0000910472-12-001929.txt : 20120627 0000910472-12-001929.hdr.sgml : 20120627 20120627125613 ACCESSION NUMBER: 0000910472-12-001929 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120627 DATE AS OF CHANGE: 20120627 EFFECTIVENESS DATE: 20120627 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-14899 FILM NUMBER: 12928998 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/A 1 form13fhra.txt THE INSTITUTE FOR WEALTH MANAGEMENT, LLC 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 [X]; Amendment Number: 1 This Amendment (Check only one.):[X] 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: $135,278 (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 8 1122 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