0001085146-17-002424.txt : 20171114 0001085146-17-002424.hdr.sgml : 20171114 20171114143420 ACCESSION NUMBER: 0001085146-17-002424 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171114 DATE AS OF CHANGE: 20171114 EFFECTIVENESS DATE: 20171114 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: 171200619 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 09-30-2017 09-30-2017 Institute for Wealth Management, LLC.

1776 LINCOLN STREET SUITE 950 DENVER CO 80203

13F HOLDINGS REPORT 028-14899 N Jeff Jorgensen 720 956-3183 /s/ Jeff Jorgensen Denver CO 11-14-2017 0 250 307552 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBVIE INCCOM00287Y109127614312SHSOLE 0014312ADOBE SYS INCCOM00724F101366424586SHSOLE 0024586AEGON N VNY REGISTRY SH00792410334860057SHSOLE 0060057AFLAC INCCOM001055102289435541SHSOLE 0035541ALCOA CORPCOM013872106140130105SHSOLE 0030105ALLIANZGI EQUITY & CONV INCOCOM01882910143821214SHSOLE 0021214ALPS ETF TRALERIAN MLP00162Q8661389123919SHSOLE 00123919ALTABA INCCOM021346101286743264SHSOLE 0043264ALTRIA GROUP INCCOM02209S103155924645SHSOLE 0024645AMERICAN EXPRESS COCOM025816109100011016SHSOLE 0011016AMERICAN INTL GROUP INC*W EXP 01/19/20202687415620710350SHSOLE 0010350AMERICAN INTL GROUP INCCOM NEW026874784149424333SHSOLE 0024333AMGEN INCCOM031162100227812172SHSOLE 0012172APACHE CORPCOM03741110548710690SHSOLE 0010690APPLE INCCOM037833100895158123SHSOLE 0058123APPLIED MATLS INCCOM038222105120622976SHSOLE 0022976AQUA AMERICA INCCOM03836W10344613436SHSOLE 0013436ARMADA HOFFLER PPTYS INCCOM04208T10813810000SHSOLE 0010000AT&T INCCOM00206R1023940100327SHSOLE 00100327AXON ENTERPRISE INCCOM05464C10188938951SHSOLE 0038951BANCROFT FUND LTDCOM05969510623410708SHSOLE 0010708BANK AMER CORP*W EXP 01/16/20106050514643633015SHSOLE 0033015BANK AMER CORPCOM0605051043244127959SHSOLE 00127959BAXTER INTL INCCOM07181310977312334SHSOLE 0012334BBX CAP CORP NEWCL A05491N10425734794SHSOLE 0034794BLACKROCK ENH CAP & INC FD ICOM09256A10929518898SHSOLE 0018898BLACKSTONE GROUP L PCOM UNIT LTD09253U10841912612SHSOLE 0012612BOEING COCOM097023105446817605SHSOLE 0017605BP PLCSPONSORED ADR05562210451913500SHSOLE 0013500BRISTOL MYERS SQUIBB COCOM110122108133621022SHSOLE 0021022CALAMOS GBL DYN INCOME FUNDCOM12811L10742347108SHSOLE 0047108CALAMOS STRATEGIC TOTL RETNCOM SH BEN INT12812510131425768SHSOLE 0025768CANON INCSPONSORED ADR13800630935710415SHSOLE 0010415CBS CORP NEWCL 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0020335DOWDUPONT INCCOM26078J100263638049SHSOLE 0038049EATON CORP PLCSHSG2918310378910273SHSOLE 0010273EATON VANCE SH TM DR DIVR INCOM27828V10450635591SHSOLE 0035591EATON VANCE SR INCOME TRSH BEN INT27826S10330245600SHSOLE 0045600EATON VANCE TX ADV GLBL DIVCOM27828S10122412867SHSOLE 0012867EBAY INCCOM27864210374819484SHSOLE 0019484ELLSWORTH GROWTH & INCOME FDCOM28907410679185630SHSOLE 0085630ENTERPRISE PRODS PARTNERS LCOM29379210749619081SHSOLE 0019081EOG RES INCCOM26875P101131013490SHSOLE 0013490ERICSSONADR B SEK 1029482160812722007SHSOLE 0022007EXXON MOBIL CORPCOM30231G102171820972SHSOLE 0020972FACEBOOK INCCL A30303M102486228373SHSOLE 0028373FIRST TR EXCH TRADED FD IIILNG/SHT EQUITY33739P10388323776SHSOLE 0023776FIRST TR EXCH TRD ALPHA FD IJAPAN ALPHADEX33737J15892616725SHSOLE 0016725FIRST TR EXCHANGE-TRADED FDPFD SECS INC ETF33739E10820710306SHSOLE 0010306FIRST TR VALUE LINE 100 ETFCOM SHS33735G10792341224SHSOLE 0041224FORD MTR CO DELCOM PAR $0.013453708601620134950SHSOLE 00134950FORTINET INCCOM34959E10965818302SHSOLE 0018302FQF TROSHARS FTSE US35168085557719133SHSOLE 0019133FRANKS INTL N VCOMN3346210727034836SHSOLE 0034836FS INVT CORPCOM3026351071677198722SHSOLE 00198722GABELLI DIVD & INCOME TRCOM36242H10454724531SHSOLE 0024531GABELLI MULTIMEDIA TR INCCOM36239Q10928228988SHSOLE 0028988GENERAL ELECTRIC COCOM3696041032854118306SHSOLE 00118306GENESEE & WYO INCCL A37155910594212750SHSOLE 0012750GILEAD SCIENCES INCCOM375558103103812888SHSOLE 0012888GLAXOSMITHKLINE PLCSPONSORED ADR37733W10570317340SHSOLE 0017340GLOBAL X FDSGLB X SUPERDIV37950E549146666742SHSOLE 0066742GWG HLDGS INCCOM36192A10914941494000SHSOLE 001494000HANCOCK JOHN FINL OPPTYS FDSH BEN INT NEW40973520641711143SHSOLE 0011143HANCOCK JOHN TAX-ADV DIV INCCOM41013V10032212443SHSOLE 0012443HARTFORD FINL SVCS GROUP INCCOM416515104174731434SHSOLE 0031434INDEXIQ ETF TRHEDGE MLTI ETF45409B10739013130SHSOLE 0013130INTEL CORPCOM458140100118030909SHSOLE 0030909INTL PAPER COCOM46014610358810383SHSOLE 0010383ISHARES INCMIN VOL EMRG MKT46428653396116542SHSOLE 0016542ISHARES INCMSCI BRIC INDX46428665794221871SHSOLE 0021871ISHARES INCMSCI JPN ETF NEW46434G82287715720SHSOLE 0015720ISHARES TR1 3 YR TREAS BD464287457183121682SHSOLE 0021682ISHARES TRASIA 50 ETF46428843099716241SHSOLE 0016241ISHARES TRCMBS ETF46429B36668813344SHSOLE 0013344ISHARES TRCORE US AGGBD ET464287226298727257SHSOLE 0027257ISHARES TREAFE GRWTH ETF4642888856458335SHSOLE 008335ISHARES TREAFE SML CP ETF464288273113518304SHSOLE 0018304ISHARES TREUROPE ETF46428786158812520SHSOLE 0012520ISHARES TRIBOXX HI YD ETF464288513134015101SHSOLE 0015101ISHARES TRMSCI EMG MKT ETF46428723459113327SHSOLE 0013327ISHARES TRS&P 500 GRWT ETF464287309228915985SHSOLE 0015985ISHARES TRS&P US PFD STK4642886873128038SHSOLE 008038ISHARES TRSHORT TREAS BD464288679162314689SHSOLE 0014689ISHARES TRTIPS BD ETF4642871769208103SHSOLE 008103JETBLUE AIRWAYS CORPCOM47714310152528085SHSOLE 0028085JOHNSON & JOHNSONCOM478160104272620919SHSOLE 0020919JPMORGAN CHASE & COCOM46625H100206421510SHSOLE 0021510KEYCORP NEWCOM49326710856129607SHSOLE 0029607LA QUINTA HLDGS INCCOM50420D10821712414SHSOLE 0012414LIBERTY ALL STAR EQUITY FDSH BEN INT53015810444974392SHSOLE 0074392LILLY ELI & COCOM532457108114913394SHSOLE 0013394LIMONEIRA COCOM53274610435615360SHSOLE 0015360LOWES COS INCCOM54866110780210081SHSOLE 0010081LYONDELLBASELL INDUSTRIES NSHS - A -N537451002342361SHSOLE 002361MACQUARIE GLBL INFRA TOTL RECOM55608D10135213380SHSOLE 0013380MARATHON PETE CORPCOM56585A10284915117SHSOLE 0015117MARRIOTT INTL INC NEWCL A571903202125611349SHSOLE 0011349MCDERMOTT INTL INCCOM58003710938652989SHSOLE 0052989MERCK & CO INCCOM58933Y10576011853SHSOLE 0011853METLIFE INCCOM59156R10856910973SHSOLE 0010973MICRON TECHNOLOGY INCCOM59511210340610334SHSOLE 0010334MICRON TECHNOLOGY INCCOM59511210300SHPutSOLE 000MICROSOFT CORPCOM594918104633785120SHSOLE 0085120MITSUBISHI UFJ FINL GROUP INSPONSORED ADR60682210421232960SHSOLE 0032960MONDELEZ INTL INCCL A60920710557114089SHSOLE 0014089MORGAN STANLEYCOM NEW61744644880516668SHSOLE 0016668NAVIENT CORPORATIONCOM63938C10840326516SHSOLE 0026516NIKE INCCL B65410610389817393SHSOLE 0017393NOKIA CORPSPONSORED ADR65490220412320609SHSOLE 0020609NORDSTROM INCCOM65566410050210677SHSOLE 0010677NORTHWEST BANCSHARES INC MDCOM667340103145184202SHSOLE 0084202NUVEEN CA QUALTY MUN INCOMECOM67066Y10540827232SHSOLE 0027232NUVEEN CR STRATEGIES INCM FDCOM SHS67073D10224929371SHSOLE 0029371NUVEEN DOW 30 DYN OVERWRITESHS67075F10598157815SHSOLE 0057815NUVEEN MUN VALUE FD INCCOM67092810024423935SHSOLE 0023935NVIDIA CORPCOM67066G104444924852SHSOLE 0024852ORACLE CORPCOM68389X105103821376SHSOLE 0021376PAYPAL HLDGS INCCOM70450Y103284144308SHSOLE 0044308PFIZER INCCOM717081103159944786SHSOLE 0044786POTASH CORP SASK INCCOM73755L10745823401SHSOLE 0023401POWERSHARES DB CMDTY IDX TRAUNIT BEN INT73935S10563541655SHSOLE 0041655POWERSHARES ETF TR IISOVEREIGN DEBT73936T57386028892SHSOLE 0028892POWERSHARES ETF TRUSTDIV ACHV PRTF73935X732103942267SHSOLE 0042267POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X153334268820SHSOLE 0068820POWERSHARES ETF TRUSTDYN BIOT & GEN73935X856115423233SHSOLE 0023233POWERSHARES ETF TRUSTDYN PHRMA PORT73935X79974811355SHSOLE 0011355POWERSHARES ETF TRUSTDYNAMIC MKT PT73935X104265629276SHSOLE 0029276POWERSHARES ETF TRUSTDYNAMIC OTC PT73935X203237024147SHSOLE 0024147POWERSHARES ETF TRUSTDYNM LRG CP GR73935X609178045758SHSOLE 0045758POWERSHARES ETF TRUSTDYNM LRG CP VL73935X70858415634SHSOLE 0015634POWERSHARES ETF TRUSTFINL PFD PTFL73935X22948125269SHSOLE 0025269POWERSHARES ETF TRUSTFTSE RAFI 100073935X583164515329SHSOLE 0015329POWERSHARES ETF TRUSTHI YLD EQ DVDN73935X30249128645SHSOLE 0028645POWERSHARES ETF TRUSTINTL DIV ACHV73935X71688954914SHSOLE 0054914POWERSHARES ETF TRUSTRUSSELL 2000 GRW73935X87277225014SHSOLE 0025014POWERSHARES ETF TRUSTRUSSELL 2000 VAL73935X86433511070SHSOLE 0011070POWERSHARES ETF TRUSTRUSSELL MID GRW73935X807269269784SHSOLE 0069784POWERSHARES ETF TRUSTRUSSELL MID VAL73935X88035711667SHSOLE 0011667POWERSHARES ETF TRUSTS&P 500 QLTY PRT73935X682109838118SHSOLE 0038118POWERSHARES ETF TRUSTZACKS MC PRTFL73935X74039920785SHSOLE 0020785POWERSHARES ETF TRUST IIDWA EMKT MOM PTF73936Q20723812624SHSOLE 0012624POWERSHARES QQQ TRUSTUNIT SER 173935A104296220307SHSOLE 0020307PROCTER AND GAMBLE COCOM742718109180419876SHSOLE 0019876PROSHARES TRMSCI EMRG ETF74347X30283710187SHSOLE 0010187PROSHARES TRPSHS ULT MCAP40074347R404153113923SHSOLE 0013923PROSHARES TRPSHS ULT S&P 50074347R107182518823SHSOLE 0018823PROSHARES TRPSHS ULTRA QQQ74347R206208232393SHSOLE 0032393PROSHARES TRPSHS ULTRUSS200074347R842138720792SHSOLE 0020792PRUDENTIAL FINL INCCOM744320102129912140SHSOLE 0012140PULTE GROUP INCCOM74586710132411927SHSOLE 0011927QUALCOMM INCCOM74752510395018306SHSOLE 0018306RADIAN GROUP INCCOM75023610139320983SHSOLE 0020983ROYAL DUTCH SHELL PLCSPON ADR B7802591073735963SHSOLE 005963ROYCE MICRO-CAP TR INCCOM78091510437039496SHSOLE 0039496SANOFISPONSORED ADR80105N1053697406SHSOLE 007406SCHLUMBERGER LTDCOM806857108115816691SHSOLE 0016691SCHWAB STRATEGIC TRUS LCAP GR ETF808524300267040318SHSOLE 0040318SELECT SECTOR SPDR TRENERGY81369Y506155122754SHSOLE 0022754SELECT SECTOR SPDR TRSBI CONS DISCR81369Y4073363730SHSOLE 003730SELECT SECTOR SPDR TRSBI CONS STPLS81369Y3083426337SHSOLE 006337SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y2093734562SHSOLE 004562SELECT SECTOR SPDR TRSBI INT-FINL81369Y605195875745SHSOLE 0075745SELECT SECTOR SPDR TRSBI INT-INDS81369Y704245234412SHSOLE 0034412SELECT SECTOR SPDR TRSBI INT-UTILS81369Y8863616810SHSOLE 006810SELECT SECTOR SPDR TRSBI MATERIALS81369Y1003706515SHSOLE 006515SELECT SECTOR SPDR TRTECHNOLOGY81369Y803234339623SHSOLE 0039623SOUTHERN COCOM84258710771114331SHSOLE 0014331SOUTHERN NATL BANCORP OF VACOM843395104103060576SHSOLE 0060576SOUTHWEST AIRLS COCOM844741108108919455SHSOLE 0019455SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X74962913234SHSOLE 0013234SPDR S&P 500 ETF TRTR UNIT78462F103422816828SHSOLE 0016828SPDR SER TRBLOOMBERG SRT TR78468R40829710779SHSOLE 0010779SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A35954410616SHSOLE 0010616SPDR SERIES TRUSTBLOMBERG INTL TR78464A51669924881SHSOLE 0024881SPDR SERIES TRUSTBLOOMBERG BRCLYS78464A41757915469SHSOLE 0015469SPDR SERIES TRUSTS&P HOMEBUILD78464A88876419292SHSOLE 0019292SPDR SERIES TRUSTS&P RETAIL ETF78464A71455813420SHSOLE 0013420SPINNAKER ETF TRFIELDSTONE MERLN84858T10395435800SHSOLE 0035800SSGA ACTIVE ETF TRSPDR TR TACTIC78467V8483236558SHSOLE 006558STARBUCKS CORPCOM855244109504093907SHSOLE 0093907SUNTRUST BKS INCCOM86791410370011715SHSOLE 0011715TCW STRATEGIC INCOME FUND INCOM8723401041424245375SHSOLE 00245375TEXAS INSTRS INCCOM882508104296633099SHSOLE 0033099TOTAL S ASPONSORED ADR89151E1092534726SHSOLE 004726TRIBUNE MEDIA COCL A89604750360515004SHSOLE 0015004TWENTY FIRST CENTY FOX INCCL A90130A10150219066SHSOLE 0019066TWITTER INCCOM90184L10232619324SHSOLE 0019324UNITED PARCEL SERVICE INCCL B911312106126210524SHSOLE 0010524UNITED RENTALS INCCOM911363109158511433SHSOLE 0011433US BANCORP DELCOM NEW90297330471913502SHSOLE 0013502VALERO ENERGY CORP NEWCOM91913Y100118515401SHSOLE 0015401VANECK VECTORS ETF TRGOLD MINERS ETF92189F10648521118SHSOLE 0021118VANGUARD BD INDEX FD INCSHORT TRM BOND921937827106313318SHSOLE 0013318VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378354445422SHSOLE 005422VANGUARD CHARLOTTE FDSINTL BD IDX ETF92203J407106419484SHSOLE 0019484VANGUARD INDEX FDSMCAP GR IDXVIP92290853812089920SHSOLE 009920VANGUARD INDEX FDSS&P 500 ETF SHS9229083631210052447SHSOLE 0052447VANGUARD INDEX FDSSM CP VAL ETF9229086119617519SHSOLE 007519VANGUARD INDEX FDSTOTAL STK MKT922908769617747671SHSOLE 0047671VANGUARD INDEX FDSVALUE ETF922908744117811822SHSOLE 0011822VANGUARD INTL EQUITY INDEX FALLWRLD EX US922042775208039465SHSOLE 0039465VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF922042858107424657SHSOLE 0024657VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874187232127SHSOLE 0032127VANGUARD INTL EQUITY INDEX FFTSE PACIFIC ETF922042866154622663SHSOLE 0022663VANGUARD INTL EQUITY INDEX FFTSE SMCAP ETF9220427186175370SHSOLE 005370VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C870158518005SHSOLE 0018005VANGUARD SCOTTSDALE FDSLG-TERM COR BD92206C8133153341SHSOLE 003341VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409284535469SHSOLE 0035469VANGUARD SPECIALIZED PORTFOLDIV APP ETF921908844210922235SHSOLE 0022235VANGUARD WHITEHALL FDS INCEMERG MKT BD ETF921946885116014298SHSOLE 0014298VANGUARD WHITEHALL FDS INCHIGH DIV YLD92194640695211768SHSOLE 0011768VANGUARD WHITEHALL FDS INCINTL HIGH ETF92194679481512409SHSOLE 0012409VANGUARD WORLD FDSCONSUM DIS ETF92204A1088145682SHSOLE 005682VANGUARD WORLD FDSCONSUM STP ETF92204A2077975753SHSOLE 005753VANGUARD WORLD FDSFINANCIALS ETF92204A40589913751SHSOLE 0013751VANGUARD WORLD FDSHEALTH CAR ETF92204A5048805776SHSOLE 005776VANGUARD WORLD FDSINDUSTRIAL ETF92204A6038406255SHSOLE 006255VANGUARD WORLD FDSINF TECH ETF92204A7029025933SHSOLE 005933VANGUARD WORLD FDSMATERIALS ETF92204A8018736793SHSOLE 006793VANGUARD WORLD FDSUTILITIES ETF92204A8768647395SHSOLE 007395VERIZON COMMUNICATIONS INCCOM92343V104189738443SHSOLE 0038443VISA INCCOM CL A92826C839126712031SHSOLE 0012031VODAFONE GROUP PLC NEWSPONSORED ADR92857W3082237848SHSOLE 007848WASTE MGMT INC DELCOM94106L10979510127SHSOLE 0010127WELLS FARGO CO NEWCOM94974610161111118SHSOLE 0011118WEYERHAEUSER COCOM96216610474121857SHSOLE 0021857WISDOMTREE TRCBOE S&P 50097717X560198267222SHSOLE 0067222WISDOMTREE TRINTL LRGCAP DV97717W79477315710SHSOLE 0015710WISDOMTREE TRJAPN HEDGE EQT97717W85157810615SHSOLE 0010615WISDOMTREE TRUS DIVID EX FNCL97717W40684910078SHSOLE 0010078WISDOMTREE TRUS MIDCP EARNING97717W57050813646SHSOLE 0013646XILINX INCCOM98391910177811062SHSOLE 0011062