2024-10-17T17:04:11-05:00 2023-12-31 521853933 JM&M 1730 RHODE ISLAND AVE NW SUITE 800 WASHINGTON DC 20036 990 2023-01-01 271573481 DEFINED CONTRIBUTION INSTITUTIONAL INVESTMENT ASSOCIATION DEFI 2026561868 201 N US HIGHWAY 1 D10 1088 JUPITER FL 33477 LEW MINSKY PRESIDENT & CEO 2026561868 2024-10-16 1 1 P01608821 2022963306 2023 2024-10-15 13:58:12Z LEW MINSKY 201 N US HIGHWAY 1 D10 1088 JUPITER FL 33477 2251286 0 X WWW.DCIIA.ORG X 2010 DE TO FOSTER A DIALOGUE AMONG THE LEADERS OF THE DEFINED CONTRIBUTION COMMUNITY. 30 30 11 43 0 0 392680 429205 1820972 1790539 0 22129 3665 9413 2217317 2251286 0 0 0 0 1375875 1288222 0 0 0 900897 1133351 2276772 2421573 -59455 -170287 2445374 2607949 885106 1217968 1560268 1389981 X TO FOSTER A DIALOGUE AMONG THE LEADERS OF THE DEFINED CONTRIBUTION COMMUNITY. 0 0 ANNUAL FORUMS AND SUMMIT: PUBLIC POLICY FORUM - DCIIA PARTNERS WITH INDUSTRY ORGANIZATION (SPARK INSTITUTE) TO PROVIDE AN ANNUAL PUBLIC POLICY FORUM OPEN TO ALL OF ITS MEMBERS. THE PUBLIC POLICY FORUM PROVIDES AN OPPORTUNITY TO PROMOTE COLLABORATIVE RELATIONSHIPS BETWEEN INDUSTRY LEADERS AND THE KEY PLAYERS IN THE POLICY COMMUNITY SUCH AS MEMBERS OF CONGRESS, SENIOR CAPITOL HILL STAFF, DEPARTMENT OF LABOR, SECURITIES AND EXCHANGE COMMISSION, AND THE U.S. TREASURY AS WELL AS SIMILAR INTERNATIONAL ENTITIES. THE PUBLIC POLICY FORUM ALSO PROVIDES MEMBERS WITH UPDATES FROM EACH OF DCIIA'S COMMITTEES.ACADEMIC FORUM - DCIIA PROVIDES AN ANNUAL ONE-DAY MEETING OPEN TO ALL OF ITS MEMBERS. THE ACADEMIC FORUM BRINGS TOGETHER OVER 300 INDUSTRY LEADERS WITH THOUGHT LEADERS IN THE ACADEMIC AND PLAN SPONSOR COMMUNITIES. TOPICS AT THE ACADEMIC FORUM INCLUDE DISCUSSIONS ON BEHAVIORAL FINANCE, RETIREMENT INCOME, AND ADVANCED INVESTMENT DESIGN. INNOVATION FORUM - DCIIA PROVIDES AN ANNUAL ONE-DAY INNOVATION FORUM OPEN TO ALL OF ITS MEMBERS. THE INNOVATION FORUM FOCUSES ON TOPICS DRIVING THE FUTURE OF THE DEFINED CONTRIBUTION INDUSTRY AND FEATURES EXPERT SPEAKERS FROM ITS MEMBER FIRMS.DIVERSITY, EQUITY & INCLUSION ("DEI") AWARDS DINNER - DCIIA PROVIDES AN ANNUAL EVENING EVENT OPEN TO ALL OF ITS MEMBERS WITH PROGRAMMING FOCUSING ON DEI. THE AWARDS RECOGNIZE INDIVIDUALS WHO ARE ADVOCATING FOR OR OTHERWISE CONTRIBUTING TO MEMBER ORGANIZATIONS' DIVERSITY, EQUITY AND INCLUSIVENESS IN TWO CATEGORIES: LEADERS, AND RISING STARS.THE ADVISOR INSTITUTE FORUM - DCIIA BRINGS TOGETHER SENIOR EXECUTIVES TO SHARE IDEAS FREELY IN A COLLABORATIVE, INTIMATE ATMOSPHERE HELD OVER TWO DAYS. EXECUTIVES EXPLORE THE FUTURE OF THE INDUSTRY, ENGAGE IN THOUGHT-PROVOKING DISCUSSIONS, AND ENJOY NETWORKING OPPORTUNITIES WITH A CROSS-SECTION OF INDUSTRY LEADERS. COMMITTEES AND MEETINGS:DCIIA'S MEMBERS MAY PARTICIPATE IN THE FOLLOWING COMMITTEES: COMMUNICATIONS; DIVERSITY, EQUITY AND INCLUSION; GLOBAL; INVESTMENT POLICY AND DESIGN; ESG (SUBCOMMITTEE); PLAN DESIGN AND ADMIN, PUBLIC POLICY; AND RETIREMENT INCOME. THESE COMMITTEES BRING TOGETHER A DIVERSE GROUP OF DC PROFESSIONALS, INCLUDING: INVESTMENT MANAGERS, INSURANCE COMPANIES, CONSULTANTS, RECORD KEEPING AND TRUST COMPANIES, PLAN SPONSORS, LAW FIRMS, ACADEMIA, AND OTHER STAKEHOLDERS FOCUSED ON IMPROVING FINANCIAL OUTCOMES FOR AMERICA'S WORKERS. THESE COMMITTEES FURTHER THE MISSION OF DCIIA THROUGH THE FOLLOWING STRATEGIES:-PROVIDES AN INDEPENDENT FORUM FOR THOUGHT LEADERSHIP ON ADVANCING DEFINED CONTRIBUTION AND RETIREMENT INCOME DESIGN, INCLUDING INSTITUTIONAL DEFAULT INVESTMENT STRATEGIES AND RETIREMENT INCOME SOLUTIONS; -CONDUCTS RESEARCH, PUBLISHES ANALYSIS AND INSIGHTS, AND HOSTS EVENTS THAT SUPPORT THE ADVANCEMENT OF INSTITUTIONAL APPROACHES AND BETTER DEFINED CONTRIBUTION DESIGN;-IDENTIFIES AND REMOVES BARRIERS FOR PLAN SPONSORS SO THAT THEY MAY PURSUE IMPROVED DEFINED CONTRIBUTION INSTITUTIONAL INVESTMENT STRUCTURES; -ENCOURAGES IMPROVED FIDUCIARY PRACTICES AND TOOLS TO SUPPORT INSTITUTIONAL DEFINED CONTRIBUTION PLAN DESIGN; AND, -EDUCATES LEGISLATORS AND REGULATORS ABOUT ISSUES AND CHALLENGES IN INSTITUTIONAL DEFINED CONTRIBUTION PLAN DESIGN AND BETTER APPROACHES TO RETIREMENT SECURITY.DCIIA HOLDS REGIONAL EVENTS IN VARIOUS CITIES THROUGHOUT THE YEAR. THESE EVENTS OFFER EDUCATIONAL OR NETWORKING OPPORTUNITIES FOR DCIIA'S MEMBERS.DCIIA HOLDS AN ANNUAL PLANNING MEETING WITH ITS BOARD TO DISCUSS VARIOUS STRATEGIC AND ORGANIZATIONAL MATTERS THAT MAY INFLUENCE DCIIA'S JOURNEY TOWARDS ITS MISSION. MEMBERSHIP AND PUBLIC RELATIONS: DCIIA'S PRESIDENT AND EXECUTIVE DIRECTOR REPRESENT THE ORGANIZATION TO THE PRESS AND TO EXTERNAL STAKEHOLDERS, AND PARTICIPATES IN INDUSTRY EVENTS ON BEHALF OF DCIIA. 0 1 0 1 0 0 0 0 0 0 0 0 1 0 1 0 1 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 17 0 1 11 1 0 0 0 0 0 0 0 0 X 30 30 0 0 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X AMANDA MCCORMICK - DCIIA 2026561868 201 N US HIGHWAY 1 D10 1088 JUPITER FL 33477 LEW MINSKY PRESIDENT & CEO 40.00 1.00 X 626844 0 30800 LISA MASSENA CHIEF OPERATING OFFICER 40.00 X 193750 0 14782 PAM HESS EXECUTIVE DIRECTOR OF DCIIA RRC 1.00 40.00 X 183333 0 6400 AMANDA MCCORMICK VP OF OPERATIONS 40.00 X 132167 0 4865 KAREN WITHAM VP OF COMMUNICATIONS & MARKETING 40.00 X 122000 0 4560 CHRIS LYON CO-CHAIR UNTIL 03/2023, THEN CHAIR 2.00 X X 0 0 0 MIKE RASO TREASURER UNTIL 03/2023, THEN VICE CHAIR 2.00 X X 0 0 0 DAVID MUSTO IMMEDIATE PAST CHAIR UNTIL 03/2023 2.00 X X 0 0 0 MARY BETH GLOTZBACH CO-CHAIR UNTIL 03/2023, THEN IMMED.PAST CHAIR 2.00 X X 0 0 0 ALLEGRA HEYLIGERS DIRECTOR UNTIL 03/2023, THEN TREASURER 2.00 X X 0 0 0 KAI WALKER DIRECTOR AS OF 03/2023 1.50 1.50 X 0 0 0 JEFF CIMINI DIRECTOR AS OF 11/2023 2.00 X 0 0 0 MICHAEL ANDEBERHAN DIRECTOR 2.00 X 0 0 0 KRISTIN O'DONNELL DIRECTOR 2.00 X 0 0 0 VIKRANT ARYA DIRECTOR 2.00 X 0 0 0 CATHERINE COLLINSON DIRECTOR 1.50 1.50 X 0 0 0 STEVE FERBER DIRECTOR 2.00 X 0 0 0 MICHELLE RAPPA DIRECTOR 2.00 X 0 0 0 VIDYA RAJAPPA DIRECTOR 2.00 X 0 0 0 KRISTEN COLVIN DIRECTOR 2.00 X 0 0 0 BILL RYAN DIRECTOR 1.50 1.50 X 0 0 0 MIKAYLEE O'CONNOR DIRECTOR 2.00 X 0 0 0 JANE GREENFIELD DIRECTOR 2.00 X 0 0 0 CHRIS ANAST DIRECTOR 1.50 1.50 X 0 0 0 MICHAEL DAVIS DIRECTOR 2.00 X 0 0 0 MICHAEL KREPS DIRECTOR 2.00 X 0 0 0 JAMIE MCALLISTER DIRECTOR 2.00 X 0 0 0 CHRISTOPHER NIKOLICH DIRECTOR 2.00 X 0 0 0 JOHANNA VOGEL DIRECTOR 2.00 X 0 0 0 KATIE HOCKENMAIER DIRECTOR 2.00 X 0 0 0 MATTHEW RAUSEO DIRECTOR 2.00 X 0 0 0 HANNAH SCHRINER DIRECTOR 2.00 X 0 0 0 MEGAN YOST DIRECTOR 2.00 X 0 0 0 BETH PATTILLO DIRECTOR 2.00 X 0 0 0 SIMON FRANKLIN DIRECTOR 2.00 X 0 0 0 CHRIS WEIRATH DIRECTOR 2.00 X 0 0 0 ROB AUSTIN DIRECTOR UNTIL 03/2023 1.50 1.50 X 0 0 0 MELISSA KAHN DIRECTOR UNTIL 03/2023 2.00 X 0 0 0 AARON BORDERS DIRECTOR UNTIL 05/2023 1.50 1.50 X 0 0 0 ERIN DONNELLY DIRECTOR UNTIL 03/2023 2.00 X 0 0 0 TONY TOMICH DIRECTOR UNTIL 03/2023 2.00 X 0 0 0 ELIZABETH HEFFERNAN DIRECTOR UNTIL 03/2023 1.50 1.50 X 0 0 0 KEVIN KNOWLES DIRECTOR UNTIL 03/2023 2.00 X 0 0 0 EILEEN KWEI DIRECTOR UNTIL 03/2023 2.00 X 0 0 0 JESSICA SCLAFANI DIRECTOR UNTIL 03/2023 1.50 1.50 X 0 0 0 KEVIN MORRIS DIRECTOR UNTIL 05/2023 2.00 X 0 0 0 CATHERINE REILLY DIRECTOR UNTIL 02/2023 2.00 X 0 0 0 CHRISTINA ELLIOTT DIRECTOR AS OF 02/2023, THEN UNTIL 07/2023 2.00 X 0 0 0 1258094 0 61407 5 0 1 0 KNOX CONSULTING 775 FAIR OAKS DRIVE ALAMO CA 94507 CONSULTING 265000 EVENT CONSULTING GROUP 215 E RIDGEWOOD AVE SUITE 201 RIDGEWOOD NJ 07450 MEETING PLANNING 200000 2 429205 429205 MEMBERSHIP REVENUE 900099 1603770 1603770 PROJECT REVENUE 900099 105550 105550 MEETING REVENUE 900099 81219 81219 1790539 22129 22129 HOTEL COMMISSION 900099 6999 6999 JOB BOARD 900099 1701 1701 SPEAKER 900099 713 713 9413 2251286 1790539 0 31542 X 734647 445825 25944 81806 2810 36000 18471 291669 54850 45828 56453 572500 11702 SPONSORSHIP EXPENSES 26248 PUBLIC RELATIONS 16820 2421573 1103146 273717 25000 4500 28777 124678 0 865719 1288451 1339335 2445374 2607949 92631 127043 792475 1090925 885106 1217968 X 1560268 1389981 1560268 1389981 2445374 2607949 -170287 0 X X 0 1 X 1 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 DUE FROM AFFILIATES 1339335 1339335 X PART X, LINE 2: THE ORGANIZATION BELIEVES THAT IT HAS APPROPRIATE SUPPORT FOR ANY TAX POSITIONS TAKEN, AND AS SUCH, DOES NOT HAVE ANY UNCERTAIN TAX POSITIONS THAT ARE MATERIAL TO THE CONSOLIDATED FINANCIAL STATEMENTS OR THAT WOULD HAVE AN EFFECT ON ITS TAX-EXEMPT STATUS. THERE WERE NO UNRECOGNIZED TAX BENEFITS OR LIABILITIES THAT NEEDED TO BE RECORDED. X 1 0 X X X 0 0 0 LEW MINSKY PRESIDENT & CEO 485793 0 141051 0 0 0 9900 0 20900 0 657644 0 0 0 LISA MASSENA CHIEF OPERATING OFFICER 193750 0 0 0 0 0 5813 0 8969 0 208532 0 0 0 PAM HESS EXECUTIVE DIRECTOR OF DCIIA RRC 183333 0 0 0 0 0 5500 0 900 0 189733 0 0 0 FORM 990, PART VI, SECTION A, LINE 1A IN ADDITION TO ANY OTHER DIRECTORS APPOINTED TO THE EXECUTIVE COMMITTEE, THE CHAIR, VICE-CHAIR, SECOND VICE-CHAIR, AND THE CHAIRS OF EACH COMMITTEE OF THE BOARD AND OF THE CORPORATION SHALL BE EX-OFFICIO VOTING MEMBERS OF THE EXECUTIVE COMMITTEE. NO MORE THAN 50% OF THE EXECUTIVE COMMITTEE MEMBERS SHALL BE FROM FIRMS REPRESENTING THE SAME CONSTITUENCY GROUP WITHIN THE CORPORATION. THE CORPORATION'S EXECUTIVE COMMITTEE MAY EXERCISE DURING THE INTERVAL BETWEEN MEETINGS OF THE BOARD, ALL OF THE POWERS OF THE BOARD IN THE MANAGEMENT AND CONTROL OF THE ACTIVITIES, PROPERTY, BUSINESS AND AFFAIRS OF THE CORPORATION. FORM 990, PART VI, SECTION A, LINE 6 ENTITIES AND INDIVIDUALS MAY BE ELIGIBLE FOR MEMBERSHIP. THERE IS A TIERED MEMBERSHIP LEVEL BASED ON THE SIZE, ORGANIZATION TYPE AND/OR NUMBER OF SEATS AVAILABLE AT EVENTS ACROSS ALL INDUSTRY TYPES. FORM 990, PART VI, SECTION A, LINE 7A EACH IMIC MEMBER AND EACH EXPERT MEMBER MAY APPOINT ONE PERSON TO SERVE ON THE MEMBERSHIP BOARD. THE MEMBERSHIP BOARD SHALL APPOINT THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 11B THE CEO AND THE ACCOUNTANT REVIEW THE FORM 990, WHICH IS THEN DISTRIBUTED TO THE BOARD, AND IT IS THEN DISCUSSED WITH THE CHAIRPERSON AND TREASURER BEFORE IT IS SIGNED BY THE EXECUTIVE DIRECTOR AND FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C MONITORED AT BOARD MEETINGS AND REVIEWED BY MANAGEMENT ON POLICIES DEVELOPED. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE COMPENSATION COMMITTEE DETERMINES COMPENSATION FOR THE CEO AND OTHER PAID OFFICERS AND EMPLOYEES BY COMPARING THE COMPENSATION OF OTHER CEO'S AND OFFICERS OF OTHER SIMILAR INDUSTRY ORGANIZATIONS. THE LAST TIME THIS REVIEW USING COMPENSATION COMPARABLE DATA WAS DONE FOR THE CEO IN AUGUST 2023 AND THE OTHER OFFICERS IN SEPTEMBER 2023. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G PAYROLL SERVICES PROVIDER 2,163. CONSULTING 289,506. FORM 990, PART XII, LINE 2C: THE ORGANIZATION HAS NOT CHANGED ITS SELECTION OR OVERSIGHT PROCESS FOR THE TAX YEAR. DCIIA RETIREMENT RESEARCH CENTER 201 N US HIGHWAY 1 D10 1088 JUPITER FL 33477 814104942 RESEARCH DE 501(C)(3) LINE 12A, I 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 FORM 990, PART VII AND SCHEDULE J, PART II: PAM HESS IS THE EXECUTIVE DIRECTOR OF RESEARCH AT DCIIA RETIREMENT RESEARCH CENTER, INC., A RELATED ORGANIZATION. THE OFFICER WAS COMPENSATED FOR HER SERVICES BY DCIIA IN 2023.