Association of Securities Exchange Commission Alum (EIN 223036796) - Form 990 Financial Analysis & Trantor Score

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Financial Vulnerability Assessment (Tuckman-Chang)

4 risk indicators measuring financial stability and operational resilience

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Financial Trends

Organization Details

Formation Year

1990

Legal Domicile

Tax Period

2023-01-01 to 2023-12-31

Association of Securities Exchange Commission Alum, founded in 1990, is a micro nonprofit that reported $96K in total revenue in fiscal year 2023. Revenue fell 75% from the prior year — a significant decline worth monitoring. Expenses of $163K exceeded revenue, resulting in a 70% operating deficit.

Mission

To provide for education and growth of securities law and related professionals and promote study of securities law through law schools, provide scholarships for students of securities law and SEC staff.

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Trantor Score

Financial Health Score (300–850) · Liquidity · Solvency · Sustainability · Efficiency

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Liquidity (40%) • Solvency (30%) • Sustainability (20%) • Efficiency (10%)

Financial Overview (2023)

Revenue Breakdown

Contributions & Grants $65,435

Program Service Revenue $21,957

Investment Income $8,401

Other Revenue $0

TOTAL REVENUE $95,793

Expense Breakdown

Grants Paid $45,000

Salaries & Benefits $91,503

Fundraising Expenses $0

Program Expenses $45,000

Other Expenses $26,594

TOTAL EXPENSES $163,097

Year-over-Year Comparison

	2023	2022	Change
Revenue	$95,793	$390,942	-0.8%
Expenses	$163,097	$294,527	-0.4%
Net Income	$-67,304	$96,415	-1.7%

Key Indicators

✗ Grants to Organizations ✗ Grants to Individuals ✗ Lobbying ✗ Political Activity ✗ Foreign Activities ✗ Donor Advised Fund ✗ Schedule B Required

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Financial Health Indicators

Comprehensive financial analysis: Altman Z-Score, liquidity, solvency, sustainability, efficiency, and growth metrics

Financial Distress Indicator

Liquidity & Cash Position

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Altman Z-Score • Liquidity Ratios • Solvency Analysis • Growth Indicators • Efficiency Metrics

Governance

Voting Members

Independent Members

Employees

Volunteers

N/A

Governance Policies

✗ Conflict of Interest Policy

✗ Whistleblower Policy

✗ Document Retention Policy

Special Practices & Reported Activities

✗ Operated a School

✗ Operated a Hospital

✗ Provided First Class Travel

✗ Reported Conflict of Interest

✗ Reported Asset Diversion

✗ Excess Benefit Transaction

✗ Made Political Expenditures

✗ Engaged in Lobbying

✗ Operated Donor Advised Fund

✗ Maintained Art Collections

✗ Filed Form 720

Compensation of Officers, Directors & Key Employees

Total Officers

Total Directors

Key Employees

Highest Compensated

reported

Name	Title	Hours/Week	Role	Reportable Comp	Other Comp	Total
John Hartigan	Director	1.00	Director	$0	$0	$0
Randall Lee	Director	1.00	Director	$0	$0	$0
Steven Jacobs	Director	1.00	Director	$0	$0	$0
Mary Hansen	Director	1.00	Director	$0	$0	$0
Juan Marcelino	Director	1.00	Director	$0	$0	$0
Patricia Murphy	Director	1.00	Director	$0	$0	$0
Keir Gumbs	Director	1.00	Director	$0	$0	$0
Mary Hansen	Director	1.00	Director	$0	$0	$0
Paul Atkins	Director	1.00	Director	$0	$0	$0
Ammani Nagesh	Director	1.00	Director	$0	$0	$0
Paul Roye	Director	1.00	Director	$0	$0	$0
Elise Walker	Director	1.00	Director	$0	$0	$0
Linda Thomsen	Director	1.00	Director	$0	$0	$0
Douglas Hyman	Board Member	1.00	Director	$0	$0	$0
Jonathan Sokobin	Director	1.00	Director	$0	$0	$0
Brandon Becker	Director	1.00	Director	$0	$0	$0
Wayne Carnall	Director	1.00	Director	$0	$0	$0
Marc Fagel	Director	1.00	Director	$0	$0	$0
James Brigagliano	Director	1.00	Director	$0	$0	$0
James Lundy	Treasurer	1.00	Officer Director	$0	$0	$0
Annmarie Tierney	President	2.00	Officer Director	$0	$0	$0
Heather Traeger	Vice President	1.00	Officer Director	$0	$0	$0
Deborah Keeler	Executive Director	30.00	Key Emp	$0	$0	$0

Note: Compensation data is self-reported by the organization on their Form 990. "Reportable Comp" includes salary, bonuses, and other reportable compensation from the organization and related organizations. "Other Comp" includes benefits, deferred compensation, and non-taxable benefits.

Historical Data

Year	Revenue	Expenses	Assets	Net Income
2024	No data	No data	No data	No data
2023	$95,793	$163,097	$621,074	$-67,304
2022	$390,942	$294,527	$669,448	$96,415
2021	$121,300	$171,065	$888,231	$-49,765
2020	$52,398	$187,301	$841,403	$-134,903

Association of Securities Exchange Commission Alum