0000910472-14-004545.txt : 20141015 0000910472-14-004545.hdr.sgml : 20141015 20141010154115 ACCESSION NUMBER: 0000910472-14-004545 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141010 DATE AS OF CHANGE: 20141010 EFFECTIVENESS DATE: 20141010 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: 141152374 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 09-30-2014 09-30-2014 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 /s/ Armin K. Sarabi Denver CO 10-10-2014 0 63 105035 false INFORMATION TABLE 2 aci_13f.xml SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1938 11375 SH SOLE 0 0 0 11375 ISHARES MSCI JAPAN ETF 464286848 3 281 SH SOLE 0 0 0 281 ISHARES CORE S&P MCP ETF 464287507 51 371 SH SOLE 0 0 0 371 ISHARES RUS 1000 ETF 464287622 28 256 SH SOLE 0 0 0 256 ISHARES RUSSELL 2000 ETF 464287655 17 157 SH SOLE 0 0 0 157 ISHARES U.S. REAL ES ETF 464287739 7 97 SH SOLE 0 0 0 97 SPDR S&P 500 ETF TR TR UNIT 78462F103 24182 122413 SH SOLE 0 0 0 122413 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 3932 93544 SH SOLE 0 0 0 93544 ISHARES MSCI EAFE ETF 464287465 3774 58811 SH SOLE 0 0 0 58811 MICROSOFT CORP COM 594918104 6 123 SH SOLE 0 0 0 123 VERIZON COMMUNICATIONS INC COM 92343V104 12 244 SH SOLE 0 0 0 244 ISHARES RUS MID-CAP ETF 464287499 25 156 SH SOLE 0 0 0 156 SPDR SERIES TRUST DJ REIT ETF 78464A607 10 129 SH SOLE 0 0 0 129 ISHARES U.S. FINLS ETF 464287788 2524 30094 SH SOLE 0 0 0 30094 ISHARES US HLTHCARE ETF 464287762 8 59 SH SOLE 0 0 0 59 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1311 26112 SH SOLE 0 0 0 26112 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1241 13521 SH SOLE 0 0 0 13521 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1323 56989 SH SOLE 0 0 0 56989 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1274 23929 SH SOLE 0 0 0 23929 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1337 33620 SH SOLE 0 0 0 33620 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 3210 71193 SH SOLE 0 0 0 71193 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1345 20934 SH SOLE 0 0 0 20934 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1262 18814 SH SOLE 0 0 0 18814 ISHARES 1-3 YR TR BD ETF 464287457 2686 31774 SH SOLE 0 0 0 31774 ISHARES 7-10 Y TR BD ETF 464287440 3170 30567 SH SOLE 0 0 0 30567 ISHARES IBOXX INV CP ETF 464287242 5 46 SH SOLE 0 0 0 46 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 150 1277 SH SOLE 0 0 0 1277 ISHARES MSCI EMG MKT ETF 464287234 3294 79265 SH SOLE 0 0 0 79265 PG&E CORP COM 69331C108 5 107 SH SOLE 0 0 0 107 ISHARES CORE TOTUSBD ETF 464287226 9594 87876 SH SOLE 0 0 0 87876 VANGUARD WORLD FDS ENERGY ETF 92204A306 3048 22953 SH SOLE 0 0 0 22953 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 158 1338 SH SOLE 0 0 0 1338 VANGUARD INDEX FDS REIT ETF 922908553 5621 77843 SH SOLE 0 0 0 77843 VANGUARD WORLD FDS MATERIALS ETF 92204A801 151 1356 SH SOLE 0 0 0 1356 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 150 3217 SH SOLE 0 0 0 3217 VANGUARD WORLD FDS UTILITIES ETF 92204A876 214 2348 SH SOLE 0 0 0 2348 VANGUARD WORLD FDS INF TECH ETF 92204A702 155 1549 SH SOLE 0 0 0 1549 ISHARES SILVER TRUST ISHARES 46428Q109 166 9879 SH SOLE 0 0 0 9879 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 147 1348 SH SOLE 0 0 0 1348 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 146 1439 SH SOLE 0 0 0 1439 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 102 4692 SH SOLE 0 0 0 4692 WISDOMTREE TR JAPN HEDGE EQT 97717W851 2 31 SH SOLE 0 0 0 31 POWERSHARES ETF TRUST GBL LSTD PVT EQT 73935X195 2760 248233 SH SOLE 0 0 0 248233 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 IBOXX HI YD ETF 464288513 4035 44167 SH SOLE 0 0 0 44167 ISHARES MSCI KLD400 SOC 464288570 19 254 SH SOLE 0 0 0 254 ISHARES MBS ETF 464288588 41 379 SH SOLE 0 0 0 379 FIRST TR ISE WATER INDEX FD COM 33733B100 8 234 SH SOLE 0 0 0 234 FIRST TR EXCHANGE TRADED FD NAS CLNEDG GREEN 33733E500 11 572 SH SOLE 0 0 0 572 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 2140 37183 SH SOLE 0 0 0 37183 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 5 192 SH SOLE 0 0 0 192 PROSHARES TR SHRT 20+YR TRE 74347X849 4 127 SH SOLE 0 0 0 127 PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 91 5076 SH SOLE 0 0 0 5076 ALPS ETF TR ALERIAN MLP 00162Q866 101 5288 SH SOLE 0 0 0 5288 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 2169 11973 SH SOLE 0 0 0 11973 PROSHARES TR II VIX MDTRM FUTR 74347W684 2 100 SH SOLE 0 0 0 100 FIRST TR EXCH TRD ALPHA FD I JAPAN ALPHADEX 33737J158 2843 60380 SH SOLE 0 0 0 60380 FIRST TR EXCNGE TRD ALPHADEX SML CAP VAL AL 33737M409 2437 80741 SH SOLE 0 0 0 80741 FLEXSHARES TR IBOXX 3R TARGT 33939L506 5 209 SH SOLE 0 0 0 209 PROSHARES TR II SHT VIX ST TRM 74347W627 10 128 SH SOLE 0 0 0 128 ISHARES TR CMBS ETF 46429B366 2127 41482 SH SOLE 0 0 0 41482 ALPS ETF TR VELOSH VOLA HDGD 00162Q791 8431 282453 SH SOLE 0 0 0 282453