Clerk of the House of Representatives
Legislative Resource Center
135 Cannon Building
Washington, DC 20515
http://lobbyingdisclosure.house.gov 		Secretary of the Senate
Office of Public Records
232 Hart Building
Washington, DC 20510
http://www.senate.gov/lobby
LOBBYING REPORT

Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page

1. Registrant Name Organization/Lobbying Firm Self Employed Individual
Investment Company Institute

2. Address

Address1
1401 H STREET, NW
 Address2
​SUITE 1200
City
WASHINGTON
 State
DC
 Zip Code
20005
 Country
USA

3. Principal place of business (if different than line 2)

City
​
State
​
Zip Code
​
Country
​
4a. Contact Name b. Telephone Number c. E-mail
​Mr.
​Thomas Quaadman
​2023265800
​agoldenb@ici.org
5. Senate ID#
​20128-12
7. Client Name Self Check if client is a state or local government or instrumentality
​Investment Company Institute
6. House ID#
​311170000
TYPE OF REPORT 8. Year
​2026
 Q1 (1/1 - 3/31) Q2 (4/1 - 6/30) Q3 (7/1 - 9/30) Q4 (10/1 - 12/31)

9. Check if this filing amends a previously filed version of this report

10. Check if this is a Termination Report Termination Date
​
11. No Lobbying Issue Activity
INCOME OR EXPENSES - YOU MUST complete either Line 12 or Line 13
12. Lobbying 13. Organizations
INCOME relating to lobbying activities for this reporting period was: EXPENSE relating to lobbying activities for this reporting period were:
Less than $5,000
Less than $5,000
$5,000 or more $
​
$5,000 or more $
​1,290,000.00
Provide a good faith estimate, rounded to the nearest $10,000, of all lobbying related income for the client (including all payments to the registrant by any other entity for lobbying activities on behalf of the client). 14. REPORTING Check box to indicate expense accounting method. See instructions for description of options.
Method A. Reporting amounts using LDA definitions only

Method B. Reporting amounts under section 6033(b)(8) of the Internal Revenue Code

Method C. Reporting amounts under section 162(e) of the Internal Revenue Code

Signature
Digitally Signed By: Thomas Quaadman
 Date
4/20/2026 12:25:06 PM

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code FIN

16. Specific lobbying issues

S 424, Retirement Fairness for Charities and Educational Institutions Act of 2025
S 1808, Access to Small Business Investor Capital Act
S 1877, Improving Disclosure for Investors Act of 2025
S 2840, Financial Exploitation Prevention Act of 2025
S 3578, Financial Stability Oversight Council Improvement Act of 2025
S 3671, Increasing Investor Opportunities Act
S 4064, Digital Commodity Intermediaries Act
HR 2478, Financial Exploitation Prevention Act of 2025
HR 3383, INVEST Act (Sections 202, 205, 206, 302)
HR 3682, Financial Stability Oversight Council Improvement Act of 2025
PL 119-27, GENIUS Act
Escheatment of securities
Exempt unlisted BDCs from State regulation
Infrastructure Financing
Investment Company Act of 1940 modernization
SEC Political Contributions Rule
Proxy process reform
Restricting institutional investors from buying single-family homes
SEC and CFTC Statutory Disqualifications
Tokenization

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, White House Office, Securities & Exchange Commission (SEC)

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
Cynthia
Pullom
​
​
Peter
Gunas
​
​
Christopher
Hopper
​
​
Thomas
Quaadman
​
​
Evan
Williams
​
​
Elisha
Tuku
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code RET

16. Specific lobbying issues

S 3086, Restoring Integrity in Fiduciary Duty Act
HR 2869, EBSA Investigations Transparency Act
HR 2958, Balance the Scales Act
HR 2988, Protecting Prudent Investment of Retirement Savings Act
HR 6084, ERISA Litigation Reform Act
EO on Democratizing Access to Alternative Assets for 401(k) Investors
DOL proposed rule on "Fiduciary Duties in Selecting Designated Investment Alternatives"

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Labor - Dept of (DOL), Treasury - Dept of

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
Peter
Gunas
​
​
Lori
Kearns
​
​
Elena
Chism
​
​
Thomas
Quaadman
​
​
Evan
Williams
​
​
Christopher
Hopper
​
​
Elisha
Tuku
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code TAX

16. Specific lobbying issues

S 1526, Retirement Savings for Americans Act of 2025
S 1839, Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act
S 2207, To amend the IRC of 1986 to reform the treatment of digital assets
HR 2089, Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act
HR 2696, Retirement Savings for Americans Act of 2025
Digital Asset PARITY Act
PL 119-21, Trump Accounts implementation
Australia Public Country-by-Country Reporting
Digital Asset Wash Sale rules
Grantor Trusts
IRC section 852(b)(6)
Regulated Investment Company asset diversification requirements and good income test
Saver's Match expansion
Tax deferral of retirement contributions

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, White House Office

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
Peter
Gunas
​
​
Andrew
Goldenbaum
​
​
Lori
Kearns
​
​
Thomas
Quaadman
​
​
Christopher
Hopper
​
​
Cynthia
Pullom
​
​
Elena
Chism
​
​
Evan
Williams
​
​
Elisha
Tuku
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code BUD

16. Specific lobbying issues

FY27 Financial Services and General Government Appropriations

17. House(s) of Congress and Federal agencies Check if None

U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
Thomas
Quaadman
​
​
Evan
Williams
​
​
Christopher
Hopper
​
​
Elisha
Tuku
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

Information Update Page - Complete ONLY where registration information has changed.

20. Client new address

Address
​
City
​
State
​
Zip Code
​
Country
​

21. Client new principal place of business (if different than line 20)

City
​
State
​
Zip Code
​
Country
​

22. New General description of client’s business or activities

​

LOBBYIST UPDATE

23. Name of each previously reported individual who is no longer expected to act as a lobbyist for the client

First Name
Last Name
Suffix
First Name
Last Name
Suffix
1
​
​
​
3
​
​
​
2
​
​
​
4
​
​
​

ISSUE UPDATE

24. General lobbying issue that no longer pertains

​
​
​
​
​
​
​
​
​

AFFILIATED ORGANIZATIONS

25. Add the following affiliated organization(s)

Internet Address:

Name Address Principal Place of Business
(city and state or country)
Street Address
City State/Province Zip Country
City
State Country

26. Name of each previously reported organization that is no longer affiliated with the registrant or client

1 2 3

FOREIGN ENTITIES

27. Add the following foreign entities:

Name Address Principal place of business
(city and state or country) 		Amount of contribution for lobbying activities Ownership percentage in client
Street Address
City State/Province Country
City
State Country
%

28. Name of each previously reported foreign entity that no longer owns, or controls, or is affiliated with the registrant, client or affiliated organization

1 3 5
2 4 6

CONVICTIONS DISCLOSURE

29. Have any of the lobbyists listed on this report been convicted in a Federal or State Court of an offense involving bribery, extortion, embezzlement, an illegal kickback, tax evasion, fraud, a conflict of interest, making a false statement, perjury, or money laundering?

Lobbyist Name Description of Offense(s)