Chief Operating Officer

0001533954-22-000004.txt : 20221018 0001533954-22-000004.hdr.sgml : 20221018 20221018161936 ACCESSION NUMBER: 0001533954-22-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221018 DATE AS OF CHANGE: 20221018 EFFECTIVENESS DATE: 20221018 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: 221316170 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 09-30-2022 09-30-2022 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 10-18-2022 0 453 445679 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 458 4142 SH SOLE 4142 0 0 ABBOTT LABS COM 002824100 1095 11315 SH SOLE 11315 0 0 ABBVIE INC COM 00287Y109 3048 22710 SH SOLE 22710 0 0 ABSCI CORPORATION COM 00091E109 760 242833 SH SOLE 242833 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 674 2621 SH SOLE 2621 0 0 ACTIVISION BLIZZARD INC COM 00507V109 511 6869 SH SOLE 6869 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 5620 20423 SH SOLE 20423 0 0 ADVANCED DRAIN SYS INC DEL COM 00790R104 373 3000 SH SOLE 3000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 2081 32849 SH SOLE 32849 0 0 AEGON N V NY REGISTRY SHS 007924103 93 23427 SH SOLE 23427 0 0 ALASKA AIR GROUP INC COM 011659109 378 9668 SH SOLE 9668 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 502 6278 SH SOLE 6278 0 0 ALLSTATE CORP COM 020002101 367 2947 SH SOLE 2947 0 0 ALPHABET INC CAP STK 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670100205 333 3345 SH SOLE 3345 0 0 NUCOR CORP COM 670346105 598 5587 SH SOLE 5587 0 0 NUSHARES ETF TR NUVEEN ESG LRGVL 67092P300 589 19066 SH SOLE 19066 0 0 NUSHARES ETF TR NUVEEN ESG MIDCP 67092P409 389 11806 SH SOLE 11806 0 0 NUSHARES ETF TR NUVEEN ESG LRGCP 67092P201 849 18422 SH SOLE 18422 0 0 NUTRIEN LTD COM 67077M108 217 2606 SH SOLE 2606 0 0 NUVEEN DOW 30 DYNMC OVERWRT SHS 67075F105 439 32519 SH SOLE 32519 0 0 NVIDIA CORPORATION COM 67066G104 10217 84166 SH SOLE 84166 0 0 NXP SEMICONDUCTORS N V COM N6596X109 203 1374 SH SOLE 1374 0 0 OCCIDENTAL PETE CORP COM 674599105 327 5328 SH SOLE 5328 0 0 ORACLE CORP COM 68389X105 1113 18219 SH SOLE 18219 0 0 PALO ALTO NETWORKS INC COM 697435105 1418 8656 SH SOLE 8656 0 0 PAPA JOHNS INTL INC COM 698813102 322 4600 SH SOLE 4600 0 0 PARAMOUNT GLOBAL CLASS B COM 92556H206 800 42015 SH SOLE 42015 0 0 PARAMOUNT GLOBAL 5.75% CONV PFD A 92556H305 850 27510 SH SOLE 27510 0 0 PAYPAL HLDGS INC COM 70450Y103 3448 40063 SH SOLE 40063 0 0 PEPSICO INC COM 713448108 597 3654 SH SOLE 3654 0 0 PERKINELMER INC COM 714046109 693 5761 SH SOLE 5761 0 0 PFIZER INC COM 717081103 1433 32738 SH SOLE 32738 0 0 PHILIP MORRIS INTL INC COM 718172109 217 2613 SH SOLE 2613 0 0 PHILLIPS 66 COM 718546104 613 7595 SH SOLE 7595 0 0 PIMCO HIGH INCOME FD COM SHS 722014107 49 10559 SH SOLE 10559 0 0 PNC FINL SVCS GROUP INC COM 693475105 345 2312 SH SOLE 2312 0 0 PROCTER AND GAMBLE CO COM 742718109 897 7108 SH SOLE 7108 0 0 PROSHARES TR PSHS ULTRA QQQ 74347R206 2847 77668 SH SOLE 77668 0 0 PROSHARES TR PSHS ULTRUSS2000 74347R842 866 30095 SH SOLE 30095 0 0 PROSHARES TR PSHS ULT S&P 500 74347R107 1686 42445 SH SOLE 42445 0 0 PROSHARES TR PSHS ULT MCAP400 74347R404 1104 27383 SH SOLE 27383 0 0 PROSHARES TR MSCI EMRG ETF 74347X302 372 8995 SH SOLE 8995 0 0 PRUDENTIAL FINL INC COM 744320102 786 9159 SH SOLE 9159 0 0 PUBLIC STORAGE COM 74460D109 202 691 SH SOLE 691 0 0 PULTE GROUP INC COM 745867101 405 10789 SH SOLE 10789 0 0 QORVO INC COM 74736K101 493 6203 SH SOLE 6203 0 0 QUALCOMM INC COM 747525103 1616 14307 SH SOLE 14307 0 0 QUANTA SVCS INC COM 74762E102 290 2276 SH SOLE 2276 0 0 RADIAN GROUP INC COM 750236101 273 14152 SH SOLE 14152 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1421 17354 SH SOLE 17354 0 0 RED ROCK RESORTS INC CL A 75700L108 324 9448 SH SOLE 9448 0 0 REDFIN CORP COM 75737F108 79 13455 SH SOLE 13455 0 0 REGENERON PHARMACEUTICALS COM 75886F107 716 1039 SH SOLE 1039 0 0 ROGERS COMMUNICATIONS INC CL B 775109200 219 5681 SH SOLE 5681 0 0 ROYCE MICRO-CAP TR INC COM 780915104 189 23772 SH SOLE 23772 0 0 S&P GLOBAL INC COM 78409V104 314 1029 SH SOLE 1029 0 0 SALESFORCE INC COM 79466L302 1514 10525 SH SOLE 10525 0 0 SAP SE SPON ADR 803054204 225 2765 SH SOLE 2765 0 0 SCHLUMBERGER LTD COM STK 806857108 287 7994 SH SOLE 7994 0 0 SCHWAB CHARLES CORP COM 808513105 311 4330 SH SOLE 4330 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 3833 68679 SH SOLE 68679 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 569 8562 SH SOLE 8562 0 0 SEA LTD SPONSORD ADS 81141R100 244 4360 SH SOLE 4360 0 0 SEAGATE TECHNOLOGY HLDNGS PL ORD SHS G7997R103 264 4956 SH SOLE 4956 0 0 SEAGEN INC COM 81181C104 420 3069 SH SOLE 3069 0 0 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 378 5558 SH SOLE 5558 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 2704 89067 SH SOLE 89067 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 279 4252 SH SOLE 4252 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 3165 38210 SH SOLE 38210 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2413 20319 SH SOLE 20319 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 298 4467 SH SOLE 4467 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 706 4956 SH SOLE 4956 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 525 4334 SH SOLE 4334 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 1836 25491 SH SOLE 25491 0 0 SERVICENOW INC COM 81762P102 1332 3528 SH SOLE 3528 0 0 SHERWIN WILLIAMS CO COM 824348106 811 3960 SH SOLE 3960 0 0 SHOPIFY INC CL A 82509L107 320 11878 SH SOLE 11878 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 542 6357 SH SOLE 6357 0 0 SNOWFLAKE INC CL A 833445109 743 4369 SH SOLE 4369 0 0 SOUTHERN CO COM 842587107 324 4758 SH SOLE 4758 0 0 SOUTHWEST AIRLS CO COM 844741108 450 14602 SH SOLE 14602 0 0 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 908 3161 SH SOLE 3161 0 0 SPDR GOLD TR GOLD SHS 78463V107 353 2281 SH SOLE 2281 0 0 SPDR INDEX SHS FDS MSCI EAFE FS ETF 78470E106 1217 20793 SH SOLE 20793 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 5000 SH Call SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 6653 18628 SH SOLE 18628 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 13 1500 SH Put SOLE 0 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 594 1479 SH SOLE 1479 0 0 SPDR SER TR S&P BIOTECH 78464A870 714 9002 SH SOLE 9002 0 0 SPDR SER TR PORTFOLIO INTRMD 78464A375 253 8071 SH SOLE 8071 0 0 SPDR SER TR S&P RETAIL ETF 78464A714 320 5678 SH SOLE 5678 0 0 SPDR SER TR NYSE TECH ETF 78464A102 512 5443 SH SOLE 5443 0 0 SPDR SER TR S&P BK ETF 78464A797 216 4874 SH SOLE 4874 0 0 SPDR SER TR S&P DIVID ETF 78464A763 275 2468 SH SOLE 2468 0 0 SPDR SER TR S&P HOMEBUILD 78464A888 998 18241 SH SOLE 18241 0 0 SPDR SER TR S&P REGL BKG 78464A698 643 10914 SH SOLE 10914 0 0 SPDR SER TR SPDR S&P 500 ETF 78468R796 3199 36712 SH SOLE 36712 0 0 STANLEY BLACK & DECKER INC COM 854502101 244 3241 SH SOLE 3241 0 0 STARBUCKS CORP COM 855244109 6690 79396 SH SOLE 79396 0 0 STRATEGY SHS NS 7HANDL IDX 86280R506 218 11360 SH SOLE 11360 0 0 SUNCOR ENERGY INC NEW COM 867224107 296 10523 SH SOLE 10523 0 0 SURO CAPITAL CORP COM NEW 86887Q109 39 10088 SH SOLE 10088 0 0 T-MOBILE US INC COM 872590104 313 2336 SH SOLE 2336 0 0 TARGET CORP COM 87612E106 665 4483 SH SOLE 4483 0 0 TCW STRATEGIC INCOME FD INC COM 872340104 683 144776 SH SOLE 144776 0 0 TESLA INC COM 88160R101 6607 24910 SH SOLE 24910 0 0 TEXAS INSTRS INC COM 882508104 4687 30280 SH SOLE 30280 0 0 THE TRADE DESK INC COM CL A 88339J105 928 15536 SH SOLE 15536 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 510 1006 SH SOLE 1006 0 0 TILRAY BRANDS INC COM CL 2 88688T100 107 38968 SH SOLE 38968 0 0 TJX COS INC NEW COM 872540109 478 7697 SH SOLE 7697 0 0 TOTALENERGIES SE SPONSORED ADS 89151E109 223 4794 SH SOLE 4794 0 0 TRAVELERS COMPANIES INC COM 89417E109 944 6161 SH SOLE 6161 0 0 TRUIST FINL CORP COM 89832Q109 379 8703 SH SOLE 8703 0 0 TUESDAY MORNING CORP COM 89904V101 3 20747 SH SOLE 20747 0 0 TWILIO INC CL A 90138F102 413 5975 SH SOLE 5975 0 0 TWITTER INC COM 90184L102 1670 38088 SH SOLE 38088 0 0 TYSON FOODS INC CL A 902494103 229 3478 SH SOLE 3478 0 0 ULTA BEAUTY INC COM 90384S303 434 1083 SH SOLE 1083 0 0 UNION PAC CORP COM 907818108 1198 6147 SH SOLE 6147 0 0 UNITED PARCEL SERVICE INC CL B 911312106 2121 13131 SH SOLE 13131 0 0 UNITED RENTALS INC COM 911363109 2241 8297 SH SOLE 8297 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1689 3344 SH SOLE 3344 0 0 US BANCORP DEL COM NEW 902973304 431 10687 SH SOLE 10687 0 0 VAIL RESORTS INC COM 91879Q109 1975 9160 SH SOLE 9160 0 0 VALERO ENERGY CORP COM 91913Y100 484 4528 SH SOLE 4528 0 0 VANECK ETF TRUST VANECK VIETNAM 92189F817 136 10261 SH SOLE 10261 0 0 VANECK ETF TRUST AGRIBUSINESS ETF 92189F700 259 3204 SH SOLE 3204 0 0 VANECK ETF TRUST BIOTECH ETF 92189F726 1085 7709 SH SOLE 7709 0 0 VANECK ETF TRUST SEMICONDUCTR ETF 92189F676 1154 6233 SH SOLE 6233 0 0 VANGUARD ADMIRAL FDS INC SMLCP 600 VAL 921932778 286 2000 SH SOLE 2000 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 1365 19138 SH SOLE 19138 0 0 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 842 17640 SH SOLE 17640 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 3442 16087 SH SOLE 16087 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 697 2123 SH SOLE 2123 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 362 2017 SH SOLE 2017 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 960 11980 SH SOLE 11980 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 961 6704 SH SOLE 6704 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 211 1233 SH SOLE 1233 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 241 1982 SH SOLE 1982 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 538 4360 SH SOLE 4360 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 653 14141 SH SOLE 14141 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1012 27744 SH SOLE 27744 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 849 14784 SH SOLE 14784 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 412 5619 SH SOLE 5619 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 2827 48924 SH SOLE 48924 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 859 11567 SH SOLE 11567 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 735 5441 SH SOLE 5441 0 0 VANGUARD STAR FDS VG TL INTL STK F 921909768 395 8622 SH SOLE 8622 0 0 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 1389 38215 SH SOLE 38215 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 379 3997 SH SOLE 3997 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 977 4157 SH SOLE 4157 0 0 VANGUARD WORLD FDS UTILITIES ETF 92204A876 576 4048 SH SOLE 4048 0 0 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 557 3244 SH SOLE 3244 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 463 2940 SH SOLE 2940 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 757 3386 SH SOLE 3386 0 0 VANGUARD WORLD FDS ENERGY ETF 92204A306 773 7613 SH SOLE 7613 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 230 3090 SH SOLE 3090 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 1089 3542 SH SOLE 3542 0 0 VEEVA SYS INC CL A COM 922475108 211 1280 SH SOLE 1280 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 682 17964 SH SOLE 17964 0 0 VERMILION ENERGY INC COM 923725105 919 42900 SH SOLE 42900 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 1061 3664 SH SOLE 3664 0 0 VIKING THERAPEUTICS INC COM 92686J106 33 12275 SH SOLE 12275 0 0 VIRTUS CONVERTIBLE & INCOME COM 92838X102 68 21228 SH SOLE 21228 0 0 VIRTUS EQUITY & CONV INCM FD COM 92841M101 337 16596 SH SOLE 16596 0 0 VISA INC COM CL A 92826C839 2570 14466 SH SOLE 14466 0 0 VMWARE INC CL A COM 928563402 905 8503 SH SOLE 8503 0 0 WALMART INC COM 931142103 800 6170 SH SOLE 6170 0 0 WARNER BROS DISCOVERY INC COM SER A 934423104 537 46716 SH SOLE 46716 0 0 WASTE CONNECTIONS INC COM 94106B101 246 1821 SH SOLE 1821 0 0 WASTE MGMT INC DEL COM 94106L109 1505 9397 SH SOLE 9397 0 0 WELLS FARGO CO NEW COM 949746101 342 8513 SH SOLE 8513 0 0 WEST FRASER TIMBER CO LTD COM 952845105 233 3211 SH SOLE 3211 0 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 480 16813 SH SOLE 16813 0 0 WILLIAMS SONOMA INC COM 969904101 218 1847 SH SOLE 1847 0 0 WISDOMTREE TR US TOTAL DIVIDND 97717W109 657 12104 SH SOLE 12104 0 0 WISDOMTREE TR YIELD ENHANCD US 97717X511 273 6460 SH SOLE 6460 0 0 WISDOMTREE TR US MIDCAP DIVID 97717W505 352 9334 SH SOLE 9334 0 0 WISDOMTREE TR US LARGECAP FUND 97717W588 459 11962 SH SOLE 11962 0 0 WISDOMTREE TR US LARGECAP DIVD 97717W307 243 4406 SH SOLE 4406 0 0 WISDOMTREE TR US MIDCAP FUND 97717W570 602 13693 SH SOLE 13693 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 561 9094 SH SOLE 9094 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 441 11775 SH SOLE 11775 0 0 WISDOMTREE TR US AI ENHANCED 97717W406 769 9415 SH SOLE 9415 0 0 WYNN RESORTS LTD COM 983134107 486 7713 SH SOLE 7713 0 0 YUM BRANDS INC COM 988498101 334 3138 SH SOLE 3138 0 0 ZOETIS INC CL A 98978V103 545 3677 SH SOLE 3677 0 0 ZOOMINFO TECHNOLOGIES INC COMMON STOCK 98980F104 229 5488 SH SOLE 5488 0 0