NEA MEMBER BENEFITS
Adviser information for NEA MEMBER BENEFITS last updated from Form ADV on November 16th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Other (specify) |
|---|---|
| Fiscal Year End | AUGUST |
| Legal Location | District of Columbia, United States |
Employees
| Total Number of Employees | 94 |
|---|---|
| Investment Advisory/Research | 23 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 50 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 71,480 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 71480 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Publication of periodicals or newslettersEducational seminars/workshopsSEE SCHEDULE D MISCELLANEOUS |
|---|---|
| Compensation | Fixed feesSEE SCHEDULE D MISCELLANEOUS |
Identifiers
| SEC RIA File Number | 801-64989 |
|---|---|
| SEC ERA File Number | 801-64989 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 138196 |
| Legal Entity Identifier | None |
Principal Office
900 CLOPPER ROADSUITE 300
GAITHERSBURG
MD
United States
Monday - Friday, 8:45 A.M. TO 5:00 P.M.
Tel: 301-251-9600, Fax: 301-527-8210
Chief Compliance Officer
LISA M. SOTIR OZKAN
CHIEF LEGAL OFFICER
900 CLOPPER ROAD
GAITHERSBURG
MD
United States
Tel:
301-527-4440
Fax:
301-956-1893
L*****@********M
(Full email address available in API data)
Regulatory Contact
DOUGLAS TERWILLIGER
SENIOR FINANCIAL AND COMPLIANCE ANALYST, IARD ACCOUNT ADMINISTRATOR
900 CLOPPER ROAD, SUITE 300
GAITHERSBURG
MD
United States
Tel:
301-527-6257
Fax:
301-956-1875
D***********@********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NATIONAL EDUCATION ASSOCIATION | Domestic Entity | – | MEMBER | 06/2020 | > 75% |
| PHOEBUS, EDWARD, GARLAND | Individual | – | CHIEF EXECUTIVE OFFICER | 04/2004 | < 5% |
| SOTIR, LISA, M | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF LEGAL OFFICER | 09/2005 | < 5% |
| MOSS, PRINCESS | Individual | – | CHAIR OF THE BOARD OF DIRECTORS | 09/2014 | < 5% |
| McKim, Brent, Alan | Individual | – | DIRECTOR | 10/2015 | < 5% |
| CANDELARIA, NOEL | Individual | – | DIRECTOR | 10/2016 | < 5% |
| EVANS, CECILIA | Individual | – | CHIEF FINANCIAL OFFICER | 09/2016 | < 5% |
| COBB, MARY, JANE | Individual | – | DIRECTOR | 10/2020 | < 5% |
| BOYD, ERNEST, TOBIAS | Individual | – | DIRECTOR | 10/2020 | < 5% |
| SCHRAM, BARBARA, JEAN | Individual | – | DIRECTOR | 10/2020 | < 5% |
| Vaughan, James, Greer | Individual | – | DIRECTOR | 10/2021 | < 5% |
| Kreitz, Roberta, Elizabeth | Individual | – | DIRECTOR | 10/2021 | < 5% |
| Lindner, Leona, Suzanne | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2022 | < 5% |