2014-07-15T10:46:51-05:00 2013-08-31 PricewaterhouseCoopers LLP 600 13TH STREET NW SUITE 1000 WASHINGTON DC 20005 990 2012-09-01 541386480 CFA INSTITUTE % TIM MCLAUGHLIN CFAI 4349515499 PO BOX 2083 Suite CHARLOTTESVILLE VA 229022083 DWIGHT D CHURCHILL 4349515499 2014-07-09 true 2024141000 2012 2015-11-30 17:44:51Z DWIGHT D CHURCHILL 915 EAST HIGH STREET CHARLOTTESVILLE VA 229022083 413603942 false X www.cfainstitute.org X 1986 VA TO LEAD THE INVESTMENT PROFESSION GLOBALLY BY PROMOTING THE HIGHEST STANDARDS OF ETHICS, EDUCATION, AND PROFESSIONAL EXCELLENCE FOR THE ULTIMATE BENEFIT OF SOCIETY. 17 16 1181 1800 648440 113311 0 0 219127815 223787969 11208084 15083947 906217 962665 231242116 239834581 6074649 6110249 0 0 72945409 79472360 0 0 0 148824720 137829090 227844778 223411699 3397338 16422882 302753185 320339200 154068153 158868624 148685032 161470576 X CFA INSTITUTE IS THE GLOBAL, NON-PROFIT PROFESSIONAL ASSOCIATION THAT ADMINISTERS THE CHARTERED FINANCIAL ANALYST (CFA) AND CERTIFICATE IN INVESTMENT PERFORMANCE MEASUREMENT (CIPM), AND CLARITAS INVESTMENT CERTIFICATE CURRICULUM AND EXAMINATION PROGRAMS WORLDWIDE, PUBLISHES RESEARCH, CONDUCTS CERTIFICATE AND PROFESSIONAL DEVELOPMENT PROGRAMS, AND SETS VOLUNTARY, ETHICS-BASED PROFESSIONAL AND PERFORMANCE-REPORTING STANDARDS FOR THE INVESTMENT PROFESSION. THE STATED MISSION OF THE ORGANIZATION IS TO LEAD THE INVESTMENT PROFESSION GLOBALLY BY PROMOTING THE HIGHEST STANDARDS OF ETHICS, EDUCATION, AND PROFESSIONAL EXCELLENCE FOR THE ULTIMATE BENEFIT OF SOCIETY. CFA INSTITUTE PURSUES THIS MISSION ON BEHALF OF ITS MEMBERS WHO CURRENTLY NUMBER 120,785 AND WHO RESIDE IN 142 COUNTRIES. THIS MEMBERSHIP INCLUDES 110,096 CFA CHARTERHOLDERS. CFA INSTITUTE EXTENDS ITS REACH INTO LOCAL COMMUNITIES THROUGH A NETWORK OF 139 MEMBER SOCIETIES IN 60 COUNTRIES. CFA INSTITUTE IS HEADQUARTERED IN CHARLOTTESVI true false THE CHARTERED FINANCIAL ANALYST CFA PROGRAM: THE ORGANIZATION ADMINISTERS THE WORLD-RENOWNED CFA PROGRAM, WHICH IS A THREE-LEVEL, EDUCATION AND EXAMINATION PROGRAM COVERING TOPICS ESSENTIAL TO THE INVESTMENT DECISION-MAKING PROCESS. THESE TOPICS FORM WHAT IS KNOWN AS THE BODY OF KNOWLEDGE AND INCLUDE ETHICAL AND PROFESSIONAL STANDARDS, QUANTITATIVE METHODS, ECONOMICS, FINANCIAL STATEMENT REPORTING AND ANALYSIS, CORPORATE FINANCE, EQUITY AND FIXED-INCOME ANALYSIS, ALTERNATIVE INVESTMENTS, DERIVATIVES, AND PORTFOLIO MANAGEMENT. PROFESSIONAL DEVELOPMENT: THE ORGANIZATION BELIEVES STRONGLY IN LIFELONG LEARNING AND THEREFORE SPONSORS AND DISSEMINATES A VARIETY OF EDUCATIONAL CONTENT TO MEMBER AND NONMEMBER INVESTMENT PROFESSIONALS ON TOPICS RELEVANT TO THE PROFESSION. THOUGHT LEADERSHIP: THROUGH THE STANDARDS AND FINANCIAL MARKET INTEGRITY DIVISION OF CFA INSTITUTE, THE ORGANIZATION IS A LEADING VOICE ON ISSUES OF FAIRNESS, EFFICIENCY, AND INVESTOR PROTECTION IN GLOBAL CAPITAL MARKETS AND PROMOTES HIGH STANDARDS OF ETHICS, INTEGRITY, AND PROFESSIONAL EXCELLENCE WITHIN THE INVESTMENT COMMUNITY. THE ORGANIZATION ALSO PROMOTES AND ENFORCES THE CFA INSTITUTE CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT, TO WHICH ALL MEMBERS OF THE ORGANIZATION AND CANDIDATES IN THE CFA PROGRAM ARE REQUIRED TO ADHERE. 0 0 0 0 false false false true false false false false false true false false false true true false true false true true true false false false false false true false true false false false false false false false false false false true true true true false true X 431 0 true 1181 true true true true HK MY AR UK CH false false false false X 17 16 false false false false true true true true true false false true true true true true true true true true false X TIM MCLAUGHLIN 4349515499 915 EAST HIGH STREET CHARLOTTESVILLE VA 229022083 DANIEL S MEADER CFA 1.0 X X ALAN M MEDER CFA CPA 1.0 X X COLIN MCLEAN 1.0 X CHARLES J YANG CFA 1.0 X X AARON LOW CFA 1.0 X ATTILA KOKSAL CFA 1.0 X BETH HAMILTON-KEEN CFA 1.0 X FREDERIC P LEBEL CFA 1.0 X GIUSEPPE BALLOCCHI CFA 1.0 X JAMES G JONES CFA 1.0 X JANE SHAO CFA 1.0 X JEFFREY D LORENZEN CFA 1.0 X MATTHEW H SCANLAN CFA 1.0 X MARK J LAZBERGER CFA 1.0 X ROGER URWIN 1.0 X SAEED M AL-HAJERI CFA 1.0 X JOHN ROGERS CFA 40.0 1.0 X X 1375456 0 87026 JOSEPH P LANGE 40.0 X 103467 28412 TIMOTHY G MCLAUGHLIN CFA 40.0 1.0 X 550030 0 65264 ASHVIN P VIBHAKAR CFA 40.0 X 905071 0 64696 ELAINE CHENG 40.0 X 360091 0 63435 DONNA MARSHALL 40.0 X 429607 0 61620 JAN R SQUIRES CFA 40.0 X 617451 0 67949 CAROL J ANDERSON 40.0 X 480731 0 67363 KURT N SCHACHT CFA 40.0 X 588034 0 72196 NITIN MEHTA CFA 40.0 X 484329 0 29141 RAYMOND J DEANGELO 40.0 X 605822 0 66949 THOMAS ROBINSON CFA 40.0 X 620049 0 67295 PETER B MACKEY CFA 40.0 X 397792 0 42632 SANDRA PETERS 40.0 X 386999 0 42283 STEPHEN M HORAN CFA 40.0 X 362433 0 50350 JOHN BOWMAN 40.0 X 835207 0 49860 FANNIE FANG EXITED 11113 40.0 X 447476 0 31417 9550045 0 957888 125 false true false AMERICAN EXPRESS TRAVEL RELATED SVS 200 VESEY STREET NEW YORK NY 10285 TRAVEL 12169455 PEARSON EDUCATION PO BOX 409479 ATLANTA GA 30384 PUBLISHING 8026273 PBD INC 1560 BLUEGRASS LAKES PKWY ALPHARETTA GA 30004 DISTRIBUTION 7247166 PROFESSIONAL EXAMINATION SERVICE 475 RIVERSIDE DRIVE NEW YORK NY 10115 EXAM ADMINISTRATION 4483801 DOREMUS COMPANY 200 VARICK STREET NEW YORK NY 10014 MARKETING 4269949 219 0 CANDIDATE FEES 900099 155916409 155916409 EDUCATIONAL PRODUCTS 611710 35855068 35855068 MEMBERSHIP DUES 900099 31368052 31368052 ADVERTISING 541800 648440 648440 223787969 7492485 7492485 0 393772 393772 0 0 0 181360823 173699813 69548 7661010 -69548 7591462 7591462 0 0 0 SERVICE FEE REP. OFFICE 900099 173168 173168 MISCELLANEOUS 900099 91120 91120 MAILING LISTS 900099 304605 304605 568893 239834581 223708422 648440 15477719 3184271 0 2925978 0 0 7976944 0 54974979 5681824 6930168 3908445 0 2539647 1164654 128818 0 0 2531581 16327787 19668430 10391564 169264 6548733 24290381 0 4916417 0 0 6182806 1714297 EXAM ADMINISTRATION EXPENSES 27043956 PRODUCT MERCHANDISE COSTS 10243350 CONTRACT LABOR AND RECRUITMENT 2226047 STAFF TRAINING 1052437 688921 223411699 0 0 0 3864002 3271893 35342563 38050527 0 0 1369024 1095150 0 0 0 0 0 0 4339120 3295769 10297405 10526066 25451285 20012841 7246344 5438444 230524587 242022601 0 0 0 0 6924287 10010261 2845853 6628489 302753185 320339200 27618113 27443914 0 0 124217027 128926177 0 0 0 0 0 0 0 0 0 0 2233013 2498533 154068153 158868624 X 148685032 161470576 0 0 0 0 148685032 161470576 302753185 320339200 16422882 -3637338 X false true X true false false false false 31368052 128818 128818 0 128818 8089348 6388540 1700808 17361937 13624301 3737636 0 0 5438444 0 DEFERRED RENT 710997 DEFERRED COMPENSATION 1783443 DUE TO AFFILIATE 4093 2498533 X 236266791 -3637338 -3637338 239904129 -69548 -69548 239834581 223481247 69548 69548 223411699 223411699 SCHEDULE D, PART X, LINE 2 CFA INSTITUTE HAS PERFORMED AN EVALUATION OF ITS UNRELATED BUSINESS INCOME AND HAS MAINTAINED ITS TAX EXEMPT STATUS. CFA INSTITUTE BELIEVES THAT IT HAS ADEQUATELY PROVIDED FOR ALL OPEN TAX YEARS UNDER THE INCOME TAXES TOPIC OF THE FASB ASC AND HAS NO UNCERTAIN TAX POSITIONS. SCHEDULE D, PART XI, LINE 4B LOSS ON DISPOSAL OF ASSETS ($69,548) SCHEDULE D, PART XII, LINE 2D LOSS ON DISPOSAL OF ASSETS $69,548 true Central America and the Caribbean Program Services MEMBER & EXAM SUPPORT 55721 Europe (Including Iceland and Greenland) 2 39 Program Services MEMBER & EXAM SUPPORT 7910829 Sub-Saharan Africa Program Services MEMBER & EXAM SUPPORT 165013 Middle East and North Africa Grantmaking N/A 115854 South Asia Grantmaking N/A 252825 Central America and the Caribbean Grantmaking N/A 73343 East Asia and the Pacific Grantmaking N/A 615112 Europe (Including Iceland and Greenland) Grantmaking N/A 842367 Sub-Saharan Africa Grantmaking N/A 55453 North America Grantmaking N/A 516852 Russia and the Newly Independent States Grantmaking N/A 361331 South America Grantmaking N/A 92840 East Asia and the Pacific 4 46 Program Services MEMBER & EXAM SUPPORT 13877646 Middle East and North Africa Program Services MEMBER & EXAM SUPPORT 19174471 North America Program Services MEMBER & EXAM SUPPORT 705123 Russia and the Newly Independent States Program Services MEMBER & EXAM SUPPORT 37404 South Asia Program Services MEMBER & EXAM SUPPORT 1077129 South America Program Services MEMBER & EXAM SUPPORT 576778 6 85 6 85 45929313 576778 46506091 Central America and the Caribbean GEN SUPPORT 11307 WIRE/CHECK N/A N/A Central America and the Caribbean GEN SUPPORT 11689 WIRE/CHECK N/A N/A Central America and the Caribbean GEN SUPPORT 20897 WIRE/CHECK N/A N/A Central America and the Caribbean GEN SUPPORT 12070 WIRE/CHECK N/A N/A Central America and the Caribbean GEN SUPPORT 17182 WIRE/CHECK N/A N/A East Asia and the Pacific GEN SUPPORT 15241 WIRE/CHECK N/A N/A East Asia and the Pacific GEN SUPPORT 37954 WIRE/CHECK N/A N/A East Asia and the Pacific GEN SUPPORT 22436 WIRE/CHECK N/A N/A East Asia and the Pacific GEN SUPPORT 16289 WIRE/CHECK N/A N/A East Asia and the Pacific GEN SUPPORT 106449 WIRE/CHECK N/A N/A East Asia and the Pacific GEN SUPPORT 17727 WIRE/CHECK N/A N/A East Asia and the Pacific GEN SUPPORT 53213 WIRE/CHECK N/A N/A East Asia and the Pacific GEN SUPPORT 139058 WIRE/CHECK N/A N/A East Asia and the Pacific GEN SUPPORT 16000 WIRE/CHECK N/A N/A East Asia and the Pacific GEN SUPPORT 64909 WIRE/CHECK N/A N/A East Asia and the Pacific GEN SUPPORT 21758 WIRE/CHECK N/A N/A East Asia and the Pacific GEN SUPPORT 71589 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 17550 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 15241 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 18666 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 15564 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 47330 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 12262 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 17600 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 21786 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 32562 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 11908 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 25022 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 181541 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 14742 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 12751 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 29683 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 16094 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 27652 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 13892 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 24258 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 146989 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 192225 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 16451 WIRE/CHECK N/A N/A Middle East and North Africa GEN SUPPORT 20651 WIRE/CHECK N/A N/A Middle East and North Africa GEN SUPPORT 9745 WIRE/CHECK N/A N/A Middle East and North Africa GEN SUPPORT 11389 WIRE/CHECK N/A N/A Middle East and North Africa GEN SUPPORT 12615 WIRE/CHECK N/A N/A Middle East and North Africa GEN SUPPORT 12745 WIRE/CHECK N/A N/A Middle East and North Africa GEN SUPPORT 21548 WIRE/CHECK N/A N/A Middle East and North Africa GEN SUPPORT 13884 WIRE/CHECK N/A N/A North America GEN SUPPORT 15457 WIRE/CHECK N/A N/A North America GEN SUPPORT 40572 WIRE/CHECK N/A N/A North America GEN SUPPORT 16366 WIRE/CHECK N/A N/A North America GEN SUPPORT 22144 WIRE/CHECK N/A N/A North America GEN SUPPORT 15334 WIRE/CHECK N/A N/A North America GEN SUPPORT 13978 WIRE/CHECK N/A N/A North America GEN SUPPORT 42038 WIRE/CHECK N/A N/A North America GEN SUPPORT 13832 WIRE/CHECK N/A N/A North America GEN SUPPORT 16608 WIRE/CHECK N/A N/A North America GEN SUPPORT 69782 WIRE/CHECK N/A N/A North America GEN SUPPORT 12426 WIRE/CHECK N/A N/A North America GEN SUPPORT 12507 WIRE/CHECK N/A N/A North America GEN SUPPORT 239757 WIRE/CHECK N/A N/A Russia and the Newly Independent States GEN SUPPORT 227678 WIRE/CHECK N/A N/A Russia and the Newly Independent States GEN SUPPORT 64798 WIRE/CHECK N/A N/A South America GEN SUPPORT 17566 WIRE/CHECK N/A N/A South America GEN SUPPORT 75274 WIRE/CHECK N/A N/A South Asia GEN SUPPORT 20971 WIRE/CHECK N/A N/A South Asia GEN SUPPORT 33890 WIRE/CHECK N/A N/A South Asia GEN SUPPORT 125000 WIRE/CHECK N/A N/A South Asia GEN SUPPORT 68579 WIRE/CHECK N/A N/A Sub-Saharan Africa GEN SUPPORT 32854 WIRE/CHECK N/A N/A Sub-Saharan Africa GEN SUPPORT 11292 WIRE/CHECK N/A N/A Sub-Saharan Africa GEN SUPPORT 11307 WIRE/CHECK N/A N/A Europe (Including Iceland and Greenland) GEN SUPPORT 19025 WIRE/CHECK N/A N/A 71 false false false false false true SCHEDULE F, PART I, LINE 2 INDIVIDUAL GRANT PAYMENTS ARE MONITORED AND TRACKED BY CFA INSTITUTE STAFF. GRANT RECIPIENTS ARE REQUIRED TO SUBMIT DETAILED BUSINESS PLANS AND BUDGETS. true Smithsonian Institution 1000 JEFFERSON DR SW WASHINGTON DC 20560 530206027 20000 N/A N/A GEN SUPPORT Tuscon Society of CFA Institute 1820 E RIVER RD STE 106 TUCSON AZ 85718 270863018 11929 N/A N/A GEN SUPPORT CFA Society of Mississippi 525 EAST CAPITAL STREET JACKSON MS 39201 640716591 12008 N/A N/A GEN SUPPORT Dayton CFA Society 910 WEST MAIN STREET TROY OH 45373 260659612 12037 N/A N/A GEN SUPPORT CFA SOCIETY OF SOUTH CAROLINA 1201 MAIN ST STE 1910 COLUMBIA SC 29201 571134283 12371 N/A N/A GEN SUPPORT CFA Society of New Mexico PO BOX 36947 ALBUQUERQUE NM 87176 850454738 12479 N/A N/A GEN SUPPORT CFA Society of Arkansas 401 W CAPITOL AVE STE 503 LITTLE ROCK AR 72201 582055805 12530 N/A N/A GEN SUPPORT Maine CFA Society DPC ORONO ME 04469 043547791 13128 N/A N/A GEN SUPPORT CFA Society of East Tennessee 1301 COWART STREET SUITE 131 CHATTANOOGA TN 37402 042103580 13031 N/A N/A GEN SUPPORT CFA Society of Idaho 1020 W MAIN ST STE 480 BOISE ID 83702 043704521 11928 N/A N/A GEN SUPPORT CFA Society of Buffalo Inc PO BOX 529 ELLICOTT STATION BUFFALO NY 14205 205170662 12803 N/A N/A GEN SUPPORT CFA Society of Louisiana 1010 COMMON ST STE 2100 NEW ORLEANS LA 70112 720947195 15156 N/A N/A GEN SUPPORT The Providence Society of Financial Analysts 100 AMICA WAY INVESTMENTS DPT LINCOLN RI 02865 237069442 13880 N/A N/A GEN SUPPORT CFA Society of Oklahoma PO BOX 13006 OKLAHOMA CITY OK 73113 203779358 14554 N/A N/A GEN SUPPORT CFA Society of Orlando 2290 LUCIEN WAY STE 260 MAITLAND FL 32751 593213363 14648 N/A N/A GEN SUPPORT CFA Society of Jacksonville 1579 THE GREENS WAY STE 20 JACKSONVILLE BEACH FL 32250 591606008 14574 N/A N/A GEN SUPPORT CFA Society of Sacramento 915 L STREET C252 SACRAMENTO CA 95814 943315268 15920 N/A N/A GEN SUPPORT CFA Society of San Antonio 12526 LA AVENTURA ST SAN ANTONIO TX 78233 741660459 15971 N/A N/A GEN SUPPORT CFA Society of Nebraska Inc PO BOX 80685 LINCOLN NE 68501 470667513 16348 N/A N/A GEN SUPPORT CFA Miami Inc PO BOX 960901 MIAMI FL 33296 611572381 31251 N/A N/A GEN SUPPORT CFA Society of Nevada 2251 S FT Apadie Rd LAS VEGAS NV 89117 200195946 12230 N/A N/A GEN SUPPORT CFA SOCIETY OF SPOKANE 111 N WALL STREET SPOKANE WA 99201 911592696 13127 N/A N/A GEN SUPPORT CFA Society of Indianapolis Inc PO BOX 1225 CARMEL IN 46082 237119206 17543 N/A N/A GEN SUPPORT CFA West Michigan Society 40 PEARL ST NW STE 300 GRAND RAPIDS MI 49503 380892650 13263 N/A N/A GEN SUPPORT CFA Society of Naples 600 5TH AVE S SUITE 210 NAPLES FL 34102 593405436 14462 N/A N/A GEN SUPPORT CFA Society of Salt Lake PO BOX 45490 MAC U1228-058 SALT LAKE CITY UT 84145 611526448 14587 N/A N/A GEN SUPPORT CFA Society of Alabama 2712 18TH PLACE SOUTH BIRMINGTON AL 35209 631064381 15162 N/A N/A GEN SUPPORT CFA Hawaii PO BOX 580 HONOLULU HI 96809 870753677 12300 N/A N/A GEN SUPPORT CFA Society of Nashville 3000 VANDERBILT PL 441 NASHVILLE TN 37212 621181717 15263 N/A N/A GEN SUPPORT CFA Society of Rochester 777 CANAL VIEW BLVD STE 200 ROCHESTER NY 14623 160977751 14711 N/A N/A GEN SUPPORT CFA Society of Madison 3500 UNIVERSITY AVE MADISON WI 53705 391929703 15841 N/A N/A GEN SUPPORT CFA Society of Memphis 1153 GRAND CYPRESS CV COLLIERVILLE TN 38017 621636928 15922 N/A N/A GEN SUPPORT Phoenix CFA Society 16435 N SCOTTSDALE RD STE 105 SCOTTSDALE AZ 85254 860469879 21692 N/A N/A GEN SUPPORT CFA Society of South Florida 1261 SW 15TH ST BOCA RATON FL 33486 300325375 21786 N/A N/A GEN SUPPORT CFA Society of Louisville 10202 SUMMIT PARK PLACE 302 LOUISVILLE KY 40241 611333979 17682 N/A N/A GEN SUPPORT CFA Society of Columbus 1066 HARRISON PARK PL COLUMBUS OH 43201 311393658 22429 N/A N/A GEN SUPPORT Vermont CFA Society 110 MAIN STREET BURLINGTON VT 05401 043374500 13128 N/A N/A GEN SUPPORT Stamford CFA Society 1127 HIGH RIDGE ROAD 307 STAMFORD CT 06905 061513527 24580 N/A N/A GEN SUPPORT CFA Society of Austin PO BOX 1467 AUSTIN TX 78767 721621543 26886 N/A N/A GEN SUPPORT CFA Tampa Bay 12157 W LINEBAUGH AVE PMB 312 TAMPA FL 33626 510669210 21764 N/A N/A GEN SUPPORT Baltimore CFA Society Inc 100 LIGHT ST FL 9 BALTIMORE MD 21202 520895933 27746 N/A N/A GEN SUPPORT CFA Society of Portland PO BOX 1388 PORTLAND OR 97207 237358083 21843 N/A N/A GEN SUPPORT CFA Society of Cincinnati Inc 4010 EXECUTIVE PARK DRIVE STE 100 CINCINNATI OH 45241 237094427 22144 N/A N/A GEN SUPPORT CFA Society of San Diego PO BOX 928456 SAN DIEGO CA 92192 237069278 27965 N/A N/A GEN SUPPORT CFA Society of Orange County 4533 MACARTHUR BOULEVARD 182 NEWPORT BEACH CA 92660 330228558 21643 N/A N/A GEN SUPPORT The Pittsburgh Society of Financial Analysts PO BOX 1212 PITTSBURGH PA 15230 251421153 22307 N/A N/A GEN SUPPORT Kansas City CFA Society PO BOX 26285 OVERLAND PARK KS 66225 820560661 22739 N/A N/A GEN SUPPORT CFA Society of Cleveland 24199 LYMAN BLVD SHAKER HEIGHTS OH 44122 237065462 33365 N/A N/A GEN SUPPORT CFA Society of Milwaukee Inc 1702 ASHLAWN LN WAUNAKEE WI 53597 237072850 26402 N/A N/A GEN SUPPORT The Hartford CFA Society 17 CRANBERRY LANE PO BOX 266 GRANBY CT 06035 060964607 31315 N/A N/A GEN SUPPORT CFA Society of Iowa Inc 1004 SE COOPER CT ANKENY IA 50021 421152989 22060 N/A N/A GEN SUPPORT CFA Virginia PO BOX 2732 MECHANICSVILLE VA 23116 541429832 33249 N/A N/A GEN SUPPORT CFA Society of Colorado 6057 S LAKEVIEW ST LITTLETON CO 80102 840585027 34826 N/A N/A GEN SUPPORT CFA North Carolina Society 3004 OXBOW CT RALEIGH NC 27613 561824044 34754 N/A N/A GEN SUPPORT CFA Society of Seattle 330 MADISON AVE S 203 BAINBRIDGE ISLAND WA 98110 911164972 33839 N/A N/A GEN SUPPORT CFA Society of St Louis 330 WENNEKER DRIVE SAINT LOUIS MO 63124 436031785 37150 N/A N/A GEN SUPPORT CFA Society of DallasFort Worth 400 N SAINT PAUL STE 715 DALLAS TX 75201 237078748 40272 N/A N/A GEN SUPPORT CFA Society of Houston PO BOX 32 BELLAIRE TX 77402 237004744 43635 N/A N/A GEN SUPPORT CFA Society of Detroit 525 E MICHIGAN AVE 409 SALINE MI 48176 386087152 32307 N/A N/A GEN SUPPORT CFA Society of Atlanta 3227 S CHEROKEE LANE SUITE 1320 WOODSTOCK GA 30188 581105110 44215 N/A N/A GEN SUPPORT CFA Society of Los Angeles 520 S GRAND AVE STE 370 LOS ANGELES CA 90071 956069970 76228 N/A N/A GEN SUPPORT CFA Society of Minnesota 527 MARQUETTE AVE STE 1300 MINNEAPOLIS MN 55402 411861989 40739 N/A N/A GEN SUPPORT CFA Society of Philadelphia The 100 NORTH 20TH STREET 4TH FLOOR PHILADELPHIA PA 19103 236395738 77127 N/A N/A GEN SUPPORT CFA Society of Washington DC 1250 CONNECTICUT AVENUE NW SUITE 20 WASHINGTON DC 20036 237360649 52829 N/A N/A GEN SUPPORT CFA Society of San Francisco 300 MONTGOMERY ST STE 1130 SAN FRANCISCO CA 94104 946078576 159133 N/A N/A GEN SUPPORT Boston Security Analysts Society Inc 2 FINANCIAL CENTER 1010 60 S ST BOSTON MA 02111 237069432 114778 N/A N/A GEN SUPPORT CFA Society of Chicago 134 N LA SALLE ST STE 1740 CHICAGO IL 60602 362595074 96743 N/A N/A GEN SUPPORT New York Society of Security Analysts 1540 BROADWAY SUITE 1010 NEW YORK NY 10036 135610350 501(c)(3) 442200 N/A N/A GEN SUPPORT 1 67 SCHEDULE I, PART I, LINE 2 INDIVIDUAL GRANT PAYMENTS ARE MONITORED AND TRACKED BY CFA INSTITUTE STAFF. GRANT RECIPIENTS ARE REQUIRED TO SUBMIT DETAILED BUSINESS PLANS AND BUDGETS. X X X X X true true X X X X X X false false false JOHN ROGERS CFA 593306 0 778264 0 3886 0 70000 0 17026 0 1462482 0 40000 0 TIMOTHY G MCLAUGHLIN CFA 327628 0 217113 0 5289 0 52316 0 12948 0 615294 0 22316 0 ASHVIN P VIBHAKAR CFA 326192 0 199875 0 379004 0 51974 0 12722 0 969767 0 21974 0 ELAINE CHENG 246376 0 112000 0 1715 0 46666 0 16769 0 423526 0 23311 0 DONNA MARSHALL 263128 0 162652 0 3827 0 49000 0 12620 0 491227 0 17000 0 JAN R SQUIRES CFA 363678 0 245791 0 7982 0 54720 0 13229 0 685400 0 24720 0 CAROL J ANDERSON 303856 0 174739 0 2136 0 50666 0 16697 0 548094 0 20666 0 KURT N SCHACHT CFA 367776 0 212011 0 8247 0 54720 0 17476 0 660230 0 24720 0 NITIN MEHTA CFA 318483 0 159043 0 6803 0 21636 0 7505 0 513470 0 18818 0 RAYMOND J DEANGELO 365128 0 228161 0 12533 0 54720 0 12229 0 672771 0 24720 0 THOMAS ROBINSON CFA 363592 0 231053 0 25404 0 54666 0 12629 0 687344 0 24666 0 PETER B MACKEY CFA 302342 0 88878 0 6572 0 30000 0 12632 0 440424 0 0 0 SANDRA PETERS 288142 0 95812 0 3045 0 30000 0 12283 0 429282 0 0 0 STEPHEN M HORAN CFA 277739 0 81757 0 2937 0 33750 0 16600 0 412783 0 0 0 JOHN BOWMAN 252340 0 83907 0 498960 0 33438 0 16422 0 885067 0 0 FANNIE FANG EXITED 11113 191701 0 22872 0 232903 0 25474 0 5943 0 478893 0 0 SCHEDULE J, PART I, LINE 1A FIRST-CLASS TRAVEL: AN EMPLOYEE CAN PURCHASE FIRST CLASS TRAVEL WHEN ELIGIBLE FOR BUSINESS CLASS TRAVEL AND SUCH TRAVEL IS NOT AVAILABLE. BUSINESS CLASS TRAVEL IS ALLOWED FOR FLIGHTS OVER 3,000 MILES, ONE SEGMENT, ONE WAY. TRAVEL FOR COMPANIONS: AN EMPLOYEE CAN EXCHANGE BUSINESS CLASS AIRFARE FOR TWO COACH AIRFARES TO INCLUDE COMPANION TRAVEL. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS: CERTAIN REIMBURSEMENTS, INCLUDING HOUSING AND UTILITIES, FOR EXPATRIATES ARE GROSSED-UP. ALL EXPATRIATES AND INTERNATIONAL ROTATION ASSIGNMENT PROGRAM EMPLOYEES' SALARIES ARE EQUALIZED TO THEIR RESIDENTIAL TAX CODE. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE: CFA INSTITUTE PAYS THE COST OF A PERSONAL RESIDENCE IN THE COUNTRY TO WHICH EACH EXPATRIATE IS ASSIGNED. ON OCCASION, CFA INSTITUTE PAYS FOR RELOCATION HOUSING AND INCLUDES THIS IN THE EMPLOYEE'S COMPENSATION. HEALTH OR SOCIAL CLUB DUES OR INITIATION FEES: HEALTH CLUB MEMBERSHIP FEES ARE REIMBURSABLE TO THE EMPLOYEE UNDER CFA INSTITUTE'S WELLNESS PROGRAM. SCHEDULE J-1, PART I, COLUMN B(III) OTHER REPORTABLE COMPENSATION REFLECTED IN B(III) INCLUDES EXPATRIATE COMPENSATION. PART III, LINE 4D, OTHER PROGRAM SERVICES CFA INSTITUTE ALSO ADMINISTERS ADDITIONAL PROGRAMS AND ACTIVITIES AS PART OF ITS SERVICE TO MEMBERS AND TO THE GLOBAL INVESTMENT INDUSTRY. FORMAL PROGRAMS INCLUDE THE CFA PROGRAM DESCRIBED ABOVE, THE CERTIFICATE IN INVESTMENT PERFORMANCE MEASUREMENT (CIPM) PROGRAM FOR PERFORMANCE EVALUATION PROFESSIONALS, AND THE CLARITAS INVESTMENT CERTIFICATE FOR PARTICIPANTS LOOKING TO UNDERSTAND THE FUNDAMENTALS OF THE INVESTMENT INDUSTRY. ADDITIONAL SERVICES INCLUDE CAREER DEVELOPMENT AND OTHER NETWORKING SERVICES DESIGNED TO FACILITATE DISCUSSION AND PROMOTE CAMARADERIE AMONG MEMBERS. PART VI, LINES 6, 7A & 7B THE CLASSES OF MEMBERSHIP IN CFA INSTITUTE ARE REGULAR MEMBERS, AFFILIATE MEMBERS, CHARTERHOLDER MEMBERS, AND MEMBER SOCIETIES. REGULAR MEMBERS ARE ENTITLED TO ONE VOTE ON EACH MATTER SUBMITTED AT MEMBER MEETINGS. REGULAR MEMBERS ALSO HAVE THE RIGHT TO ELECT THE BOARD OF GOVERNORS. THE BOARD MAY HAVE UP TO TWO GOVERNORS WHO ARE NOT REGULAR MEMBERS. ALL OTHER GOVERNORS SHALL BE REGULAR MEMBERS. PART VI, LINE 11B FORM 990 IS PRESENTED TO THE AUDIT AND RISK COMMITTEE AND DISCUSSED IN DETAIL. IN ADDITION, COPIES ARE PROVIDED TO EACH OF THE BOARD OF GOVERNORS. THESE PRESENTATIONS TAKE PLACE PRIOR TO FILING. PART VI, LINE 12C THE CONFLICT OF INTEREST STATEMENTS ARE COLLECTED ANNUALLY. STAFF DISCLOSURES MAY BE DIRECTED TO ANY MEMBER OF THE LEGAL SERVICES GROUP, THE COMPLIANCE OFFICER OR MEMBER OF THE AUDIT AND RISK COMMITTEE. GOVERNOR DISCLOSURES MAY BE DIRECTED TO THE CFA INSTITUTE CHAIR OR GENERAL COUNSEL. ANNUAL TRAINING IS PROVIDED BY THE LEGAL SERVICES GROUP. ALL EMPLOYEES ACKNOWLEDGE THEIR UNDERSTANDING AND ADHERENCE TO THE CODE OF CONDUCT ANNUALLY. THE RESTRICTIONS IMPOSED ON A PERSON WITH A CONFLICT VARY BASED ON THE CONFLICT, THE POSITION OF THE PERSON, AND THE SITUATION; HOWEVER, IT COULD INCLUDE PROHIBITING A BOARD MEMBER FROM PARTICIPATING IN A PARTICULAR DELIBERATION AND/OR DECISION. PART VI, LINES 15A & 15B THE ORGANIZATION USED A SPECIALIST CONSULTING FIRM TO REVIEW MARKET DATA FOR THE PRESIDENT & CEO, CFO, AS WELL AS MANAGING DIRECTORS AT CFA INSTITUTE. CFA INSTITUTE USED BENCHMARK DATA COLLECTED FROM THE NOT-FOR-PROFIT AND FOR-PROFIT MARKETPLACE USING PUBLISHED SURVEY DATA AND THE FORM 990 OF ORGANIZATIONS SIMILAR IN SIZE (FTE AND REVENUE) TO HELP DETERMINE COMPENSATION. COMPENSATION IS ALSO REVIEWED BY THE COMPENSATION COMMITTEE OF THE BOARD OF GOVERNORS WHICH IS COMPRISED OF INDEPENDENT GOVERNORS. PART VI, LINE 16B A WRITTEN POLICY IS BEING FORMULATED, PENDING APPROVAL, AS OF THE FILING OF THIS RETURN. PART VI, LINE 19 THE ORGANIZATION'S FINANCIAL STATEMENTS, GOVERNING DOCUMENTS AND THE CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC THROUGH THE ORGANIZATION'S WEBSITE, WWW.CFAINSTITUTE.ORG. PART III, LINE 2 CFA INSTITUTE CREATED THE CLARITAS INVESTMENT CERTIFICATE EXAMINATION, DESIGNED TO BROADEN THE REACH OF OUR EDUCATIONAL PROGRAMS AND ETHICAL AND PROFESSIONAL STANDARDS. CFA INSTITUTE CHINA LIMITED 1401 HUTCHISON HOUSE 10 HARCOURT RD HK 980615079 PROF. ORG HK -120810 199067 CFA INSTITUT CFA INSTITUTE RESEARCH FOUNDATION PO BOX 2083 CHARLOTTESVILLE VA 22902 546063408 INV. RESEARCH VA 501(C) 3 7 CFA INSTITUT true CVILLE OPER HUB LLC PO BOX 2083 CHARLOTT VA 22902 900857224 R/E LEASING VA COH INC CVILLE MASTER TENANT LLC PO BOX 2083 CHARLOTT VA 22902 800825436 R/E LEASING VA COH INC CVILLE OPERATIONS HOLDINGS INC PO BOX 2083 CHARLOTTESVILLE VA 22902 455449709 REAL ESTATE VA CFA INSTITUTE C CORP. -856 2275991 1.00000 true false true false false false false false false false false false false false true true false false true true CFA INSTITUTE RESEARCH FOUNDATION N,O 756000 HISTORICAL COST CFA INSTITUTE RESEARCH FOUNDATION S 119282 HISTORICAL COST