SIFMA FOUNDATION FOR INVESTOR EDUCATION (FIE) INC (EIN 521087193) - 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

1976

Legal Domicile

Principal Officer

MELANIE MORTIMER

Phone

2123131371

Tax Period

2023-11-01 to 2024-10-31

SIFMA FOUNDATION FOR INVESTOR EDUCATION (FIE) INC, founded in 1976, is a community nonprofit in the Social Science sector that reported $4.6M in total revenue in fiscal year 2023. Revenue decreased 11% compared to the prior year. Expenses of $5.1M exceeded revenue, resulting in a 11% operating deficit.

Mission

THE SIFMA FOUNDATION IS DEDICATED TO FOSTERING KNOWLEDGE AND UNDERSTANDING OF THE FINANCIAL MARKETS FOR INDIVIDUALS OF ALL BACKGROUNDS. THE FOUNDATION FILLS CRITICAL GAPS IN FINANCIAL EDUCATION FOR SCHOOLS, NONPROFITS, AND FAMILIES; ADVANCES ECONOMIC INDEPENDENCE FOR YOUTH OF ALL BACKGROUNDS; AND PREPARES THE FUTURE FINANCIAL WORKFORCE BY CULTIVATING WELL-INFORMED CUSTOMERS, BUSINESS LEADERS, AND DECISION-MAKERS.

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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 $3,911,991

Program Service Revenue $386,750

Investment Income $328,066

Other Revenue $0

TOTAL REVENUE $4,626,807

Expense Breakdown

Grants Paid $16,250

Salaries & Benefits $3,206,013

Fundraising Expenses $250,315

Program Expenses $4,316,156

Other Expenses $1,909,951

TOTAL EXPENSES $5,132,214

Year-over-Year Comparison

	2023	2022	Change
Revenue	$4,626,807	$5,227,293	-0.1%
Expenses	$5,132,214	$5,350,848	0.0%
Net Income	$-505,407	$-123,555	+3.1%

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

15607

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

$498,163

Total Directors

Key Employees

Highest Compensated

reported

Name	Title	Hours/Week	Role	Reportable Comp	Other Comp	Total
RICHARD J DALY	CHAIR	2.00	Officer Director	$0	$0	$0
LAWRENCE THOMAS	VICE-CHAIR	2.00	Officer Director	$0	$0	$0
LISA KIDD HUNT	VICE-CHAIR	2.00	Officer Director	$0	$0	$0
TODD DIGANCI	TREASURER	1.50	Officer Director	$0	$0	$0
JAMES ALLEN	DIRECTOR	1.00	Director	$0	$0	$0
JAMES ANDERSON	DIRECTOR	1.00	Director	$0	$0	$0
LISA BLEIER	DIRECTOR	1.00	Director	$0	$0	$0
KENNETH CELLA	DIRECTOR	1.00	Director	$0	$0	$0
BRYAN CHRISTIAN	DIRECTOR	1.00	Director	$0	$0	$0
VANESSA COOKSEY	DIRECTOR	1.00	Director	$0	$0	$0
DAVID DAWKINS	DIRECTOR	1.00	Director	$0	$0	$0
VLAD KHANDROS	DIRECTOR	1.00	Director	$0	$0	$0
KRISTEN KIMMELL	DIRECTOR	1.00	Director	$0	$0	$0
MICHAEL KISBER	DIRECTOR	1.00	Director	$0	$0	$0
EVAN LAHUTA	DIRECTOR	1.00	Director	$0	$0	$0
SHAREEN LUZE	DIRECTOR	1.00	Director	$0	$0	$0
JOSEPH E SWEENEY	DIRECTOR	1.00	Director	$0	$0	$0
SUSAN THEDER	DIRECTOR	1.00	Director	$0	$0	$0
MELANIE MORTIMER	PRESIDENT, SECRETARY	40.00	Officer	$437,134	$61,029	$498,163
ELIZABETH REIDEL	MANAGING DIRECTOR	40.00	Highest	$225,960	$80,711	$306,671
MICHAEL SHERMAN	DIRECTOR	40.00	Highest	$216,671	$16,921	$233,592
BENJAMIN SAWYER	CHIEF OPERATING OFFICER	40.00	Highest	$270,479	$44,519	$314,998
JOHN MARTIN	VICE PRESIDENT	40.00	Highest	$210,082	$36,882	$246,964
ALLYSON GOLDHAGEN	VICE PRESIDENT	40.00	Highest	$183,196	$8,009	$191,205

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	$4,626,807	$5,132,214	$11,081,937	$-505,407
2023	$5,227,293	$5,350,848	$10,295,181	$-123,555
2022	$3,830,938	$4,143,746	$10,117,880	$-312,808
2021	$3,648,885	$4,000,644	$11,930,027	$-351,759
2020	$4,561,649	$3,843,762	$10,781,139	$717,887
2019	$3,320,637	$3,791,745	$9,794,038	$-471,108
2018	$4,222,765	$3,616,547	$9,721,094	$606,218

SIFMA FOUNDATION FOR INVESTOR EDUCATION (FIE) INC