INSTITUTE FOR WEALTH MANAGEMENT, LLC.

https://secure.iwm401k.com/home/index.jsp DENVER, CO Investment Advisor Hedge Fund How do I update this listing?

Institute FOR Wealth Management is based out of Denver. Institute FOR Wealth Management is a hedge fund with 1079 clients and discretionary assets under management (AUM) of $660,076,000 (Form ADV from 2020-07-21). Their last reported 13F filing for Q2 2020 included $408,475,000 in managed 13F securities and a top 10 holdings concentration of 19.75%. Institute FOR Wealth Management's largest holding is Apple Inc with shares held of 35,121. Institute FOR Wealth Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 32 13F filings

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06/30/2020

13F Activity

  • Market Value $408.475 Million
  • Prior Market Value $324.297 Million
  • New Purchases50 stocks
  • Additional Purchases198 stocks
  • Sold out of25 stocks
  • Reduced holdings in131 stocks
  • Top 10 Holdings % 19.75 %
  • Turnover % [1]:17.61%
  • Turnover Alt % [2]: 9.54 %
  • Time Held Top20:5.25 quarters
  • Time Held Top10:4.50 quarters
  • Time Held All:7.07 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 38.35%
Performance Last 4 Quarters: 5.63%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

THE INSTITUTE
Classified as Hedge Fund
1776 LINCOLN ST. SUITE 950
DENVER CO    80203-1022
Country: United States

Business Phone: 303-572-3500
Fax: 303-572-3515
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 4
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,WRAP FEES & FINANCIAL PLANNING FEES
Amount of client funds and securities: 0
Total Number of Clients: 1079
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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INSTITUTE FOR WEALTH MANAGEMENT LLC

ownership team - last updated 2020-06-24
Name Title Start Date Direct/Indirect % Ownership
INSTITUTE FOR WEALTH HOLDINGS, INC. MANAGING MEMBER 05/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER direct 2004-05-01
MEDEIROS, MATTHEW, DOUGLAS PRESIDENT & CCO 06/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-06-01
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2015-06-01
INSTITUTE FOR WEALTH ADVISORS, INC. OWNER indirect 2016-09-01
INSTITUTE FOR WEALTH CONSULTANTS, INC. OWNER indirect 2016-09-01
PEAK WEALTH MANAGEMENT LLC PRESIDENT/CEO direct 1993-04-01 2003-03-31
PEAK WEALTH MANAGEMENT LLC CONSULTANT direct 2003-08-01 2003-09-25
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2003-06-01 2014-12-10
INSTITUTE FOR WEALTH MANAGEMENT LLC OWNER indirect 2003-04-01 2015-04-01
JORGENSEN, JEFFERY, FRANDS CHIEF OPERATIONS OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF OPERATIONS OFFICER direct 2010-01-01
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-02-01
MEDEIROS, MATTHEW, DOUGLAS CEO INSTITUTE FOR WEALTH HOLDINGS, INC. 06/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-06-01
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2015-06-01
INSTITUTE FOR WEALTH ADVISORS, INC. OWNER indirect 2016-09-01
INSTITUTE FOR WEALTH CONSULTANTS, INC. OWNER indirect 2016-09-01
PEAK WEALTH MANAGEMENT LLC PRESIDENT/CEO direct 1993-04-01 2003-03-31
PEAK WEALTH MANAGEMENT LLC CONSULTANT direct 2003-08-01 2003-09-25
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2003-06-01 2014-12-10
INSTITUTE FOR WEALTH MANAGEMENT LLC OWNER indirect 2003-04-01 2015-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MADISON PARK HARBOR FUND, LP United States 805-4146807940 Hedge Fund 14,578,570 250,000

INSTITUTE FOR WEALTH MANAGEMENT LLC

ownership team - last updated 2020-03-27
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MADISON PARK HARBOR FUND, LP United States 805-4146807940 Hedge Fund 14,578,570 250,000

INSTITUTE FOR WEALTH MANAGEMENT LLC

ownership team - last updated 2019-12-12
Name Title Start Date Direct/Indirect % Ownership
INSTITUTE FOR WEALTH HOLDINGS, INC. MANAGING MEMBER 05/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER direct 2004-05-01
MEDEIROS, MATTHEW, DOUGLAS PRESIDENT & CCO 06/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-06-01
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2015-06-01
INSTITUTE FOR WEALTH ADVISORS, INC. OWNER indirect 2016-09-01
INSTITUTE FOR WEALTH CONSULTANTS, INC. OWNER indirect 2016-09-01
PEAK WEALTH MANAGEMENT LLC PRESIDENT/CEO direct 1993-04-01 2003-03-31
PEAK WEALTH MANAGEMENT LLC CONSULTANT direct 2003-08-01 2003-09-25
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2003-06-01 2014-12-10
INSTITUTE FOR WEALTH MANAGEMENT LLC OWNER indirect 2003-04-01 2015-04-01
JORGENSEN, JEFFERY, FRANDS CHIEF OPERATIONS OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF OPERATIONS OFFICER direct 2010-01-01
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-02-01
MEDEIROS, MATTHEW, DOUGLAS CEO INSTITUTE FOR WEALTH HOLDINGS, INC. 06/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-06-01
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2015-06-01
INSTITUTE FOR WEALTH ADVISORS, INC. OWNER indirect 2016-09-01
INSTITUTE FOR WEALTH CONSULTANTS, INC. OWNER indirect 2016-09-01
PEAK WEALTH MANAGEMENT LLC PRESIDENT/CEO direct 1993-04-01 2003-03-31
PEAK WEALTH MANAGEMENT LLC CONSULTANT direct 2003-08-01 2003-09-25
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2003-06-01 2014-12-10
INSTITUTE FOR WEALTH MANAGEMENT LLC OWNER indirect 2003-04-01 2015-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MADISON PARK HARBOR FUND, LP United States 805-4146807940 Hedge Fund 14,578,570 250,000

INSTITUTE FOR WEALTH MANAGEMENT LLC

ownership team - last updated 2019-07-17
Name Title Start Date Direct/Indirect % Ownership
INSTITUTE FOR WEALTH HOLDINGS, INC. SHAREHOLDER 05/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER direct 2004-05-01
MEDEIROS, MATTHEW, DOUGLAS PRESIDENT, CHIEF EXECUTIVE OFFICER 06/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-06-01
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2015-06-01
INSTITUTE FOR WEALTH ADVISORS, INC. OWNER indirect 2016-09-01
INSTITUTE FOR WEALTH CONSULTANTS, INC. OWNER indirect 2016-09-01
PEAK WEALTH MANAGEMENT LLC PRESIDENT/CEO direct 1993-04-01 2003-03-31
PEAK WEALTH MANAGEMENT LLC CONSULTANT direct 2003-08-01 2003-09-25
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2003-06-01 2014-12-10
INSTITUTE FOR WEALTH MANAGEMENT LLC OWNER indirect 2003-04-01 2015-04-01
JORGENSEN, JEFFERY, FRANDS CHIEF OPERATIONS OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF OPERATIONS OFFICER direct 2010-01-01
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-02-01
SARABI, ARMIN, KRAMER GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2013-01-01
MEDEIROS, MATTHEW, DOUGLAS SHAREHOLDER INSTITUTE FOR WEALTH HOLDINGS, INC. 06/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-06-01
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2015-06-01
INSTITUTE FOR WEALTH ADVISORS, INC. OWNER indirect 2016-09-01
INSTITUTE FOR WEALTH CONSULTANTS, INC. OWNER indirect 2016-09-01
PEAK WEALTH MANAGEMENT LLC PRESIDENT/CEO direct 1993-04-01 2003-03-31
PEAK WEALTH MANAGEMENT LLC CONSULTANT direct 2003-08-01 2003-09-25
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2003-06-01 2014-12-10
INSTITUTE FOR WEALTH MANAGEMENT LLC OWNER indirect 2003-04-01 2015-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MADISON PARK HARBOR FUND, LP United States 805-4146807940 Hedge Fund 14,578,570 250,000

INSTITUTE FOR WEALTH MANAGEMENT LLC

ownership team - last updated 2019-05-10
Name Title Start Date Direct/Indirect % Ownership
INSTITUTE FOR WEALTH HOLDINGS, INC. SHAREHOLDER 05/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER direct 2004-05-01
MEDEIROS, MATTHEW, DOUGLAS PRESIDENT, CHIEF EXECUTIVE OFFICER 06/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-06-01
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2015-06-01
INSTITUTE FOR WEALTH ADVISORS, INC. OWNER indirect 2016-09-01
INSTITUTE FOR WEALTH CONSULTANTS, INC. OWNER indirect 2016-09-01
PEAK WEALTH MANAGEMENT LLC PRESIDENT/CEO direct 1993-04-01 2003-03-31
PEAK WEALTH MANAGEMENT LLC CONSULTANT direct 2003-08-01 2003-09-25
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2003-06-01 2014-12-10
INSTITUTE FOR WEALTH MANAGEMENT LLC OWNER indirect 2003-04-01 2015-04-01
JORGENSEN, JEFFERY, FRANDS CHIEF OPERATIONS OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF OPERATIONS OFFICER direct 2010-01-01
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-02-01
SARABI, ARMIN, KRAMER GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2013-01-01
MEDEIROS, MATTHEW, DOUGLAS SHAREHOLDER INSTITUTE FOR WEALTH HOLDINGS, INC. 06/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-06-01
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2015-06-01
INSTITUTE FOR WEALTH ADVISORS, INC. OWNER indirect 2016-09-01
INSTITUTE FOR WEALTH CONSULTANTS, INC. OWNER indirect 2016-09-01
PEAK WEALTH MANAGEMENT LLC PRESIDENT/CEO direct 1993-04-01 2003-03-31
PEAK WEALTH MANAGEMENT LLC CONSULTANT direct 2003-08-01 2003-09-25
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2003-06-01 2014-12-10
INSTITUTE FOR WEALTH MANAGEMENT LLC OWNER indirect 2003-04-01 2015-04-01

INSTITUTE FOR WEALTH MANAGEMENT LLC

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
INSTITUTE FOR WEALTH HOLDINGS, INC. SHAREHOLDER 05/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER direct 2004-05-01
MEDEIROS, MATTHEW, DOUGLAS PRESIDENT, CHIEF EXECUTIVE OFFICER 06/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-06-01
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2015-06-01
INSTITUTE FOR WEALTH ADVISORS, INC. OWNER indirect 2016-09-01
INSTITUTE FOR WEALTH CONSULTANTS, INC. OWNER indirect 2016-09-01
PEAK WEALTH MANAGEMENT LLC PRESIDENT/CEO direct 1993-04-01 2003-03-31
PEAK WEALTH MANAGEMENT LLC CONSULTANT direct 2003-08-01 2003-09-25
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2003-06-01 2014-12-10
INSTITUTE FOR WEALTH MANAGEMENT LLC OWNER indirect 2003-04-01 2015-04-01
JORGENSEN, JEFFERY, FRANDS CHIEF OPERATIONS OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF OPERATIONS OFFICER direct 2010-01-01
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-02-01
SARABI, ARMIN, KRAMER GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2013-01-01
MEDEIROS, MATTHEW, DOUGLAS SHAREHOLDER INSTITUTE FOR WEALTH HOLDINGS, INC. 06/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-06-01
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2015-06-01
INSTITUTE FOR WEALTH ADVISORS, INC. OWNER indirect 2016-09-01
INSTITUTE FOR WEALTH CONSULTANTS, INC. OWNER indirect 2016-09-01
PEAK WEALTH MANAGEMENT LLC PRESIDENT/CEO direct 1993-04-01 2003-03-31
PEAK WEALTH MANAGEMENT LLC CONSULTANT direct 2003-08-01 2003-09-25
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2003-06-01 2014-12-10
INSTITUTE FOR WEALTH MANAGEMENT LLC OWNER indirect 2003-04-01 2015-04-01

INSTITUTE FOR WEALTH MANAGEMENT LLC

ownership team - last updated 2017-11-02
Name Title Start Date Direct/Indirect % Ownership
INSTITUTE FOR WEALTH MANAGEMENT HOLDINGS, INC. SHAREHOLDER 05/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER direct 2004-05-01
MEDEIROS, MATTHEW, DOUGLAS PRESIDENT, CHIEF EXECUTIVE OFFICER 06/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-06-01
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2015-06-01
INSTITUTE FOR WEALTH ADVISORS, INC. OWNER indirect 2016-09-01
INSTITUTE FOR WEALTH CONSULTANTS, INC. OWNER indirect 2016-09-01
PEAK WEALTH MANAGEMENT LLC PRESIDENT/CEO direct 1993-04-01 2003-03-31
PEAK WEALTH MANAGEMENT LLC CONSULTANT direct 2003-08-01 2003-09-25
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2003-06-01 2014-12-10
INSTITUTE FOR WEALTH MANAGEMENT LLC OWNER indirect 2003-04-01 2015-04-01
JORGENSEN, JEFFERY, FRANDS CHIEF OPERATIONS OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF OPERATIONS OFFICER direct 2010-01-01
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-02-01
Walker, Mason, Bradley CHIEF COMPLIANCE OFFICER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2017-10-01
MEDEIROS, MATTHEW, DOUGLAS SHAREHOLDER INSTITUTE FOR WEALTH MANAGEMENT HOLDINGS, INC. 06/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2003-06-01
INSTITUTE FOR WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2015-06-01
INSTITUTE FOR WEALTH ADVISORS, INC. OWNER indirect 2016-09-01
INSTITUTE FOR WEALTH CONSULTANTS, INC. OWNER indirect 2016-09-01
PEAK WEALTH MANAGEMENT LLC PRESIDENT/CEO direct 1993-04-01 2003-03-31
PEAK WEALTH MANAGEMENT LLC CONSULTANT direct 2003-08-01 2003-09-25
INSTITUTE FOR WEALTH MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2003-06-01 2014-12-10
INSTITUTE FOR WEALTH MANAGEMENT LLC OWNER indirect 2003-04-01 2015-04-01

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