Chief Operating Officer

0001085146-17-001896.txt : 20170814 0001085146-17-001896.hdr.sgml : 20170814 20170814150452 ACCESSION NUMBER: 0001085146-17-001896 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170814 DATE AS OF CHANGE: 20170814 EFFECTIVENESS DATE: 20170814 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: 171029563 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 true false 0001533954 XXXXXXXX 06-30-2017 06-30-2017 Institute for Wealth Management, LLC.

1776 LINCOLN STREET SUITE 950 DENVER CO 80203

13F HOLDINGS REPORT 028-14899 N Jeff Jorgensen Chief Operating Officer 720 956-3183 /s/ Jeff Jorgensen Denver CO 08-14-2017 0 436 363503 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1016273019SHSOLE 003019ABBOTT LABSCOM0028241002324736SHSOLE 004736ABBVIE INCCOM00287Y109105714509SHSOLE 0014509ABERDEEN AUSTRALIA EQTY FD ICOM00301110312219981SHSOLE 0019981ADOBE SYS INCCOM00724F101350724808SHSOLE 0024808AEGON N VNY REGISTRY SH0079241037414348SHSOLE 0014348AETNA INC NEWCOM00817Y1082011326SHSOLE 001326AFLAC INCCOM001055102152719648SHSOLE 0019648AIR PRODS & CHEMS INCCOM0091581062151508SHSOLE 001508ALASKA AIR GROUP INCCOM0116591096847606SHSOLE 007606ALIBABA GROUP HLDG LTDSPONSORED ADS01609W1026234434SHSOLE 004434ALLIANZGI CONV & INCOME FDCOM0188281037010097SHSOLE 0010097ALLIANZGI EQUITY & CONV INCOCOM01882910142321314SHSOLE 0021314ALLSTATE CORPCOM0200021014995656SHSOLE 005656ALPS ETF TRALERIAN MLP00162Q8661466122478SHSOLE 00122478ALTABA 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173935A1040300SHPutSOLE 00300POWERSHARES QQQ TRUSTUNIT SER 173935A104273519834SHSOLE 0019834PPL CORPCOM69351T1062937605SHSOLE 007605PRICELINE GRP INCCOM NEW741503403807430SHSOLE 00430PROCTER AND GAMBLE COCOM742718109170219562SHSOLE 0019562PROSHARES TRMSCI EMRG ETF74347X30273710232SHSOLE 0010232PROSHARES TRPSHS ULT MCAP40074347R404147314200SHSOLE 0014200PROSHARES TRPSHS ULT S&P 50074347R107170919068SHSOLE 0019068PROSHARES TRPSHS ULTRA QQQ74347R206191516617SHSOLE 0016617PROSHARES TRPSHS ULTRUSS200074347R842126410502SHSOLE 0010502PROSHARES TRRUSS 2000 DIVD74347B6983045550SHSOLE 005550PRUDENTIAL FINL INCCOM744320102132612201SHSOLE 0012201PUBLIC STORAGECOM74460D1093401631SHSOLE 001631PULTE GROUP INCCOM74586710129212027SHSOLE 0012027QORVO INCCOM74736K1014326816SHSOLE 006816QUALCOMM INCCOM747525103104818778SHSOLE 0018778RADIAN GROUP INCCOM75023610134621224SHSOLE 0021224RAYTHEON COCOM NEW7551115078825483SHSOLE 005483RED HAT INCCOM7565771023513679SHSOLE 003679REGENERON PHARMACEUTICALSCOM75886F107393808SHSOLE 00808REYNOLDS AMERICAN INCCOM7617131064657111SHSOLE 007111RITE AID CORPCOM76775410419970780SHSOLE 0070780ROGERS COMMUNICATIONS INCCL B7751092002715724SHSOLE 005724ROYAL BK SCOTLAND GROUP PLCSPONS ADR 2 ORD78009768910315779SHSOLE 0015779ROYAL DUTCH SHELL PLCSPONS ADR A7802592063336351SHSOLE 006351ROYCE MICRO-CAP TR INCCOM78091510434039496SHSOLE 0039496RYDEX ETF TRUSTGUG S&P500 EQ WT78355W1064224548SHSOLE 004548RYDEX ETF TRUSTGUGGENHM S&P 50078355W20511266565SHSOLE 006565SALESFORCE COM INCCOM79466L3022943398SHSOLE 003398SANOFISPONSORED ADR80105N10556511834SHSOLE 0011834SCHLUMBERGER LTDCOM806857108107616291SHSOLE 0016291SCHLUMBERGER LTDCOM8068571080200SHCallSOLE 00200SCHWAB CHARLES CORP NEWCOM8085131052225201SHSOLE 005201SCHWAB STRATEGIC TRUS LCAP GR ETF808524300257440944SHSOLE 0040944SELECT SECTOR SPDR TRENERGY81369Y506155524180SHSOLE 0024180SELECT SECTOR SPDR TRRL EST SEL SEC81369Y8602066784SHSOLE 006784SELECT SECTOR SPDR TRSBI CONS DISCR81369Y4078849829SHSOLE 009829SELECT SECTOR SPDR TRSBI CONS STPLS81369Y3085459895SHSOLE 009895SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y2097799854SHSOLE 009854SELECT SECTOR SPDR TRSBI INT-FINL81369Y605186576627SHSOLE 0076627SELECT SECTOR SPDR TRSBI INT-INDS81369Y704237435007SHSOLE 0035007SELECT SECTOR SPDR TRSBI INT-UTILS81369Y8863616961SHSOLE 006961SELECT SECTOR SPDR TRSBI MATERIALS81369Y1005149528SHSOLE 009528SELECT SECTOR SPDR TRTECHNOLOGY81369Y803227141521SHSOLE 0041521SERVICENOW INCCOM81762P1022342211SHSOLE 002211SHIRE PLCSPONSORED ADR82481R1064442693SHSOLE 002693SKYWORKS SOLUTIONS INCCOM83088M1026086342SHSOLE 006342SOLARCITY CORPNOTE 2.750%11/083416TAA82525000PRNSOLE 0025000SOUTHERN COCOM84258710770314800SHSOLE 0014800SOUTHERN NATL BANCORP OF VACOM84339510488450248SHSOLE 0050248SOUTHWEST AIRLS COCOM844741108120019347SHSOLE 0019347SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X74961812992SHSOLE 0012992SPDR S&P 500 ETF TRTR UNIT78462F103479619858SHSOLE 0019858SPDR SER TRBLOOMBERG SRT TR78468R40835412806SHSOLE 0012806SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A3594669452SHSOLE 009452SPDR SERIES TRUSTBLOMBERG INTL TR78464A51669225053SHSOLE 0025053SPDR SERIES TRUSTBLOOMBERG BRCLYS78464A41746612524SHSOLE 0012524SPDR SERIES TRUSTMORGAN TECH ETF78464A1024536183SHSOLE 006183SPDR SERIES TRUSTS&P BIOTECH78464A8702182829SHSOLE 002829SPDR SERIES TRUSTS&P DIVID ETF78464A7632152428SHSOLE 002428SPDR SERIES TRUSTS&P HOMEBUILD78464A88873819156SHSOLE 0019156SPDR SERIES TRUSTS&P RETAIL ETF78464A71456113722SHSOLE 0013722SSGA ACTIVE ETF TRSPDR TR TACTIC78467V8484338800SHSOLE 008800STANLEY BLACK & DECKER INCCOM8545021015203687SHSOLE 003687STARBUCKS CORPCOM855244109548093880SHSOLE 0093880STRYKER CORPCOM8636671013932824SHSOLE 002824SUNTRUST BKS INCCOM8679141035609846SHSOLE 009846SYSCO CORPCOM8718291074098080SHSOLE 008080TABLEAU SOFTWARE INCCL A87336U1052584190SHSOLE 004190TARGET CORPCOM87612E1062965664SHSOLE 005664TCW STRATEGIC INCOME FUND INCOM8723401041386245375SHSOLE 00245375TESLA INCCOM88160R1019062511SHSOLE 002511TEXAS INSTRS INCCOM882508104255633201SHSOLE 0033201THERMO FISHER SCIENTIFIC INCCOM8835561022501447SHSOLE 001447TJX COS INC NEWCOM8725401092313228SHSOLE 003228TOTAL S ASPONSORED ADR89151E1092234472SHSOLE 004472TRAVELERS COMPANIES INCCOM89417E1098937028SHSOLE 007028TRI CONTL CORPCOM8954361032008186SHSOLE 008186TRIBUNE MEDIA COCL A89604750360114953SHSOLE 0014953TWENTY FIRST CENTY FOX INCCL A90130A10154519111SHSOLE 0019111TWITTER INCCOM90184L10233418424SHSOLE 0018424ULTA BEAUTY INCCOM90384S3033091084SHSOLE 001084UNION PAC CORPCOM9078181086896302SHSOLE 006302UNITED CONTL HLDGS INCCOM9100471092082750SHSOLE 002750UNITED PARCEL SERVICE INCCL B911312106115410472SHSOLE 0010472UNITED RENTALS INCCOM911363109128211388SHSOLE 0011388UNITED TECHNOLOGIES CORPCOM9130171095224297SHSOLE 004297UNITEDHEALTH GROUP INCCOM91324P1024712529SHSOLE 002529UNIVERSAL DISPLAY CORPCOM91347P1052312114SHSOLE 002114US BANCORP DELCOM NEW90297330470713656SHSOLE 0013656VAIL RESORTS INCCOM91879Q1094092063SHSOLE 002063VALERO ENERGY CORP NEWCOM91913Y100103815395SHSOLE 0015395VANECK VECTORS ETF TRGOLD MINERS ETF92189F10651223191SHSOLE 0023191VANGUARD BD INDEX FD INCSHORT TRM BOND921937827125115663SHSOLE 0015663VANGUARD BD INDEX FD INCTOTAL BND MRKT92193783584610306SHSOLE 0010306VANGUARD CHARLOTTE FDSINTL BD IDX ETF92203J407153728252SHSOLE 0028252VANGUARD INDEX FDSMCAP GR IDXVIP922908538147212517SHSOLE 0012517VANGUARD INDEX FDSREIT ETF9229085532533044SHSOLE 003044VANGUARD INDEX FDSS&P 500 ETF SHS922908363969343649SHSOLE 0043649VANGUARD INDEX FDSSM CP VAL ETF922908611125710220SHSOLE 0010220VANGUARD INDEX FDSTOTAL STK MKT922908769712857299SHSOLE 0057299VANGUARD INDEX FDSVALUE ETF922908744144014931SHSOLE 0014931VANGUARD INTL EQUITY INDEX FALLWRLD EX US922042775212442416SHSOLE 0042416VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF922042858145335571SHSOLE 0035571VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874191734707SHSOLE 0034707VANGUARD INTL EQUITY INDEX FFTSE PACIFIC ETF922042866181227532SHSOLE 0027532VANGUARD INTL EQUITY INDEX FFTSE SMCAP ETF9220427187326769SHSOLE 006769VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C870178820414SHSOLE 0020414VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409283135318SHSOLE 0035318VANGUARD SPECIALIZED PORTFOLDIV APP ETF921908844206322286SHSOLE 0022286VANGUARD WHITEHALL FDS INCEMERG MKT BD ETF921946885128015976SHSOLE 0015976VANGUARD WHITEHALL FDS INCHIGH DIV YLD92194640697812543SHSOLE 0012543VANGUARD WHITEHALL FDS INCINTL HIGH ETF92194679475312037SHSOLE 0012037VANGUARD WORLD FDSCONSUM DIS ETF92204A10810247221SHSOLE 007221VANGUARD WORLD FDSCONSUM STP ETF92204A2079856973SHSOLE 006973VANGUARD WORLD FDSFINANCIALS ETF92204A405118118851SHSOLE 0018851VANGUARD WORLD FDSHEALTH CAR ETF92204A504168611490SHSOLE 0011490VANGUARD WORLD FDSINDUSTRIAL ETF92204A60310047805SHSOLE 007805VANGUARD WORLD FDSINF TECH ETF92204A70211217951SHSOLE 007951VANGUARD WORLD FDSMATERIALS ETF92204A80111319313SHSOLE 009313VANGUARD WORLD FDSUTILITIES ETF92204A87610158871SHSOLE 008871VEREIT INCCOM92339V10012715737SHSOLE 0015737VERIZON COMMUNICATIONS INCCOM92343V104150933967SHSOLE 0033967VERTEX PHARMACEUTICALS INCCOM92532F1006945394SHSOLE 005394VIACOM INC NEWCL B92553P2012898700SHSOLE 008700VISA INCCOM CL A92826C839104111059SHSOLE 0011059VODAFONE GROUP PLC NEWSPONSORED ADR92857W3082137418SHSOLE 007418WABCO HLDGS INCCOM92927K1023142451SHSOLE 002451WALGREENS BOOTS ALLIANCE INCCOM9314271082362998SHSOLE 002998WAL-MART STORES INCCOM9311421034425805SHSOLE 005805WASTE MGMT INC DELCOM94106L10974510132SHSOLE 0010132WELLS FARGO CO NEWCOM9497461015489891SHSOLE 009891WESTERN DIGITAL CORPCOM9581021056357177SHSOLE 007177WEYERHAEUSER COCOM96216610474022034SHSOLE 0022034WGL HLDGS INCCOM92924F1063384065SHSOLE 004065WHIRLPOOL CORPCOM9633201064032105SHSOLE 002105WISDOMTREE TRCBOE S&P 50097717X560142048955SHSOLE 0048955WISDOMTREE TRINTL DIV EX FINL97717W7862245560SHSOLE 005560WISDOMTREE TRINTL LRGCAP DV97717W79475516028SHSOLE 0016028WISDOMTREE TRJAPN HEDGE EQT97717W85156410860SHSOLE 0010860WISDOMTREE TRUS DIVID EX FNCL97717W40682910078SHSOLE 0010078WISDOMTREE TRUS EARNINGS 50097717W5883163805PRNSOLE 003805WISDOMTREE TRUS MIDCAP DIVID97717W5052912990SHSOLE 002990WISDOMTREE TRUS MIDCP EARNING97717W57048913646SHSOLE 0013646WISDOMTREE TRUS TOTAL DIVIDND97717W1094805674SHSOLE 005674WYNN RESORTS LTDCOM9831341073922915SHSOLE 002915XILINX INCCOM98391910171911219SHSOLE 0011219YUM BRANDS INCCOM9884981012783782SHSOLE 003782