SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
The Institute
Denver, CO
Institute for Wealth Management LLC, CRD 127207
Firm filing updated July 23, 2026 ·
- $1.4BAssets
- 17Advisory staff
- 1,684Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals612
- High net worth individuals191
- Pension and profit sharing plans6
- Pooled vehicles1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 612 | $139.1 million |
| High net worth individuals | 191 | $1.2 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $22.6 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 6 | $10.2 million |
| Charitable organizations | Fewer than 5 clients | $46,498 |
| Corporations or other businesses not listed above | Fewer than 5 clients | $6.0 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 6 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Educational seminars/workshops
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Educational seminars/workshops
Assets and accounts
- Regulatory assets$1.4 billion
- Accounts1,684
- Discretionary$1.4 billion · 1,677 accounts
- Non-discretionary$10.4 million · 7 accounts
People
- Employees18
- Advisory staff17
- Broker-dealer reps2
- Licensed insurance agents4
- Planning clients251 to 500
Advisors
5 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Institute for Wealth Management LLC SEC-registered investment advisor. CRD 127207, SEC file 801-67624.
- Registered with the SEC as an investment advisor (status date on record: March 7, 2007).
Is The Institute a fiduciary?
Short answer: The Institute is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 2 staff are broker-dealer representatives. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
4 staff are licensed insurance agents and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.