2012-11-13T14:03:21-06:00 2011-12-31 042944648 ROMANO PASCUCCI & CO PC 78 MAIN ST NORTHAMPTON MA 01060 990 2011-01-01 371428113 CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INC CHAR 4132537373 100 UNIVERSITY DRIVE AMHERST MA 01002 THOMAS PORTER 4132537373 2012-11-12 1 DAVID E PASCUCCI P01210688 4135860990 2011 2016-02-24 21:20:13Z THOMAS PORTER 100 UNIVERSITY DRIVE AMHERST MA 01002 7057543 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 42 60 0 0 0 0 6221686 7047137 10205 10406 186217 0 6418108 7057543 0 0 0 0 2986811 3519496 0 0 0 4230856 4885613 7217667 8405109 -799559 -1347566 6683447 6131861 2798857 3568981 3884590 2562880 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. 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 17 0 0 42 1 0 1 UK SN 0 0 0 0 X 6 6 0 0 0 0 0 0 0 1 1 0 1 1 0 1 1 1 0 0 1 1 0 X THOMAS PORTER 4132537373 100 UNIVERSITY DRIVE AMHERST MA 01002 THOMAS SCHNEEWEIS 1.00 X 20000 0 0 ALEXANDER INEICHEN 1.00 X 20000 0 0 PETER DOUGLAS 1.00 X 20000 0 0 JANE BUCHAN 1.00 X 20000 0 0 ANDREW BAKER 1.00 X 0 0 0 ROBERT DERITO 1.00 X 0 0 0 FLORENCE LOMBARD 40.00 X 344479 0 14823 THOMAS PORTER 40.00 X 203294 0 12152 RUTH CAROLAN 40.00 X 76336 0 14558 ROBERT CLICHE 40.00 X 168347 0 19268 HOSSEIN KAZEMI 27.00 X 183683 0 6769 KEITH BLACK 40.00 X 168225 0 19379 NELSON LACEY 27.00 X 141298 0 4129 DONALD CHAMBERS 40.00 X 137327 0 4030 KRISTAPS LICIS 40.00 X 132279 0 16146 EDWARD ASCHE 1.00 X 27308 0 0 1662576 0 111254 8 1 1 0 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 4 EXAM FEES INCOME 900099 5744160 5744160 MEMBERSHIPS 900099 1217721 1217721 OTHER 900099 85256 85256 7047137 10406 10406 7057543 7047137 0 10406 1662576 1347301 84790 226382 198447 103006 32050 324817 47792 282058 232064 252762 288028 22852 MANAGEMENT FEES 817191 MEMBER SERVICES 766731 EXAM ADMINISTRATION FEE 717918 INDUSTRY RELATION AND O 396256 602088 8405109 991841 1358628 4119087 3432797 0 0 0 169595 86756 1707380 788666 1136885 918714 160834 160834 105205 174132 6683447 6131861 315621 526014 2433236 3040743 50000 0 2224 2798857 3568981 X 3884590 2562880 3884590 2562880 6683447 6131861 X -1347566 25856 X X 0 1 1 X 0 607550 161087 446463 193570 118537 75033 906260 509042 397218 918714 OTHER 2224 2224 7057543 8405109 -1347566 25856 25856 -1321710 7057543 0 7057543 0 7057543 8405109 0 8405109 0 8405109 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. 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 2 2 0 0 2 2 1199274 0 1199274 1 0 1 0 0 1 X X X 0 0 0 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 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. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: TRANSFER OF ASSETS FROM UK ENTITY 25,856. TOTAL TO FORM 990, PART XI, LINE 5: 25,856. BOARD OF DIRECTORS. CAIA FOUNDATION INC 100 UNIVERSITY DRIVE AMHERST MA 01002 800615123 CHARITABLE FOUNDATION SUPPORTING ALT INVESTMENT EDUCATION & RESEARCH MA 501(C)(3) LINE 7 CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION INC 1 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 1 0 0 0 0 0 0 0 1 0 1 0 1 1 1 1 1 0 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