2014-12-22T15:13:50-06:00 2014-08-31 363458380 SCHUMAN SIMON & GRODECKI LTD 626 W JACKSON BOULEVARD SUITE 550 CHICAGO IL 606615615 990 2013-09-01 351629277 NATIONAL ASSOCIATION OF PERSONAL FINANCIAL ADVISORS INC NATI 8474835400 8700 WEST BRYN MAWR AVENUE NO 700N CHICAGO IL 60631 GEOFFREY BROWN CHIEF EXECUTIVE OFFICER 8474835400 2014-12-08 1 HARVEY A REDFERN P00037461 3126484844 2013 2015-11-30 17:44:51Z X GEOFFREY BROWN 8700 W BRYN MAWR AV SUITE 700N CHICAGO IL 60631 4071144 1 0 9500 X WWW.NAPFA.ORG X 1983 IN TO PROMOTE THE PUBLIC INTEREST BY ADVANCING THE FINANCIAL PLANNING PROFESSION AND SUPPORTING OUR MEMBERS CONSISTENT WITH OUR CORE VALUES 10 10 13 0 369244 1846 1359881 1455624 1645636 1956862 228451 62294 0 0 3233968 3474780 0 0 0 0 1063743 819407 0 0 0 2236013 2413162 3299756 3232569 -65788 242211 3659661 4085158 805183 737420 2854478 3347738 X TO PROMOTE THE PUBLIC INTEREST BY ADVANCING THE FINANCIAL PLANNING PROFESSION AND SUPPORTING OUR MEMBERS CONSISTENT WITH OUR CORE VALUES 0 0 769292 NATIONAL CONFERENCES PROVIDE MEMBERS WITH A NEW LEVEL OF PROFESSIONALISM IN THE AREAS OF FINANCIAL PLANNING EDUCATION, PORTFOLIO MANAGEMENT AND PRACTICE MANAGEMENT TO IMPROVE THEIR PRODUCTIVITY 76392 WEB SITE TO DISPENSE INFORMATION TO PRACTIONERS AND THE GENERAL PUBLIC 333299 PERIODIC NEWSLETTER TO INFORM THE MEMBERS OF HAPPENNINGS RELATED TO THE PRACTICE OF FINANCIAL PLANNING AND DIRECTORY OF MEMBERS 2558 CONSUMER RESPONSE SYSTEM - TO RESPOND TO THE PUBLIC REGARDING THE USE OF FINANCIAL PLANNING 47779 EDUCATIONAL PROGRAMS 25161 VARIOUS COMMITTEES TO FURTHER THE USE OF FINANCIAL PLANNING 13436 REGIONAL STRATEGIC PLANNING - PROMOTING THE PUBLIC INTEREST BY ADVANCING WITHIN THE REGIONS THE FINANCIAL PLANNING PROFESSION AND SUPPORTING REGIONAL MEMBERS CONSISTENT WITH NAPFA'S CORE VALUES 61755 MEMBERSHIP COMMITTEE 220076 MARKETING AND PROMOTION - CONFERENCE TO IMPROVE MEMBERSKILLS FOR PRENSENTATIONS TO THE PUBLIC REGARDINGFINANCIAL PLANNING 238655 GOVERNMENT AFFAIRS COMMITTEE 96451 FORBES / NAPFA I CONFERENCE UPDATING BEST PRACTICES FOR FEE ONLY FINANCIAL PLANNING 705871 1884854 0 1 0 1 0 0 0 0 0 1 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 37 0 0 13 1 1 1 0 0 0 0 0 X 10 10 0 0 0 0 0 0 0 1 1 0 1 1 0 1 1 1 1 0 1 1 0 IN X GEOFFREY BROWN - CHIEF EXECUTIVE OFFICE 8474835400 8700 W BRYN MAWR AVENUE CHICAGO IL 60631 ROBERT GERSTEMEIER CHAIRMAN 0.00 X X 0 0 0 FRANK MOORE TREASURER 0.00 X X 0 0 0 TIM P KOBER VICE CHAIR/SECRETARY 0.00 X X 0 0 0 DANA PINGENOT MEMBERSHIP 0.00 X 0 0 0 SCOTT A BEAUDIN EDUCATION 0.00 X 0 0 0 CHERYL COSTA PRESIDENTS' COUNCIL & STUD 0.00 X 0 0 0 ANNE GIBSON SECRETARY/LEADERSHIP DEVELOPMENT 0.00 X 0 0 0 PAULA A HOGEN STUDY GROUPS 0.00 X 0 0 0 J DAVID LEWIS NAPFA CONSUMER EDUCATION F 0.00 X 0 0 0 ANN COULSON CONSUMER REPRESENTATIVE 0.00 X 0 0 0 GEOFFREY BROWN CHIEF EXECUTIVE OFFICER 40.00 X 161000 0 0 161000 0 0 1 0 1 0 ERH ASSOCIATES LLC PO BOX 101570 DENVER CO 80250 CONSULTING 213112 CQL INCORPORATED 3344 GRAND RIDGE DRIVE NE GRAND RAPIDS MI 49525 TECHNOLOGY CONSULTING 161750 PROTEC ASSOCIATES INC 5457 TWIN KNOLLS ROAD SUITE 400 COLUMBIA MD 21045 TECHNOLOGY CONSULTING 155094 3 1123704 331920 1455624 NATIONAL CONFERENCE 900099 1398324 1398324 ADVERTISING NEWSLETTE 541800 334953 334953 VIRTUAL CONFERENCE 900099 141952 141952 EDUCATIONAL MATERIAL 900099 46742 46742 ADVERTISING WEB SITE 541800 13300 13300 21591 600 20991 1956862 68086 68086 590572 596364 -5792 -5792 -5792 3474780 1581826 369244 68086 X 161000 161000 462475 462475 16153 16153 113459 113459 66320 66320 12646 12646 11300 11300 12348 12348 8265 8265 6220 6220 111999 111999 705 705 52186 52186 59172 59172 3669 3669 NATIONAL CONFERENCE 769292 769292 PUBLISHING COSTS 333299 333299 GOVERNMENT AFFAIRS COMM 238655 238655 MARKETING AND PUBLIC RE 220076 220076 573330 323532 249798 3232569 1884854 1347715 0 1042840 902633 19265 22507 237051 88864 74973 50921 22983 24052 2229997 2557420 98256 470630 9269 19052 3659661 4085158 236987 164399 568196 572569 0 452 805183 737420 X 1854478 2347738 1000000 1000000 2854478 3347738 3659661 4085158 X 242211 268510 -17461 X 1 X 0 1 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 1 1123704 170700 88887 259587 262602 -3015 0 9157 2427 6730 65816 48494 17322 24052 MARKETABLE SECURITIES 2557420 F 2557420 277 ILLINOIS INCOME TAXES 175 452 X PART X, LINE 2: 1 X 0 0 0 GEOFFREY BROWN CHIEF EXECUTIVE OFFICER 140000 0 21000 0 0 0 0 0 0 0 161000 0 0 0 FORM 990, PART VI, SECTION B, LINE 11 THE TREASURER REVIEWS AND APPROVES ANNUAL FILINGS OF TAXES. THE CHIEF OPERATING OFFICER SIGNS ALL TAX RETURNS FORM 990, PART VI, SECTION B, LINE 12C THE BOARD MONITORS ANY POTENTIAL CONFLICT OF INTERESTS FORM 990, PART VI, SECTION B, LINE 15 THE BOARD REVIEWS THE EXECUTIVE DIRECTOR'S COMPENSATION ANNUALLY THROUGH A COMMITTEE THAT RELIES ON INDEPENDENT DATA FROM THE INDUSTRY TO DETERMINE COMPENSATION LEVELS FORM 990, PART VI, SECTION C, LINE 19 TAX RETURNS AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST FROM THE NAPFA OFFICE. FORM 990, PART IX, LINE 24E REGIONAL MEMBERSHIP ALLOTMENT: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 140,789. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 140,789. VIRTUAL CONFERENCE: PROGRAM SERVICE EXPENSES 96,451. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 96,451. WEBSITE: PROGRAM SERVICE EXPENSES 76,392. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 76,392. MEMBERSHIP COMMITTEE: PROGRAM SERVICE EXPENSES 61,755. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 61,755. SPECIAL INTEREST GROUPS: PROGRAM SERVICE EXPENSES 34,719. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 34,719. COMPUTER EXPENSES: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 28,928. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 28,928. PERSONNEL RECRUITMENT: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 22,651. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 22,651. EXECUTIVE COMMITTEES: PROGRAM SERVICE EXPENSES 21,364. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 21,364. TEMPORARY HELP: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 17,041. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 17,041. REGIONAL STRATEGIC PLANNING: PROGRAM SERVICE EXPENSES 13,436. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 13,436. EDUCATION COMMITTEE: PROGRAM SERVICE EXPENSES 13,060. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 13,060. PAYROLL SERVICE: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 12,154. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 12,154. REPAIRS: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 10,555. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 10,555. UTILITIES: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 7,042. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 7,042. DUES AND SUBSCRIPTIONS: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 2,659. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,659. CONSUMER RESPONSE SYSTEM: PROGRAM SERVICE EXPENSES 2,558. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,558. TELEPHONE: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 2,315. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,315. LICENSES AND FEES: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 2,253. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,253. FEE ONLY MARK EXPENSES: PROGRAM SERVICE EXPENSES 2,237. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,237. RESOURCE PARTNERS: PROGRAM SERVICE EXPENSES 1,560. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 1,560. PRINTING AND POSTAGE ADMINISTRATIVE: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 1,525. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 1,525. EMPLOYEE TRAINING: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 1,027. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 1,027. PROMOTIONAL MATERIALS: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 666. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 666. STATE INCOME TAX: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 175. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 175. SALES TAX: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 18. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 18. FORM 990, PART XI, LINE 9: DEPRECIATION BOOK AND TAX BASIS ADJUSTMENT -16,694. AMORTIZATION BOOK AND TAX BASIS ADJUSTMENT -490. FEDERAL INCOME TAX -277. NATIONAL ASSOCIATION OF PERSONAL FINANCIAL ADVISORS INC GEN 9500 3250 N ARLINGTION HEIGHTS ROAD SUITE 109 ARLINGTON HEIGHTS IL 60004 351629277 NATI NATIONAL ASSOCIATION OF PERSONAL FINANCIAL ADVISORS INC REGION GP GEN 9500 3250 N ARLINGTION HEIGHTS ROAD SUITE 109 ARLINGTON HEIGHTS IL 60004 912020239 NATI NATIONAL ASSOCIATION OF PERSONAL FINANCIAL ADVISORS INC MIDWEST REGION 3250 N ARLINGTION HEIGHTS ROAD SUITE 109 ARLINGTON HEIGHTS IL 60004 621475275 NATI NATIONAL ASSOCIATION OF PERSONAL FINANCIAL ADVISORS INC WEST REGION 3250 N ARLINGTION HEIGHTS ROAD SUITE 109 ARLINGTON HEIGHTS IL 60004 621475363 NATI NATIONAL ASSOCIATION OF PERSONAL FINANCIAL ADVISORS INC SOUTH REGION 3250 N ARLINGTION HEIGHTS ROAD SUITE 109 ARLINGTON HEIGHTS IL 60004 621475273 NATI NATIONAL ASSOCIATION OF PERSONAL FINANCIAL ADVISORS INC NORTHEAST REGION 3250 N ARLINGTION HEIGHTS ROAD SUITE 109 ARLINGTON HEIGHTS IL 60004 621475272 NATI