued Expenses AccountsPayableAccruedExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 315621 | BOY |
| EOY | 526014 | EOY |
Deferred Revenue DeferredRevenue
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 2433236 | BOY |
| EOY | 3040743 | EOY |
Unsecured Notes Loans Payable UnsecuredNotesLoansPayable
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 50000 | BOY |
Other Liabilities OtherLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 0 | BOY |
| EOY | 2224 | EOY |
Total Liabilities TotalLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 2798857 | BOY |
| EOY | 3568981 | EOY |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Follow SFAS117 | X | FollowSFAS117 |
Unrestricted Net Assets UnrestrictedNetAssets
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 3884590 | BOY |
| EOY | 2562880 | EOY |
Total Net Assets Fund Balances TotalNetAssetsFundBalances
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 3884590 | BOY |
| EOY | 2562880 | EOY |
Total Liab Net Assets Fund Balances TotalLiabNetAssetsFundBalances
| Field | Value | IRS element (for citing) |
|---|---|---|
| BOY | 6683447 | BOY |
| EOY | 6131861 | EOY |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Info In Schedule O Part XI | X | InfoInScheduleOPartXI |
| Reconcilation Revenue Expenses | -1347566 | ReconcilationRevenueExpenses |
| Reconcilation Other Changes | 25856 | ReconcilationOtherChanges |
| Info In Schedule O Part XII | X | InfoInScheduleOPartXII |
| Method Of Accounting Accrual | X | MethodOfAccountingAccrual |
| Accountant Compile Or Review | 0 | AccountantCompileOrReview |
| FS Audited | 1 | FSAudited |
| Audit Committee | 1 | AuditCommittee |
| Financial Statement Consolidated | X | FinancialStatementConsolidated |
| Federal Grant Audit Required | 0 | FederalGrantAuditRequired |
Schedule D IRS990ScheduleD
Leasehold Improvements LeaseholdImprovements
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | 607550 | OtherCostOrOtherBasis |
| Depreciation | 161087 | Depreciation |
| Book Value | 446463 | BookValue |
Equipment Equipment
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | 193570 | OtherCostOrOtherBasis |
| Depreciation | 118537 | Depreciation |
| Book Value | 75033 | BookValue |
Other Land Buildings OtherLandBuildings
| Field | Value | IRS element (for citing) |
|---|---|---|
| Other Cost Or Other Basis | 906260 | OtherCostOrOtherBasis |
| Depreciation | 509042 | Depreciation |
| Book Value | 397218 | BookValue |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Of Book Value Land Buildings | 918714 | TotalOfBookValueLandBuildings |
Other Liabilities OtherLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | OTHER | Description |
| Amount | $2,224 | Amount |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Of Amounts | 2224 | TotalOfAmounts |
| Total Revenue | 7057543 | TotalRevenue |
| Total Expenses | 8405109 | TotalExpenses |
| Excess Or Deficit For Year | -1347566 | ExcessOrDeficitForYear |
| Other | $25,856 | OtherAmount |
| Total Adjustments | 25856 | TotalAdjustments |
| Excess Or Deficit Per FS | -1321710 | ExcessOrDeficitPerFS |
| Tot Revenue Etc Audited Fincl Stmt | 7057543 | TotRevenueEtcAuditedFinclStmt |
| Revenue Not Rptd F990 | 0 | RevenueNotRptdF990 |
| Revenue Subtotal | 7057543 | RevenueSubtotal |
| Revenue Not Rptd On Fin Stmt | 0 | RevenueNotRptdOnFinStmt |
| Total Revenue Per Form990 | 7057543 | TotalRevenuePerForm990 |
| Tot Expenses Etc Audited Fincl Stmt | 8405109 | TotExpensesEtcAuditedFinclStmt |
| Expenses Not Rptd F990 | 0 | ExpensesNotRptdF990 |
| Expenses Subtotal | 8405109 | ExpensesSubtotal |
| Expenses Not Rptd On Fin Stmt | 0 | ExpensesNotRptdOnFinStmt |
| Total Expenses Per Form990 | 8405109 | TotalExpensesPerForm990 |
Form990 Schedule D Part XIV Form990ScheduleDPartXIV (2 entries)
| IdentifierIdentifier | Return ReferenceReturnReference | ExplanationExplanation |
|---|---|---|
| DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: | PART X: | CHARTERED ALTERNATIVE ANALYST ASSOCIATION, INC. IS A TAX-EXEMPT PROFESSIONAL ASSOCIATION FOR FEDERAL TAX PURPOSES UNDER 501(C)(6) OF THE INTERNAL REVENUE CODE. THEREFORE NO PROVISION FOR UNITED STATES INCOME TAXES HAS BEEN MADE IN THE FINANCIAL STATEMENTS. ENTITIES INCLUDED IN THE CONSOLIDATED FINANCIAL STATEMENTS OPERATING OUTSIDE THE UNITED STATES ARE SUBJECT TO INCOME TAXES PURSUANT TO TAX LAWS AND REGULATIONS WITHIN THE JURISDICTIONS OF OPERATIONS. WHERE APPLICABLE, INCOME TAXES ARE PROVIDED BASED ON INCOME REPORTED IN THE FINANCIAL STATEMENT, ADJUSTED FOR PERMANENT DIFFERENCES BETWEEN FINANCIAL STATEMENT AND TAXABLE INCOME. THERE ARE NO SIGNIFICANT TEMPORARY DIFFERENCES BETWEEN FINANCIAL STATEMENT AND TAXABLE INCOME. ACCORDINGLY, THERE IS NO DEFERRED TAX PROVISION. FURTHER, THERE IS NO MATERAIL FINANCIAL STATEMENT IMPACT RESULTING FROM INCOME TAX RETURN POSITION AS DEFINED IN FASB ASC TOPIC 740-10-25-5. |
| PART XI, LINE 8 - OTHER ADJUSTMENTS: | TRANSFER OF ASSETS FROM UK ENTITY 25,856. |
Schedule F IRS990ScheduleF
Accts Actvs Out US Table AcctsActvsOutUSTable (8 entries)
| RegionRegion | Number Of OfficesNumberOfOffices | Number Of EmployeesNumberOfEmployees | Type Of Activities ConductedTypeOfActivitiesConducted | Specific Services ProvidedSpecificServicesProvided | Total ExpendituresTotalExpenditures |
|---|---|---|---|---|---|
| EUROPE | 1 | 1 | REGIONAL INDUSTRY OUTREAC | INDUSTRY RELATIONS | 501096 |
| EAST ASIA & PACIFIC | 1 | 1 | REGIONAL INDUSTRY OUTREAC | INDUSTRY RELATIONS | 296643 |
| EAST ASIA & PACIFIC | 0 | 0 | EXAM DELIVERY FEES | EXAM DELIVERY FEES | 136671 |
| EUROPE | 0 | 0 | EXAM DELIVERY FEES | EXAM DELIVERY FEES | 193346 |
| MIDDLE EAST & NORTH AFRICA | 0 | 0 | EXAM DELIVERY FEES | EXAM DELIVERY FEES | 11556 |
| NORTH AMERICA | 0 | 0 | EXAM DELIVERY FEES | EXAM DELIVERY FEES | 32081 |
| SUB-SAHARAN AFRICA | 0 | 0 | EXAM DELIVERY FEES | EXAM DELIVERY FEES | 11235 |
| SOUTH ASIA | 0 | 0 | EXAM DELIVERY FEES | EXAM DELIVERY FEES | 16646 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Subtotal Number Of Offices | 2 | SubtotalNumberOfOffices |
| Subtotal Number Of Employees | 2 | SubtotalNumberOfEmployees |
| Cont Number Of Offices | 0 | ContNumberOfOffices |
| Cont Number Of Employees | 0 | ContNumberOfEmployees |
| Total Number Of Offices | 2 | TotalNumberOfOffices |
| Total Number Of Employees | 2 | TotalNumberOfEmployees |
| Subtotal Amount Spent | 1199274 | SubtotalAmountSpent |
| Cont Amount Spent | 0 | ContAmountSpent |
| Total Amount Spent | 1199274 | TotalAmountSpent |
| Transfer To Foreign Corp | 1 | TransferToForeignCorp |
| Interest In Foreign Trust | 0 | InterestInForeignTrust |
| Own Foreign Corp | 1 | OwnForeignCorp |
| Passive Foreign Invest Co | 0 | PassiveForeignInvestCo |
| Foreign Partnership | 0 | ForeignPartnership |
| Boycott Countries | 1 | BoycottCountries |
Schedule J IRS990ScheduleJ
| Field | Value | IRS element (for citing) |
|---|---|---|
| Independent Consultant | X | IndependentConsultant |
| Compensation Survey | X | CompensationSurvey |
| Board Or Committee Approval | X | BoardOrCommitteeApproval |
| Severance Payment | 0 | SeverancePayment |
| Supplemental Nonqual Retire Plan | 0 | SupplementalNonqualRetirePlan |
| Equity Based Comp Arrangement | 0 | EquityBasedCompArrangement |
Form990 Schedule J Part II Form990ScheduleJPartII (6 entries)
| Base Compensation Filing OrgBaseCompensationFilingOrg | Comp Based On Related OrgsCompBasedOnRelatedOrgs | Bonus Filing OrgBonusFilingOrg | Bonus Related OrgsBonusRelatedOrgs | Other Compensation Filing OrgOtherCompensationFilingOrg | Other Compensation Related OrgsOtherCompensationRelatedOrgs | Deferred Comp Filing OrgDeferredCompFilingOrg | Deferred Comp Related OrgsDeferredCompRelatedOrgs | Nontaxable Benefits Filing OrgNontaxableBenefitsFilingOrg | Nontaxable Benefits Related OrgsNontaxableBenefitsRelatedOrgs | Total Compensation Filing OrgTotalCompensationFilingOrg | Total Compensation Related OrgsTotalCompensationRelatedOrgs | Comp Report Prior990 Filing OrgCompReportPrior990FilingOrg | Comp Report Prior990 Related OrgsCompReportPrior990RelatedOrgs |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| FLORENCE LOMBARD | |||||||||||||
| 344479 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 14823 | 0 | 359302 | 0 | 0 | 0 |
| THOMAS PORTER | |||||||||||||
| 203294 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 12152 | 0 | 215446 | 0 | 0 | 0 |
| ROBERT CLICHE | |||||||||||||
| 168347 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 19268 | 0 | 187615 | 0 | 0 | 0 |
| HOSSEIN KAZEMI | |||||||||||||
| 183683 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 6769 | 0 | 190452 | 0 | 0 | 0 |
| KEITH BLACK | |||||||||||||
| 168225 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 19379 | 0 | 187604 | 0 | 0 | 0 |
| EDWARD ASCHE | |||||||||||||
| 12308 | 0 | 0 | 0 | 15000 | 0 | 0 | 0 | 0 | 0 | 27308 | 0 | 0 | 0 |
Schedule O IRS990ScheduleO
General Explanation GeneralExplanation (6 entries)
| Return ReferenceReturnReference | ExplanationExplanation | IdentifierIdentifier |
|---|---|---|
| FORM 990, PART VI, SECTION B, LINE 11 | TAX RETURN REVIEWED BY CONTROLLER AND TREASURER PRIOR TO FILING. | |
| FORM 990, PART VI, SECTION B, LINE 12C | 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 ORGANIZATION'S CEO, EXECUTIVE DIRECTOR, OR TOP MANAGEMENT OFFICIALS. B. KEY EMPLOYEES SALARIES ARE SET BY THE PRESIDENT/EXECUTIVE DIRECTOR IN CONJUNCTION WITH COMPENSATION STUDY DATA OBTAINED BY THE DIRECTOR OF HUMAN RESOURCES. | |
| FORM 990, PART VI, SECTION C, LINE 19 | AVAILABLE UPON REQUEST. | |
| FORM 990, PART XI, LINE 5: | TRANSFER OF ASSETS FROM UK ENTITY 25,856. TOTAL TO FORM 990, PART XI, LINE 5: 25,856. | CHANGES IN NET ASSETS OR FUND BALANCES: |
| BOARD OF DIRECTORS. |
Schedule R IRS990ScheduleR
Form990 Schedule R Part II Form990ScheduleRPartII
Name Of Disregarded Entity NameOfDisregardedEntity
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | CAIA FOUNDATION INC | BusinessNameLine1 |
Address US AddressUS
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 100 UNIVERSITY DRIVE | AddressLine1 |
| City | AMHERST | City |
| State | MA | State |
| ZIP Code | 01002 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 800615123 | EIN |
| Primary Activities | CHARITABLE FOUNDATION SUPPORTING ALT INVESTMENT EDUCATION & RESEARCH | PrimaryActivities |
| Legal Domicile State | MA | LegalDomicileState |
| Exempt Code Section | 501(C)(3) | ExemptCodeSection |
| Public Charity Status | LINE 7 | PublicCharityStatus |
Direct Controlling Entity Name DirectControllingEntityName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INC | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Controlled Org | 1 | ControlledOrg |
Form990 Schedule R Part IV Form990ScheduleRPartIV (2 entries)
| Address Line1AddressForeign/AddressLine1 | CityAddressForeign/City | CountryAddressForeign/Country | Primary ActivityPrimaryActivity | Legal Domicile Foreign CountryLegalDomicileForeignCountry | Business Name Line1DirectControllingEntityName/BusinessNameLine1 | Type Of EntityTypeOfEntity | Share Of EOY AssetsShareOfEOYAssets | Percentage OwnershipPercentageOwnership |
|---|---|---|---|---|---|---|---|---|
| CAIA UK OFFICE LIMITED | ||||||||
| NEW BRIDGE STREET HOUSE | LONDON | UK | INDUSTRY RELATIONS | UK | CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INC | C | 133688 | 1.00000 |
| CAIA ASSOCIATION SINGAPORE OFFICE LIMITED | ||||||||
| ONE RAFFLES PLACE | SINGAPORE | SN | INDUSTRY RELATIONS | SN | CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INC | C | 25196 | 1.00000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Receipt Of Int Ann Rents Royalties | 1 | ReceiptOfIntAnnRentsRoyalties |
| Gift Grant Or Cap Contr To Other Org | 0 | GiftGrantOrCapContrToOtherOrg |
| Gift Grant Or Cap Contr Fr Other Org | 0 | GiftGrantOrCapContrFrOtherOrg |
| Loans Or Guarantees To Other Org | 0 | LoansOrGuaranteesToOtherOrg |
| Loans Or Guarantees From Other Org | 0 | LoansOrGuaranteesFromOtherOrg |
| Sale Of Assets To Other Org | 0 | SaleOfAssetsToOtherOrg |
| Purchase Of Assets From Other Org | 0 | PurchaseOfAssetsFromOtherOrg |
| Exchange Of Assets | 0 | ExchangeOfAssets |
| Rental Of Facilities To Other Orgs | 1 | RentalOfFacilitiesToOtherOrgs |
| Rental Of Facilities Fr Other Orgs | 0 | RentalOfFacilitiesFrOtherOrgs |
| Perform Of Services For Other Orgs | 1 | PerformOfServicesForOtherOrgs |
| Perform Of Services By Other Orgs | 0 | PerformOfServicesByOtherOrgs |
| Sharing Of Facilities | 1 | SharingOfFacilities |
| Sharing Of Paid Employees | 1 | SharingOfPaidEmployees |
| Reimbursement Paid To Other Org | 1 | ReimbursementPaidToOtherOrg |
| Reimbursement Paid By Other Org | 1 | ReimbursementPaidByOtherOrg |
| Other Transfer To Other Org | 1 | OtherTransferToOtherOrg |
| Other Transfer From Other Org | 0 | OtherTransferFromOtherOrg |
Transactions Related Orgs Table TransactionsRelatedOrgsTable (5 entries)
| Transaction TypeTransactionType | Amount InvolvedAmountInvolved | Method Of Amt DeterminationMethodOfAmtDetermination |
|---|---|---|
| CAIA FOUNDATION | ||
| A | 1000 | WRITTEN AGREEMENT |
| CAIA UK OFFICE LTD | ||
| O | 506786 | ACTUAL EXPENSES |
| CAIA SINGAPORE OFFICE LTD | ||
| O | 296077 | ACTUAL EXPENSES |
| CAIA UK OFFICE LTD | ||
| Q | 607543 | CASH |
| CAIA SINGAPORE OFFICE LTD | ||
| Q | 276057 | CASH |