0000910472-14-000133.txt : 20140116 0000910472-14-000133.hdr.sgml : 20140116 20140116100052 ACCESSION NUMBER: 0000910472-14-000133 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140116 DATE AS OF CHANGE: 20140116 EFFECTIVENESS DATE: 20140116 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: 14531056 BUSINESS ADDRESS: STREET 1: 1776 LINCOLN STREET STREET 2: SUITE 950 CITY: DENVER STATE: CO ZIP: 80203 BUSINESS PHONE: 877-572-3500 MAIL ADDRESS: STREET 1: 1776 LINCOLN STREET STREET 2: SUITE 950 CITY: DENVER STATE: CO ZIP: 80203 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001533954 XXXXXXXX 12-31-2013 12-31-2013 Institute for Wealth Management, LLC.

1776 LINCOLN STREET SUITE 950 DENVER CO 80203

13F HOLDINGS REPORT 028-14899 N Armin K. Sarabi 303-572-3500 Armin K. Sarabi Denver CO 01-15-2014 0 78 138790 false INFORMATION TABLE 2 aci_13f.xml 13F SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 2011 12154 SH SOLE 0 0 0 12154 ISHARES MSCI JAPAN ETF 464286848 130 10739 SH SOLE 0 0 0 10739 ISHARES S&P MC 400VL ETF 464287705 116 1001 SH SOLE 0 0 0 1001 ISHARES RUS 1000 ETF 464287622 26 256 SH SOLE 0 0 0 256 ISHARES RUSSELL 2000 ETF 464287655 4622 40067 SH SOLE 0 0 0 40067 ISHARES U.S. REAL ES ETF 464287739 6458 102376 SH SOLE 0 0 0 102376 SPDR S&P 500 ETF TR TR UNIT 78462F103 29917 161984 SH SOLE 0 0 0 161984 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1297 34156 SH SOLE 0 0 0 34156 AMGEN INC COM 031162100 1 8 SH SOLE 0 0 0 8 EBAY INC COM 278642103 4 77 SH SOLE 0 0 0 77 ORACLE CORP COM 68389X105 4 94 SH SOLE 0 0 0 94 ISHARES MSCI EAFE ETF 464287465 4889 72862 SH SOLE 0 0 0 72862 MICROSOFT CORP COM 594918104 4 113 SH SOLE 0 0 0 113 ISHARES MSCI PAC JP ETF 464286665 103 2205 SH SOLE 0 0 0 2205 VERIZON COMMUNICATIONS INC COM 92343V104 12 244 SH SOLE 0 0 0 244 ISHARES MSCI CDA ETF 464286509 108 3691 SH SOLE 0 0 0 3691 ISHARES RUS MID-CAP ETF 464287499 5405 36038 SH SOLE 0 0 0 36038 SPDR SERIES TRUST DJ REIT ETF 78464A607 9 129 SH SOLE 0 0 0 129 ISHARES U.S. ENERGY ETF 464287796 1889 37422 SH SOLE 0 0 0 37422 ISHARES U.S. FINLS ETF 464287788 4129 51515 SH SOLE 0 0 0 51515 ISHARES US HLTHCARE ETF 464287762 1936 16618 SH SOLE 0 0 0 16618 ISHARES U.S. INDS ETF 464287754 1976 19491 SH SOLE 0 0 0 19491 ISHARES U.S. TECH ETF 464287721 1976 22346 SH SOLE 0 0 0 22346 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 3280 70956 SH SOLE 0 0 0 70956 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1324 14962 SH SOLE 0 0 0 14962 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2145 98128 SH SOLE 0 0 0 98128 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1337 25577 SH SOLE 0 0 0 25577 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3823 106964 SH SOLE 0 0 0 106964 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 5353 124538 SH SOLE 0 0 0 124538 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1305 23531 SH SOLE 0 0 0 23531 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 3276 49018 SH SOLE 0 0 0 49018 WAL-MART STORES INC COM 931142103 3 43 SH SOLE 0 0 0 43 GENERAL ELECTRIC CO COM 369604103 7 236 SH SOLE 0 0 0 236 ISHARES 1-3 YR TR BD ETF 464287457 2461 29168 SH SOLE 0 0 0 29168 ISHARES IBOXX INV CP ETF 464287242 240 2105 SH SOLE 0 0 0 2105 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 203 1848 SH SOLE 0 0 0 1848 ISHARES MSCI EMG MKT ETF 464287234 4083 97702 SH SOLE 0 0 0 97702 PG&E CORP COM 69331C108 4 107 SH SOLE 0 0 0 107 ISHARES CORE TOTUSBD ETF 464287226 14588 137065 SH SOLE 0 0 0 137065 VANGUARD WORLD FDS ENERGY ETF 92204A306 208 1647 SH SOLE 0 0 0 1647 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 206 2039 SH SOLE 0 0 0 2039 VANGUARD INDEX FDS SM CP VAL ETF 922908611 118 1213 SH SOLE 0 0 0 1213 VANGUARD INDEX FDS REIT ETF 922908553 116 1803 SH SOLE 0 0 0 1803 VANGUARD WORLD FDS MATERIALS ETF 92204A801 210 2031 SH SOLE 0 0 0 2031 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 209 4709 SH SOLE 0 0 0 4709 VANGUARD WORLD FDS UTILITIES ETF 92204A876 207 2484 SH SOLE 0 0 0 2484 SILVER WHEATON CORP COM 828336107 2 75 SH SOLE 0 0 0 75 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 63 2466 SH SOLE 0 0 0 2466 VANGUARD WORLD FDS INF TECH ETF 92204A702 211 2360 SH SOLE 0 0 0 2360 ISHARES SILVER TRUST ISHARES 46428Q109 2164 115685 SH SOLE 0 0 0 115685 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 209 1935 SH SOLE 0 0 0 1935 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 211 2114 SH SOLE 0 0 0 2114 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 2901 137285 SH SOLE 0 0 0 137285 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 361 6144 SH SOLE 0 0 0 6144 WISDOMTREE TR JAPN HEDGE EQT 97717W851 3752 73810 SH SOLE 0 0 0 73810 POWERSHARES ETF TRUST GBL LSTD PVT EQT 73935X195 3536 292258 SH SOLE 0 0 0 292258 CURRENCYSHS JAPANESE YEN TR JAPANESE YEN 23130A102 4 41 SH SOLE 0 0 0 41 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 8 448 SH SOLE 0 0 0 448 ISHARES SHRT TRS BD ETF 464288679 503 4562 SH SOLE 0 0 0 4562 ISHARES IBOXX HI YD ETF 464288513 587 6324 SH SOLE 0 0 0 6324 UNITED STATES NATL GAS FUND UNIT PAR $0.001 912318201 30 1451 SH SOLE 0 0 0 1451 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 1832 31732 SH SOLE 0 0 0 31732 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 5 192 SH SOLE 0 0 0 192 PROSHARES TR SHRT 20+YR TRE 74347X849 3908 118820 SH SOLE 0 0 0 118820 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 0 1 SH SOLE 0 0 0 1 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 0 2 SH SOLE 0 0 0 2 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 0 1 SH SOLE 0 0 0 1 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 0 1 SH SOLE 0 0 0 1 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 0 1 SH SOLE 0 0 0 1 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 0 1 SH SOLE 0 0 0 1 PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 84 5076 SH SOLE 0 0 0 5076 ALPS ETF TR ALERIAN MLP 00162Q866 14 813 SH SOLE 0 0 0 813 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 2606 15407 SH SOLE 0 0 0 15407 PROSHARES TR II VIX MDTRM FUTR 74347W684 2661 137940 SH SOLE 0 0 0 137940 ISHARES FLTG RATE BD ETF 46429B655 215 4234 SH SOLE 0 0 0 4234 FLEXSHARES TR IBOXX 3R TARGT 33939L506 5 209 SH SOLE 0 0 0 209 PROSHARES TR II SHT VIX ST TRM 74347W627 1179 8736 SH SOLE 0 0 0 8736 PROSHARES TR II UL VIXSTFUT ETF 74347W379 11 630 SH SOLE 0 0 0 630