2025-11-11T09:14:10-06:00 2024-12-31 582676261 Rogers & Company PLLC 8300 Boone Boulevard Suite 600 Vienna VA 22182 990 2024-01-01 136130873 Investment Adviser Association INVE 2022934222 818 Connecticut Avenue NW 600 Washington DC 20006 Karen L Barr President & CEO 2022934222 2025-11-11 1 1 Jie Chen CPA P01049760 7038930300 2024 2025-03-06 01:10:19Z Karen L Barr 818 Connecticut Avenue NW 600 Washington DC 20006 7207863 0 X www.investmentadviser.org X 1937 DC To serve the interests of the investment advisory profession. See Part III 23 23 26 500 0 0 0 0 6627092 7003410 202032 181295 33385 23158 6862509 7207863 0 0 0 0 5214415 5337600 0 0 0 1900540 2138193 7114955 7475793 -252446 -267930 10400041 10048217 7303509 7121645 3096532 2926572 X To be the leading industry organization: A. Promoting high standards of fiduciary duty, integrity, public responsibility, and competence in the investment advisory profession. B. Providing effective, quality representation of the investment advisory profession with respect to the development, formulation, and enactment of legislation, regulations, and other policies relating to investment advisers. C. Offering benefits, services, and resources that assist and add value for member firms. 0 0 Advocacy - IAA works closely with policy makers on every issue that directly affects investment advisers, and represents the interests of investment advisers on Capitol Hill, working with members of Congress and their staffs to educate them about relevant issues and concerns. The IAA regularly comments on rule changes proposed by the SEC, Department of Labor, other Federal and State agencies, and international regulators that directly affect the investment adviser industry and the IAA membership. Compliance - The IAA serves as a resource for all IAA member firms. Our staff responds to hundreds of requests for information each year from IAA members on a wide variety of regulatory and compliance issues. In addition, the IAA provides extensive online compliance and regulatory materials, located in a members only section of the website. Education - The IAA is a source of educational materials and programs, tailored to address specific issues affecting the investment adviser community. The IAA sponsors a wide range of workshops, conferences, webinars and networking events. These IAA-sponsored events address business, management, compliance, operations, technology, and other relevant issues. The IAA also publishes various reports and surveys each year. 0 0 0 1 0 0 0 0 0 1 0 0 1 1 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 1 1 0 0 1 26 0 1 26 1 0 0 0 0 0 0 0 0 X 23 23 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 DC X The Association 2022934222 818 Connecticut Avenue NW 600 Washington DC 20006 Alison Baur Chair 5.00 X X 0 0 0 Yvette Garcia Past Chair 5.00 X X 0 0 0 R Kelly Williams Treasurer 5.00 X X 0 0 0 Geoffrey Alexander Vice Chair 5.00 X X 0 0 0 Rebekah Kohmescher Board Member 2.00 X 0 0 0 Laura Drynan Board Member 2.00 X 0 0 0 Peter Tuz Board Member 2.00 X 0 0 0 Randy Conner Board Member 2.00 X 0 0 0 Carlotta King Board Member 2.00 X 0 0 0 James Febeo Board Member 2.00 X 0 0 0 Bill Roberts Board Member 2.00 X 0 0 0 Rana Wright Board Member 2.00 X 0 0 0 Maureen Quigley Board Member 2.00 X 0 0 0 Steven Wilkes Board Member 2.00 X 0 0 0 Robert Mairs Board Member 2.00 X 0 0 0 Catherine Halberstadt Board Member 2.00 X 0 0 0 Christine Morgan Board Member 2.00 X 0 0 0 Melissa Carlucci Board Member 2.00 X 0 0 0 Bret Hester Board Member 2.00 X 0 0 0 Benjamin Alden Board Member 2.00 X 0 0 0 Gwen Reinke Board Member 2.00 X 0 0 0 Jeff Schweon Board Member 2.00 X 0 0 0 Sonia Kowal Board Member 2.00 X 0 0 0 Karen L Barr President & CEO 40.00 X 511333 0 90106 Gail C Bernstein Secretary & General Counsel 40.00 X 442533 0 64224 Neil Simon VP, Government Relations 40.00 X 287533 0 34198 Monique Botkin Associate General Counsel 40.00 X 284033 0 43661 Laura Grossman Associate General Counsel 40.00 X 281033 0 64655 Sanjay Lamba Associate General Counsel 40.00 X 276033 0 29085 William Nelson Associate General Counsel 40.00 X 269221 0 37354 2351719 0 363283 15 0 1 0 IMS Technology Services Inc 3055 McCann Farm Drive Garnet Valley PA 19060 Audio Visual 124016 Mindset Advocacy LLC 455 Massachusetts Avenue NW Suite Washington DC 20001 Advocacy 120000 2 Membership dues 900099 5436665 5436665 Conferences 900099 1382995 1382995 Sponsorship income 900099 183750 183750 7003410 181295 181295 Other income 900099 23158 23158 23158 7207863 7003410 0 204453 1108196 3288049 316895 356632 267828 91533 22287 130500 14451 341341 105439 173694 366247 15125 706829 156062 14685 7475793 137936 83532 1834497 944411 96254 211027 86698 190079 1351228 919002 356516 432226 4431702 5143110 3456438 3043832 10400041 10048217 481263 484937 2819653 2762679 4002593 3874029 7303509 7121645 X 3096532 2926572 3096532 2926572 10400041 10048217 -267930 97970 0 X X 0 1 X 1 0 0 0 0 5436665 255111 255111 543666 -288555 Form 990, Schedule C IAA has a Political Action Committee, as listed on Schedule R, Part II. All contributions by IAA's members and all contributions to candidates are made directly through the PAC. IAA provides administrative support for the PAC as allowed by federal election law. 763901 433481 330420 587327 485521 101806 432226 Deposits 31013 Right of use assets - operating lease 3012819 3043832 Lease liabilities - operating lease 3869025 Deposits 5004 3874029 X 7291382 97970 97970 7193412 14451 14451 7207863 7461342 0 7461342 14451 14451 7475793 Part X, Line 2: Management evaluated the Association's tax positions, and concluded that the Association's financial statements do not include any uncertain tax positions. X X X X X 0 0 0 Karen L Barr President & CEO 421500 0 84300 0 5533 0 69000 0 21106 0 601439 0 0 0 Gail C Bernstein Secretary & General Counsel 398000 0 39000 0 5533 0 43300 0 20924 0 506757 0 0 0 Laura Grossman Associate General Counsel 263500 0 12000 0 5533 0 28050 0 36605 0 345688 0 0 0 Monique Botkin Associate General Counsel 266500 0 12000 0 5533 0 28350 0 15311 0 327694 0 0 0 Neil Simon VP, Government Relations 272000 0 10000 0 5533 0 28700 0 5498 0 321731 0 0 0 William Nelson Associate General Counsel 251688 0 12000 0 5533 0 26869 0 10485 0 306575 0 0 0 Sanjay Lamba Associate General Counsel 258500 0 12000 0 5533 0 27550 0 1535 0 305118 0 0 0 Form 990, Part VI, Section A, line 6 IAA has dues paying regular members, which are made up of organizations that are investment advisers, and associate members that are organizations that provide services and products to SEC-registered investment advisers. Form 990, Part VI, Section A, line 7a New governors are elected by the general membership. Form 990, Part VI, Section A, line 7b Amendments to the Bylaws may be made by the general membership, or by the governors with notice to the general membership. Form 990, Part VI, Section B, line 11b A PDF version of the return is provided to the Board with a specified amount of time set aside for review and comment. Form 990, Part VI, Section B, line 12c On an annual basis, each member of the staff and Board of Governors is provided with a copy of the policy and is required to provide disclosure of any conflict. Form 990, Part VI, Section B, line 15 The VP, Finance and Operations distributes copies of executive compensation studies from other trade associations in the financial services sector to the Compensation Committee for use as a frame of reference for key positions. This information is utilized in conjunction with years of historical data available from other trade associations and law firms. Form 990, Part VI, Section C, line 19 IAA makes its governing documents, certain policies (including conflict of interest policy) and financial statements available upon request based on discretion of management. Form 990, Part XII, Line 2c: IAA's Finance Committee is responsible for the oversight of the audit, including the selection of the independent accountant. Investment Adviser Association Political Action Committee 818 Connecticut Avenue NW Suite 600 Washington DC 20006 Political Action Committee DC 527 Investment Adviser Association 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0