0001085146-18-001505.txt : 20180515 0001085146-18-001505.hdr.sgml : 20180515 20180515151935 ACCESSION NUMBER: 0001085146-18-001505 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180515 DATE AS OF CHANGE: 20180515 EFFECTIVENESS DATE: 20180515 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: 18835807 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 03-31-2018 03-31-2018 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 05-15-2018 0 255 339260 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBVIE INCCOM00287Y109132113653SHSOLE 0013653ADAM NAT RES FD INCCOM00548F10548323263SHSOLE 0023263ADOBE SYS INCCOM00724F101546024674SHSOLE 0024674AEGON N VNY REGISTRY SH0079241031201171125SHSOLE 00171125AFLAC INCCOM001055102137930251SHSOLE 0030251AKAMAI TECHNOLOGIES INCCOM00971T101186026254SHSOLE 0026254ALCOA CORPCOM01387210653210537SHSOLE 0010537ALLIANZGI EQUITY & CONV INCOCOM01882910147222437SHSOLE 0022437ALPS ETF TRALERIAN MLP00162Q8661263124916SHSOLE 00124916ALTABA INCCOM021346101298242519SHSOLE 0042519ALTRIA GROUP INCCOM02209S103117821055SHSOLE 0021055AMERICAN EXPRESS COCOM025816109118411958SHSOLE 0011958AMERICAN INTL GROUP INCCOM NEW026874784116720662SHSOLE 0020662AMGEN INCCOM031162100247314343SHSOLE 0014343APACHE CORPCOM03741110544911115SHSOLE 0011115APPLE INCCOM037833100913455185SHSOLE 0055185APPLIED MATLS INCCOM038222105112722848SHSOLE 0022848AQUA AMERICA INCCOM03836W10346413237SHSOLE 0013237ARCONIC INCCOM03965L10036220620SHSOLE 0020620ARES CAP CORPCOM04010L10339424616SHSOLE 0024616AT&T INCCOM00206R102288488742SHSOLE 0088742AXON ENTERPRISE INCCOM05464C101120628712SHSOLE 0028712BANCROFT FUND LTDCOM05969510624811719SHSOLE 0011719BANK AMER CORP*W EXP 01/16/20106050514659533015SHSOLE 0033015BANK AMER CORPCOM0605051043964132289SHSOLE 00132289BAXTER INTL INCCOM07181310972510367SHSOLE 0010367BLACKROCK ENH CAP & INC FD ICOM09256A10937422305SHSOLE 0022305BLACKROCK ENHANCED EQT DIV TCOM09251A10420721756SHSOLE 0021756BLACKSTONE GROUP L PCOM UNIT LTD09253U10851816857SHSOLE 0016857BOEING COCOM097023105559416785SHSOLE 0016785BRISTOL MYERS SQUIBB COCOM11012210894518102SHSOLE 0018102CALAMOS GBL DYN INCOME FUNDCOM12811L10745249152SHSOLE 0049152CALAMOS STRATEGIC TOTL RETNCOM SH BEN INT12812510134829115SHSOLE 0029115CANON INCSPONSORED ADR13800630984624429SHSOLE 0024429CENTRAL SECS 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0044200EBAY INCCOM27864210372319039SHSOLE 0019039ELLSWORTH GRWTH AND INCOME LCOM28907410680086359SHSOLE 0086359EMERSON ELEC COCOM29101110490213230SHSOLE 0013230ENTERPRISE PRODS PARTNERS LCOM29379210746517325SHSOLE 0017325EOG RES INCCOM26875P101154313044SHSOLE 0013044ERICSSONADR B SEK 1029482160815420328SHSOLE 0020328EXXON MOBIL CORPCOM30231G102199625324SHSOLE 0025324FACEBOOK INCCL A30303M102462726904SHSOLE 0026904FIRST TR ENHANCED EQTY INC FCOM33731810920912893SHSOLE 0012893FIRST TR EXCH TRADED FD IIILNG/SHT EQUITY33739P10374819357SHSOLE 0019357FIRST TR EXCHANGE TRADED FDFINLS ALPHADEX33734X13547515195SHSOLE 0015195FIRST TR EXCHANGE TRADED FDNO AMER ENERGY33738D101105846927SHSOLE 0046927FIRST TR VALUE LINE 100 ETFCOM SHS33735G10792640554SHSOLE 0040554FORD MTR CO DELCOM PAR $0.013453708601958174841SHSOLE 00174841FORTINET INCCOM34959E10993116758SHSOLE 0016758FQF TROSHARS FTSE US35168085531110315SHSOLE 0010315FS INVT CORPCOM3026351071024134516SHSOLE 00134516GABELLI DIVD & INCOME TRCOM36242H10455725355SHSOLE 0025355GABELLI MULTIMEDIA TR INCCOM36239Q10925427327SHSOLE 0027327GENERAL AMERN INVS INCCOM36880210499537382SHSOLE 0037382GENERAL ELECTRIC COCOM3696041031489106377SHSOLE 00106377GENERAL MTRS COCOM37045V100157942744SHSOLE 0042744GENESEE & WYO INCCL A37155910590812699SHSOLE 0012699GILEAD SCIENCES INCCOM375558103112115702SHSOLE 0015702GLAXOSMITHKLINE PLCSPONSORED ADR37733W105123430812SHSOLE 0030812GLOBAL X FDSGLB X SUPERDIV37950E549125661015SHSOLE 0061015HANCOCK JOHN FINL OPPTYS FDSH BEN INT NEW40973520643211143SHSOLE 0011143HANCOCK JOHN TAX-ADV DIV INCCOM41013V10029313261SHSOLE 0013261HARTFORD FINL SVCS GROUP INCCOM416515104186334759SHSOLE 0034759HP INCCOM40434L10534715714SHSOLE 0015714INDEXIQ ETF TRHEDGE MLTI ETF45409B10731710345SHSOLE 0010345INTEL CORPCOM458140100155230064SHSOLE 0030064INTERNATIONAL BUSINESS MACHSCOM459200101200613883SHSOLE 0013883INTL PAPER COCOM46014610354710636SHSOLE 0010636ISHARES GOLD TRUSTISHARES46428510525019488SHSOLE 0019488ISHARES INCMIN VOL EMRG MKT46428653384313739SHSOLE 0013739ISHARES INCMSCI BRIC INDX46428665776417043SHSOLE 0017043ISHARES INCMSCI JPN ETF NEW46434G82298916322SHSOLE 0016322ISHARES TRASIA 50 ETF46428843092313683SHSOLE 0013683ISHARES TRCMBS ETF46429B366123324706SHSOLE 0024706ISHARES TRCORE S&P SCP ETF46428780492811871SHSOLE 0011871ISHARES TRCORE S&P500 ETF464287200613822657SHSOLE 0022657ISHARES TRCORE US AGGBD ET464287226166615702SHSOLE 0015702ISHARES TREAFE SML CP ETF464288273100115274SHSOLE 0015274ISHARES TREAFE VALUE ETF464288877154827818SHSOLE 0027818ISHARES TREUROPE ETF46428786199620835SHSOLE 0020835ISHARES TRFALN ANGLS USD46435G47443716432SHSOLE 0016432ISHARES TRHDG MSCI JAPAN46434V88672522171SHSOLE 0022171ISHARES TRMSCI EMG MKT ETF46428723498921025SHSOLE 0021025ISHARES TRS&P 500 GRWT ETF464287309249715980SHSOLE 0015980ISHARES TRSELECT DIVID ETF464287168186119126SHSOLE 0019126ISHARES TRSHORT TREAS BD464288679252822840SHSOLE 0022840ISHARES TRTIPS BD ETF464287176118010522SHSOLE 0010522JETBLUE AIRWAYS CORPCOM47714310125012846SHSOLE 0012846JOHNSON & JOHNSONCOM478160104245419387SHSOLE 0019387JOHNSON CTLS INTL PLCSHSG5150210538511319SHSOLE 0011319JPMORGAN CHASE & COCOM46625H100233121318SHSOLE 0021318KEYCORP NEWCOM49326710853927107SHSOLE 0027107KINDER MORGAN INC DELCOM49456B10127917739SHSOLE 0017739LA QUINTA HLDGS INCCOM50420D10822811615SHSOLE 0011615LENNAR CORPCL A52605710457110814SHSOLE 0010814LIBERTY ALL STAR EQUITY FDSH BEN INT53015810449879774SHSOLE 0079774LILLY ELI & COCOM532457108100312422SHSOLE 0012422LIMONEIRA COCOM53274610435815360SHSOLE 0015360LYONDELLBASELL INDUSTRIES NSHS - A -N5374510010959945SHSOLE 009945MACQUARIE GLBL INFRA TOTL RECOM55608D10132414302SHSOLE 0014302MARATHON PETE CORPCOM56585A102108714527SHSOLE 0014527MARRIOTT INTL INC NEWCL A571903202153411208SHSOLE 0011208MCDERMOTT INTL INCCOM58003710930946234SHSOLE 0046234MERCK & CO INCCOM58933Y1055859945SHSOLE 009945METLIFE INCCOM59156R10853411166SHSOLE 0011166MICRON TECHNOLOGY INCCOM59511210350711040SHSOLE 0011040MICROSOFT CORPCOM594918104719577078SHSOLE 0077078MITSUBISHI UFJ FINL GROUP INSPONSORED ADS606822104795119576SHSOLE 00119576MONDELEZ INTL INCCL A60920710549112353SHSOLE 0012353MORGAN STANLEYCOM NEW61744644890817558SHSOLE 0017558NAVIENT CORPORATIONCOM63938C10829822366SHSOLE 0022366NIKE INCCL B654106103116016980SHSOLE 0016980NOKIA CORPSPONSORED ADR65490220416327299SHSOLE 0027299NORBORD INCCOM NEW65548P40340810354SHSOLE 0010354NORTHWEST BANCSHARES INC MDCOM667340103131579176SHSOLE 0079176NUVEEN DOW 30 DYN OVERWRITESHS67075F105111257499SHSOLE 0057499NVIDIA CORPCOM67066G104517423026SHSOLE 0023026ORACLE CORPCOM68389X10591819826SHSOLE 0019826PAYPAL HLDGS INCCOM70450Y103361248460SHSOLE 0048460PFIZER INCCOM717081103218360128SHSOLE 0060128POWERSHARES DB CMDTY IDX TRAUNIT BEN INT73935S10557332489SHSOLE 0032489POWERSHARES ETF TR IISOVEREIGN DEBT73936T57365123641SHSOLE 0023641POWERSHARES ETF TRUSTDIV ACHV PRTF73935X732110643776SHSOLE 0043776POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X153334363472SHSOLE 0063472POWERSHARES ETF TRUSTDYN BIOT & GEN73935X856110822990SHSOLE 0022990POWERSHARES ETF TRUSTDYN PHRMA PORT73935X79965610705SHSOLE 0010705POWERSHARES ETF TRUSTDYNAMIC MKT PT73935X104273728176SHSOLE 0028176POWERSHARES ETF TRUSTDYNAMIC OTC PT73935X203240023013SHSOLE 0023013POWERSHARES ETF TRUSTDYNM LRG CP GR73935X609193544593SHSOLE 0044593POWERSHARES ETF TRUSTDYNM LRG CP VL73935X70854014919SHSOLE 0014919POWERSHARES ETF TRUSTFINL PFD PTFL73935X22956030696SHSOLE 0030696POWERSHARES ETF TRUSTFTSE RAFI 100073935X583232620942SHSOLE 0020942POWERSHARES ETF TRUSTHI YLD EQ DVDN73935X30245226344SHSOLE 0026344POWERSHARES ETF TRUSTINTL DIV ACHV73935X716102263860SHSOLE 0063860POWERSHARES ETF TRUSTRUSSELL 2000 GRW73935X87281424514SHSOLE 0024514POWERSHARES ETF TRUSTRUSSELL 2000 VAL73935X86432210570SHSOLE 0010570POWERSHARES ETF TRUSTRUSSELL MID GRW73935X807310267960SHSOLE 0067960POWERSHARES ETF TRUSTRUSSELL MID VAL73935X88034311167SHSOLE 0011167POWERSHARES ETF TRUSTS&P 500 QLTY PRT73935X682105335554SHSOLE 0035554POWERSHARES ETF TRUSTZACKS MC PRTFL73935X74038720049SHSOLE 0020049POWERSHARES QQQ TRUSTUNIT SER 173935A104301718750SHSOLE 0018750PROCTER AND GAMBLE COCOM742718109134918669SHSOLE 0018669PROSHARES TRMSCI EMRG ETF74347X30292010095SHSOLE 0010095PROSHARES TRPSHS ULT MCAP40074347R404155413177SHSOLE 0013177PROSHARES TRPSHS ULT S&P 50074347R107172116280SHSOLE 0016280PROSHARES TRPSHS ULTRA QQQ74347R206221429004SHSOLE 0029004PROSHARES TRPSHS ULTRUSS200074347R842138019687SHSOLE 0019687PROSHARES TR IISHT VIX ST TRM74347W62734528000SHSOLE 0028000PRUDENTIAL FINL INCCOM744320102124111587SHSOLE 0011587PULTE GROUP INCCOM74586710133511077SHSOLE 0011077QUALCOMM INCCOM747525103171632879SHSOLE 0032879RADIAN GROUP INCCOM75023610129420748SHSOLE 0020748REDFIN CORPCOM75737F10836717190SHSOLE 0017190RESONANT INCCOM76118L1022013467061SHSOLE 00467061ROYCE MICRO-CAP TR INCCOM78091510437238701SHSOLE 0038701SANOFISPONSORED ADR80105N10596625076SHSOLE 0025076SCHLUMBERGER LTDCOM806857108121617883SHSOLE 0017883SCHWAB STRATEGIC TRUS LCAP GR ETF808524300272437753SHSOLE 0037753SELECT SECTOR SPDR TRENERGY81369Y506169623174SHSOLE 0023174SELECT SECTOR SPDR TRSBI CONS DISCR81369Y4078838487SHSOLE 008487SELECT SECTOR SPDR TRSBI CONS STPLS81369Y3082414681SHSOLE 004681SELECT SECTOR SPDR TRSBI INT-FINL81369Y605212077688SHSOLE 0077688SELECT SECTOR SPDR TRSBI INT-INDS81369Y704248334279SHSOLE 0034279SELECT SECTOR SPDR TRSBI MATERIALS81369Y1002744778SHSOLE 004778SELECT SECTOR SPDR TRTECHNOLOGY81369Y803230035055SHSOLE 0035055SOUTHERN COCOM84258710765214089SHSOLE 0014089SOUTHERN NATL BANCORP OF VACOM84339510481950396SHSOLE 0050396SOUTHWEST AIRLS COCOM844741108102319364SHSOLE 0019364SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X74949810625SHSOLE 0010625SPDR S&P 500 ETF TRTR UNIT78462F103121200SHPutSOLE 001200SPDR S&P 500 ETF TRTR UNIT78462F103508319207SHSOLE 0019207SPDR S&P 500 ETF TRTR UNIT78462F103653400SHCallSOLE 003400SPDR SER TRICE BOFAML ETF78468R60627110717SHSOLE 0010717SPDR SER TRPRTFLO S&P500 HI78468R78868818995SHSOLE 0018995SPDR SER TRSSGA US LRG ETF78468R804123913907SHSOLE 0013907SPDR SERIES TRUSTBLOMBERG INTL TR78464A51651718033SHSOLE 0018033SPDR SERIES TRUSTPORTFOLIO LR ETF78464A85446514986SHSOLE 0014986SPDR SERIES TRUSTS&P HOMEBUILD78464A88872818666SHSOLE 0018666SPDR SERIES TRUSTS&P REGL BKG78464A69893115117SHSOLE 0015117SPDR SERIES TRUSTS&P RETAIL ETF78464A71447010256SHSOLE 0010256SPINNAKER ETF TRFIELDSTONE MERLN84858T103118741096SHSOLE 0041096SPROTT FOCUS TR INCCOM85208J10927435544SHSOLE 0035544SSGA ACTIVE ETF TRSPDR TR TACTIC78467V848100421118SHSOLE 0021118STARBUCKS CORPCOM855244109521390401SHSOLE 0090401SUNTRUST BKS INCCOM86791410376511405SHSOLE 0011405TAPESTRY INCCOM8760301074799631SHSOLE 009631TCW STRATEGIC INCOME FUND INCOM8723401041278235856SHSOLE 00235856TEXAS INSTRS INCCOM882508104329632497SHSOLE 0032497TOTAL S ASPONSORED ADR89151E10981613297SHSOLE 0013297TRIBUNE MEDIA COCL A89604750354614482SHSOLE 0014482TWENTY FIRST CENTY FOX INCCL A90130A10151514183SHSOLE 0014183TWITTER INCCOM90184L10250416685SHSOLE 0016685UNITED PARCEL SERVICE INCCL B911312106122210803SHSOLE 0010803UNITED RENTALS INCCOM911363109175011624SHSOLE 0011624US BANCORP DELCOM NEW90297330461112174SHSOLE 0012174VALERO ENERGY CORP NEWCOM91913Y100138712528SHSOLE 0012528VANECK VECTORS ETF TRFALLEN ANGEL HG92189F43782628632SHSOLE 0028632VANECK VECTORS ETF TROIL SVCS ETF92189F71870926041SHSOLE 0026041VANGUARD BD INDEX FD INCSHORT TRM BOND921937827109513998SHSOLE 0013998VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378355627091SHSOLE 007091VANGUARD CHARLOTTE FDSINTL BD IDX ETF92203J407162929731SHSOLE 0029731VANGUARD GROUPDIV APP ETF921908844131813112SHSOLE 0013112VANGUARD INDEX FDSMCAP GR IDXVIP922908538190114760SHSOLE 0014760VANGUARD INDEX FDSS&P 500 ETF SHS9229083631473860708SHSOLE 0060708VANGUARD INDEX FDSSM CP VAL ETF9229086118836769SHSOLE 006769VANGUARD INDEX FDSTOTAL STK MKT922908769535239269SHSOLE 0039269VANGUARD INDEX FDSVALUE ETF922908744104510067SHSOLE 0010067VANGUARD INTL EQUITY INDEX FALLWRLD EX US922042775159429096SHSOLE 0029096VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF922042858175638327SHSOLE 0038327VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874216936567SHSOLE 0036567VANGUARD INTL EQUITY INDEX FFTSE PACIFIC ETF922042866224930671SHSOLE 0030671VANGUARD INTL EQUITY INDEX FFTSE SMCAP ETF9220427189938342SHSOLE 008342VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C870171220459SHSOLE 0020459VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409220328150SHSOLE 0028150VANGUARD WHITEHALL FDS INCEMERG MKT BD ETF921946885122115796SHSOLE 0015796VANGUARD WHITEHALL FDS INCINTL HIGH ETF921946794117417703SHSOLE 0017703VANGUARD WORLD FDSCONSUM DIS ETF92204A10813418349SHSOLE 008349VANGUARD WORLD FDSENERGY ETF92204A3063493753SHSOLE 003753VANGUARD WORLD FDSFINANCIALS ETF92204A405156022526SHSOLE 0022526VANGUARD WORLD FDSHEALTH CAR ETF92204A50410626859SHSOLE 006859VANGUARD WORLD FDSINDUSTRIAL ETF92204A60313609980SHSOLE 009980VANGUARD WORLD FDSINF TECH ETF92204A70214798658SHSOLE 008658VANGUARD WORLD FDSMATERIALS ETF92204A8015143990SHSOLE 003990VERIZON COMMUNICATIONS INCCOM92343V104185638264SHSOLE 0038264VISA INCCOM CL A92826C839157512434SHSOLE 0012434VODAFONE GROUP PLC NEWSPONSORED ADR92857W3082047055SHSOLE 007055WASTE MGMT INC DELCOM94106L109137917108SHSOLE 0017108WELLS FARGO CO NEWCOM94974610161011841SHSOLE 0011841WEYERHAEUSER COCOM962166104104328521SHSOLE 0028521WISDOMTREE TRCBOE S&P 50097717X560201869811SHSOLE 0069811WISDOMTREE TRDYNAMIC CRN EQ97717X25575323448SHSOLE 0023448WISDOMTREE TRINTL LRGCAP DV97717W79476315081SHSOLE 0015081WISDOMTREE TRJAPN HEDGE EQT97717W85161710873SHSOLE 0010873WISDOMTREE TRUS EARNINGS 50097717W58834411415SHSOLE 0011415WISDOMTREE TRUS MIDCAP DIVID97717W50563618528SHSOLE 0018528XILINX INCCOM98391910167810569SHSOLE 0010569