Chief Operating Officer

0001533954-20-000004.txt : 20201103 0001533954-20-000004.hdr.sgml : 20201103 20201103115851 ACCESSION NUMBER: 0001533954-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201103 DATE AS OF CHANGE: 20201103 EFFECTIVENESS DATE: 20201103 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: 201282501 BUSINESS ADDRESS: STREET 1: 155 S. MADISON STREET STREET 2: SUITE 330 CITY: DENVER STATE: CO ZIP: 80209 BUSINESS PHONE: 877-572-3500 MAIL ADDRESS: STREET 1: 155 S. MADISON STREET STREET 2: SUITE 330 CITY: DENVER STATE: CO ZIP: 80209 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001533954 XXXXXXXX 09-30-2020 09-30-2020 false Institute for Wealth Management, LLC.

155 S. Madison Street Suite 330 Denver CO 80209

13F HOLDINGS REPORT 028-14899 N Jeff Jorgensen Chief Operating Officer 720-956-3183 /s/ Jeff Jorgensen Denver CO 11-03-2020 0 416 438045 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 634 3960 SH SOLE 634 0 0 ABBOTT LABS COM 002824100 940 8635 SH SOLE 940 0 0 ABBVIE INC COM 00287Y109 1858 21213 SH SOLE 1858 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 438 1936 SH SOLE 438 0 0 ACTIVISION BLIZZARD INC COM 00507V109 604 7465 SH SOLE 604 0 0 ADAM NAT RES FD INC COM 00548F105 153 15630 SH SOLE 153 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 10356 21117 SH SOLE 10356 0 0 ADVANCED MICRO DEVICES INC COM 007903107 914 11146 SH SOLE 914 0 0 AEGON N V NY REGISTRY SHS 007924103 174 67883 SH SOLE 174 0 0 AIR PRODS & CHEMS INC COM 009158106 389 1305 SH SOLE 389 0 0 ALASKA AIR GROUP INC COM 011659109 341 9318 SH SOLE 341 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1570 5341 SH SOLE 1570 0 0 ALLIANZGI CONV INCOME FD COM 018828103 110 24020 SH SOLE 110 0 0 ALLIANZGI EQUITY & CONV INCO 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77543R102 251 1328 SH SOLE 251 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 258 10670 SH SOLE 258 0 0 ROYCE MICRO-CAP TR INC COM 780915104 185 24055 SH SOLE 185 0 0 SALESFORCE COM INC COM 79466L302 2137 8505 SH SOLE 2137 0 0 SANOFI SPONSORED ADR 80105N105 514 10253 SH SOLE 514 0 0 SAP SE SPON ADR 803054204 234 1504 SH SOLE 234 0 0 SCHLUMBERGER LTD COM 806857108 257 16494 SH SOLE 257 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 251 4538 SH SOLE 251 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 4173 36235 SH SOLE 4173 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 487 9891 SH SOLE 487 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2199 18839 SH SOLE 2199 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 417 13913 SH SOLE 417 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 551 9279 SH SOLE 551 0 0 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 469 7365 SH SOLE 469 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 419 11869 SH SOLE 419 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 271 4562 SH SOLE 271 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 447 6973 SH SOLE 447 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 2513 32650 SH SOLE 2513 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 924 6285 SH SOLE 924 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1745 72499 SH SOLE 1745 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 526 4984 SH SOLE 526 0 0 SERVICENOW INC COM 81762P102 1343 2768 SH SOLE 1343 0 0 SHERWIN WILLIAMS CO COM 824348106 659 946 SH SOLE 659 0 0 SHOPIFY INC CL A 82509L107 721 705 SH SOLE 721 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 829 5699 SH SOLE 829 0 0 SMARTSHEET INC COM CL A 83200N103 228 4606 SH SOLE 228 0 0 SOUTHERN CO COM 842587107 259 4783 SH SOLE 259 0 0 SOUTHWEST AIRLS CO COM 844741108 663 17674 SH SOLE 663 0 0 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 457 1647 SH SOLE 457 0 0 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 416 1500 SH Call SOLE 0 0 0 SPDR GOLD TR GOLD SHS 78463V107 484 2735 SH SOLE 484 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 445 12250 SH SOLE 445 0 0 SPDR INDEX SHS FDS MSCI EAFE FS ETF 78470E106 641 9374 SH SOLE 641 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 8341 24906 SH SOLE 8341 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2345 7000 SH Call SOLE 0 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 433 1278 SH SOLE 433 0 0 SPDR SER TR S&P HOMEBUILD 78464A888 874 16217 SH SOLE 874 0 0 SPDR SER TR S&P DIVID ETF 78464A763 236 2551 SH SOLE 236 0 0 SPDR SER TR PORTFOLIO INTRMD 78464A375 793 21582 SH SOLE 793 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 375 9532 SH SOLE 375 0 0 SPDR SER TR S&P REGL BKG 78464A698 213 5970 SH SOLE 213 0 0 SPDR SER TR S&P RETAIL ETF 78464A714 287 5778 SH SOLE 287 0 0 SPDR SER TR SPDR S&P 500 ETF 78468R796 1563 18712 SH SOLE 1563 0 0 SPDR SER TR NYSE TECH ETF 78464A102 667 5620 SH SOLE 667 0 0 SPROTT FOCUS TR INC COM 85208J109 108 18085 SH SOLE 108 0 0 SQUARE INC CL A 852234103 2813 17308 SH SOLE 2813 0 0 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 357 7247 SH SOLE 357 0 0 STANLEY BLACK & DECKER INC COM 854502101 536 3302 SH SOLE 536 0 0 STARBUCKS CORP COM 855244109 6949 80875 SH SOLE 6949 0 0 T-MOBILE US INC COM 872590104 243 2125 SH SOLE 243 0 0 TARGET CORP COM 87612E106 529 3360 SH SOLE 529 0 0 TCW STRATEGIC INCOME FD INC COM 872340104 925 164585 SH SOLE 925 0 0 TELADOC HEALTH INC COM 87918A105 396 1807 SH SOLE 396 0 0 TESLA INC COM 88160R101 3813 8889 SH SOLE 3813 0 0 TEXAS INSTRS INC COM 882508104 4255 29800 SH SOLE 4255 0 0 THE TRADE DESK INC COM CL A 88339J105 620 1195 SH SOLE 620 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 466 1056 SH SOLE 466 0 0 TIFFANY & CO NEW COM 886547108 234 2022 SH SOLE 234 0 0 TJX COS INC NEW COM 872540109 426 7647 SH SOLE 426 0 0 TOTAL SE SPONSORED ADS 89151E109 287 8378 SH SOLE 287 0 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 207 1562 SH SOLE 207 0 0 TRAVELERS COMPANIES INC COM 89417E109 673 6224 SH SOLE 673 0 0 TRUIST FINL CORP COM 89832Q109 311 8183 SH SOLE 311 0 0 TWILIO INC CL A 90138F102 415 1678 SH SOLE 415 0 0 TWITTER INC COM 90184L102 1625 36521 SH SOLE 1625 0 0 TYSON FOODS INC CL A 902494103 203 3416 SH SOLE 203 0 0 ULTA BEAUTY INC COM 90384S303 234 1046 SH SOLE 234 0 0 UNION PAC CORP COM 907818108 846 4296 SH SOLE 846 0 0 UNITED PARCEL SERVICE INC CL B 911312106 1604 9628 SH SOLE 1604 0 0 UNITED RENTALS INC COM 911363109 1530 8767 SH SOLE 1530 0 0 UNITEDHEALTH GROUP INC COM 91324P102 715 2294 SH SOLE 715 0 0 UNIVERSAL DISPLAY CORP COM 91347P105 316 1750 SH SOLE 316 0 0 US BANCORP DEL COM NEW 902973304 407 11363 SH SOLE 407 0 0 VAIL RESORTS INC COM 91879Q109 1296 6057 SH SOLE 1296 0 0 VALERO ENERGY CORP COM 91913Y100 272 6273 SH SOLE 272 0 0 VANECK VECTORS ETF TR AGRIBUSINESS ETF 92189F700 373 5525 SH SOLE 373 0 0 VANECK VECTORS ETF TR BIOTECH ETF 92189F726 1065 6571 SH SOLE 1065 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 732 4199 SH SOLE 732 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 2397 27175 SH SOLE 2397 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 1489 25597 SH SOLE 1489 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1620 20520 SH SOLE 1620 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 4595 20187 SH SOLE 4595 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 283 2711 SH SOLE 283 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3568 11597 SH SOLE 3568 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 352 3184 SH SOLE 352 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 414 2298 SH SOLE 414 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 1442 21184 SH SOLE 1442 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1630 37699 SH SOLE 1630 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 613 11696 SH SOLE 613 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1034 12477 SH SOLE 1034 0 0 VANGUARD SCOTTSDALE FDS LONG TERM TREAS 92206C847 204 2050 SH SOLE 204 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 3936 63396 SH SOLE 3936 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 834 7803 SH SOLE 834 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 785 6098 SH SOLE 785 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1802 44055 SH SOLE 1802 0 0 VANGUARD WORLD FD MEGA GRWTH IND 921910816 544 2937 SH SOLE 544 0 0 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 637 3899 SH SOLE 637 0 0 VANGUARD WORLD FDS MATERIALS ETF 92204A801 648 4811 SH SOLE 648 0 0 VANGUARD WORLD FDS COMM SRVC ETF 92204A884 643 6315 SH SOLE 643 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 493 3405 SH SOLE 493 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 555 9479 SH SOLE 555 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 879 2821 SH SOLE 879 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 668 2848 SH SOLE 668 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 1161 5692 SH SOLE 1161 0 0 VANGUARD WORLD FDS UTILITIES ETF 92204A876 634 4908 SH SOLE 634 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1374 23103 SH SOLE 1374 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 1021 3752 SH SOLE 1021 0 0 VIACOMCBS INC CL B 92556H206 1154 41210 SH SOLE 1154 0 0 VIKING THERAPEUTICS INC COM 92686J106 71 12164 SH SOLE 71 0 0 VISA INC COM CL A 92826C839 2591 12959 SH SOLE 2591 0 0 WALMART INC COM 931142103 620 4433 SH SOLE 620 0 0 WASTE CONNECTIONS INC COM 94106B101 240 2309 SH SOLE 240 0 0 WASTE MGMT INC DEL COM 94106L109 1019 9006 SH SOLE 1019 0 0 WELLS FARGO CO NEW COM 949746101 839 35680 SH SOLE 839 0 0 WESTROCK CO COM 96145D105 242 6974 SH SOLE 242 0 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 588 20612 SH SOLE 588 0 0 WILLIAMS SONOMA INC COM 969904101 399 4414 SH SOLE 399 0 0 WISDOMTREE TR US LARGECAP FUND 97717W588 352 9945 SH SOLE 352 0 0 WISDOMTREE TR US DIVID EX FNCL 97717W406 716 9488 SH SOLE 716 0 0 WISDOMTREE TR US TOTAL DIVIDND 97717W109 501 5332 SH SOLE 501 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 463 9439 SH SOLE 463 0 0 WISDOMTREE TR US LARGECAP DIVD 97717W307 203 2088 SH SOLE 203 0 0 WISDOMTREE TR US MIDCAP FUND 97717W570 442 12926 SH SOLE 442 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 509 12310 SH SOLE 509 0 0 WISDOMTREE TR US MIDCAP DIVID 97717W505 279 9655 SH SOLE 279 0 0 XILINX INC COM 983919101 992 9515 SH SOLE 992 0 0 YUM BRANDS INC COM 988498101 294 3215 SH SOLE 294 0 0 ZOETIS INC CL A 98978V103 479 2898 SH SOLE 479 0 0