Organizations Filed Purposes:
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.
To serve the interests of the SEC-registered investment advisory profession. See Part III
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.
Executives Listed on Filing
Total Salary includes financial earnings, benefits, and all related organization earnings listed on tax filing
| Name | Title | Hours Per Week | Total Salary |
|---|
| Karen L Barr | President & CEO | 50 | $439,336 |
| Gail C Bernstein | Secretary & General Counse | 50 | $372,648 |
| Neil A Simon | VP Government Relations | 40 | $247,148 |
| Monique Botkin | Associate General Counsel | 40 | $244,148 |
| Sarah Buescher | Associate General Counsel | 40 | $242,648 |
| Laura Grossman | Associate General Counsel | 40 | $241,148 |
| Sanjay Lamba | Associate General Counsel | 40 | $237,148 |
| Jeff Schweon | Board Member | 2 | $0 |
| Jennifer Murphy | Board Member | 2 | $0 |
| Christine Morgan | Board Member | 2 | $0 |
| Charles Mahar | Board Member | 2 | $0 |
| Mason King | Board Member | 2 | $0 |
| Mary Keefe | Board Member | 2 | $0 |
| Alison Baur | Board Member | 2 | $0 |
| Julie Vander Weele | Board Member | 2 | $0 |
| Peter Tuz | Board Member | 2 | $0 |
| Burnice Sparks | Board Member | 2 | $0 |
| Gwen Reinke | Board Member | 2 | $0 |
| David Oestreicher | Board Member | 2 | $0 |
| James Febeo | Board Member | 2 | $0 |
| Benjamin Alden | Board Member | 2 | $0 |
| Mark Eveans | Board Member | 2 | $0 |
| Steven Wilkes | Board Member | 2 | $0 |
| Richard Hough Iii | Board Member | 2 | $0 |
| Joan Giardina | Board Member | 2 | $0 |
| Karen Aspinall | Board Member | 2 | $0 |
| Geoffrey Alexander | Board Member | 2 | $0 |
| Jonathan Roberts | Past Chair and Board Member | 5 | $0 |
| Jane Williams | Past Chair and Board Membe | 5 | $0 |
| Richard Adler | Treasurer and Board Member | 3 | $0 |
| Yvette Garcia | Vice Chair and Board Membe | 5 | $0 |
| Christine Carsman | Chair and Board Member | 5 | $0 |
Data for this page was sourced from XML published by IRS (
public 990 form dataset) from:
https://s3.amazonaws.com/irs-form-990/202043109349302954_public.xml