0000910472-12-001237.txt : 20120430
0000910472-12-001237.hdr.sgml : 20120430
20120427181008
ACCESSION NUMBER: 0000910472-12-001237
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120331
FILED AS OF DATE: 20120430
DATE AS OF CHANGE: 20120427
EFFECTIVENESS DATE: 20120430
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Institute for Wealth Management, LLC.
CENTRAL INDEX KEY: 0001533954
IRS NUMBER: 200013572
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14899
FILM NUMBER: 12791383
BUSINESS ADDRESS:
STREET 1: 1775 SHERMAN STREET
STREET 2: SUITE 2750
CITY: DENVER
STATE: CO
ZIP: 80203
BUSINESS PHONE: 303-572-3500
MAIL ADDRESS:
STREET 1: 1775 SHERMAN STREET
STREET 2: SUITE 2750
CITY: DENVER
STATE: CO
ZIP: 80203
13F-HR
1
form13fhr.txt
13F-HR
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 2012
Check here if Amendment [ ]; Amendment Number:
This Amendment (Check only one.):[ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: The Institute for Wealth Management, LLC.
Address: 1775 Sherman St.
Suite 2750
Denver, CO 80203
Form 13F File Number: 028-14899
The institutional investment manager filing this report and the
person by whom it is signed hereby represent that the person
signing the report is authorized to submit it, that all information
contained herein is true, correct and complete, and that it is
understood that all required items, statements, schedules, lists,
and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Charles Nichols
Title: Chief Legal & Compliance Officer
Phone: (877) 572-3500
Signature, Place, and Date of Signing:
Chad Nichols Denver, CO April 26, 2012
[Signature] [City, State] [Date]
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting
manager are reported in this report.)
[] 13F NOTICE. (Check here if no holdings reported are in this report,
and all holdings are reported by other reporting
manager(s).)
[]13F COMBINATION REPORT. (Check here if a portion of the holdings for
this reporting manager are reported in this report and a portion are
reported by other reporting manager(s).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28-
[Repeat as necessary.]
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 55
Form 13F Information Table Value Total: $142,435
(thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this
report is filed, other than the manager filing this report.
[If there are no entries in this list, state "NONE" and omit the column
headings and list entries.]
No. Form 13F File Number Name
28-
[Repeat as necessary.]
column 1 column 2 column 3 column 4 column 5 column 6 column 7 column 8
Name Of Issuer Title Of Class Cusip Market SHRS OR/ SH/ PUTT/ Investment Other SOLE SHARED None
Value PRN AMT PRN CALL Discretion Managers
(x1000)
APPLE INC COM 037833100 40 67 SH SOLE 67
GENERAL MLS INC COM 370334104 28 716 SH SOLE 716
ISHARES INC MSCI BRIC INDX 464286657 1950 47694 SH SOLE 45193
ISHARES INC MSCI JAPAN 464286848 2131 209401 SH SOLE 198379
ISHARES TR BARCLYS TIPS BD 464287176 3470 29492 SH SOLE 28127
ISHARES TR BARCLY USAGG B 464287226 259 2356 SH SOLE 2231
ISHARES TR MSCI EMERG MKT 464287234 123 2859 SH SOLE 587
ISHARES TR IBOXX INV CPBD 464287242 4401 38065 SH SOLE 36497
ISHARES TR BARCLYS 7-10 YR 464287440 38 369 SH SOLE 369
ISHARES TR BARCLYS 1-3 YR 464287457 12625 149725 SH SOLE 146679
ISHARES TR MSCI EAFE INDEX 464287465 90 1641 SH SOLE 1641
ISHARES TR RUSSELL MIDCAP 464287499 6643 60001 SH SOLE 56347
ISHARES TR RUSSELL1000VAL 464287598 159 2259 SH SOLE 336
ISHARES TR RUSSELL1000GRW 464287614 325 4913 SH SOLE 3102
ISHARES TR RUSSELL 1000 464287622 44080 565426 SH SOLE 537755
ISHARES TR RUSSELL 2000 464287655 3541 42760 SH SOLE 40105
ISHARES TR DJ US TELECOMM 464287713 5310 239171 SH SOLE 231758
ISHARES TR DJ US TECH SEC 464287721 150 1928 SH SOLE 40
ISHARES TR CONS GOODS IDX 464287812 152 2058 SH SOLE 546
ISHARES TR HIGH YLD CORP 464288513 4829 53230 SH SOLE 51173
ISHARES TR BARCLYS SH TREA 464288679 286 2590 SH SOLE 2458
LILLY ELI & CO COM 532457108 27 666 SH SOLE 666
LOCKHEED MARTIN CORP COM 539830109 28 313 SH SOLE 313
MCDONALDS CORP COM 580135101 20 201 SH SOLE 201
PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 106 5964 SH SOLE 5964
TITANIUM METALS CORP COM NEW 888339207 0 1 SH SOLE 1
VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 25 512 SH SOLE 512
VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 4842 111384 SH SOLE 108186
WAL MART STORES INC COM 931142103 21 350 SH SOLE 350
WHOLE FOODS MKT INC COM 966837106 23 274 SH SOLE 274
AT&T INC COM 00206R102 27 862 SH SOLE 862
ALTRIA GROUP INC COM 02209S103 29 940 SH SOLE 940
CARDINAL HEALTH INC COM 14149Y108 23 537 SH SOLE 537
CREDIT SUISSE NASSAU BRH VIX SHT TRM FT 22542D761 7165 171 SH SOLE 40
CREDIT SUISSE NASSAU BRH INVRS VIX STERM 22542D795 5347 435781 SH SOLE 405553
DOMINION RES INC VA NEW COM 25746U109 27 520 SH SOLE 520
ETFS SILVER TR SILVER SHS 26922X107 40 1238 SH SOLE 1238
EXELON CORP COM 30161N101 25 630 SH SOLE 630
FIDELITY NATIONAL FINANCIAL CL A 31620R105 30 1637 SH SOLE 1637
FLEXSHARES TR MORNSTAR UPSTR 33939L407 5416 152380 SH SOLE 147767
FRONTIER COMMUNICATIONS CORP COM 35906A108 0 3 SH SOLE 3
INVESCO VAN KAMPEN MUNI OPP COM 46132C107 33 2235 SH SOLE 2235
POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 15 523 SH SOLE 523
POWERSHARES DB G10 CURCY HAR COM UT BEN INT 73935Y102 548 21888 SH SOLE 20783
POWERSHARES GLOBAL ETF FD S&P 500 BUYWRT 73936G308 6 302 SH SOLE 302
POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 5635 201123 SH SOLE 193127
PROSHARES TR II ULT VIX STRM NEW 74347W544 532 36562 SH SOLE 34166
SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 129 3509 SH SOLE 3325
SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 1293 44916 SH SOLE 43059
SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 6891 84178 SH SOLE 80695
SPDR SERIES TRUST DJ REIT ETF 78464A607 4512 63692 SH SOLE 59742
SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 3696 108456 SH SOLE 105413
SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 5250 174069 SH SOLE 168508
SENIOR HSG PPTYS TR SH BEN INT 81721M109 24 1100 SH SOLE 1100
VERIZON COMMUNICATIONS INC COM 92343V104 20 532 SH SOLE 532