2022-11-15T09:37:15-06:00 2021-12-31 381357951 PLANTE & MORAN PLLC 8181 E TUFTS AVE SUITE 600 DENVER CO 80237 990 2021-01-01 841009166 INVESTMENT MANAGEMENT CONSULTANTS ASSOCIATION INC INVE 3037703377 5619 DTC PARKWAY 600 GREENWOOD VILLAGE CO 80111 SEAN WALTERS CEO/EXECUTIVE DIRECTOR 3037703377 2022-11-14 1 SEAN WALTERS 999009999 DORI J EGGETT P00645252 3037409400 2022-11-14 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z X INVESTMENTS & WEALTH INSTITUTE SEAN WALTERS 5619 DTC PARKWAY 600 GREENWOOD VILLAGE CO 80111 27353287 0 X WWW.INVESTMENTSANDWEALTH.ORG X 1985 CO TO PROVIDE INVESTMENT CONSULTING AND WEALTH MANAGEMENT EDUCATION & CREDENTIALING. 13 13 51 220 40500 0 0 0 12558074 12544988 1139599 869613 0 0 13697673 13414601 0 0 0 0 5354491 5928981 0 0 0 6557921 7246638 11912412 13175619 1785261 238982 27018468 30192603 8472079 9726171 18546389 20466432 TO DELIVER THE PREMIER INVESTMENT CONSULTING AND WEALTH MANAGEMENT CREDENTIALS AND WORLD CLASS EDUCATIONAL OFFERINGS. 0 0 MEETINGS AND CONFERENCES - ADMINISTRATION OF MEETINGS AND CONFERENCES THAT PROVIDE CONTINUING EDUCATION RELATED TO THE INVESTMENT MANAGEMENT PROFESSION FOR THE ORGANIZATION'S MEMBERS AND THE GENERAL PUBLIC. MEMBERSHIP - ADMINISTRATION OF THE ORGANIZATION'S MEMBER BENEFIT PROGRAMS WHICH INCLUDE COMMUNICATIONS AND PUBLICATIONS THAT SUPPORT THE INVESTMENT MANAGEMENT PROFESSION. CERTIFICATION - ADMINISTRATION OF THE ORGANIZATION'S INITIAL CERTIFICATION AND RE-CERTIFICATION PROGRAMS FOR THE CERTIFIED INVESTMENT MANAGEMENT ANALYST, THE CERTIFIED PRIVATE WEALTH ADVISOR AND THE RETIREMENT MANAGEMENT ADVISOR DESIGNATION. 0 0 0 0 0 0 0 0 0 1 0 0 0 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 53 0 1 51 1 1 1 0 0 0 0 0 0 0 X 13 13 0 0 0 0 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 0 0 X ANGIE LUTTERMAN 3038503073 5619 DTC PARKWAY 600 GREENWOOD VILLAGE CO 80111 TODD WAGENBERG CHAIR 1.00 X X 0 0 0 DOROTHY BOSSUNG VICE CHAIR 1.00 X X 0 0 0 CHRISTINE GAZE SECRETARY 1.00 X X 0 0 0 SCOTT WELCH TREASURER 1.00 X X 0 0 0 CHRIS BIDWELL DIRECTOR 1.00 X 0 0 0 BRIAN KONISH DIRECTOR 1.00 X 0 0 0 BRIAN ULLSPERGER DIRECTOR 1.00 X 0 0 0 LAURIS LAMBERGS DIRECTOR 1.00 X 0 0 0 KELLY WALSH DIRECTOR 1.00 X 0 0 0 KEVIN SANCHEZ DIRECTOR 1.00 X 0 0 0 DESIREE MALDONADO DIRECTOR 1.00 X 0 0 0 ELIZABETH ANDERSON DIRECTOR 1.00 X 0 0 0 NOEL PACARRO BROWN DIRECTOR 1.00 X 0 0 0 SEAN WALTERS CEO/EXECUTIVE DIRECTOR 40.00 X 609615 0 131078 ANGELA LUTTERMAN CFO/COO 40.00 X 291752 0 47053 TIM WHITING CRO & MANAGING DIRECTOR OF 40.00 X 237480 0 60647 DEVIN EKBERG CLO 40.00 X 181667 0 29706 CINDY CHAIFETZ CMO 40.00 X 169343 0 27547 MIKE KURZ DIRECTOR OF PROGRAMS 40.00 X 133750 0 15066 CHARLES STRICKLAND ASSOC. DIRECTOR OF INFORMATION SYSTEMS SECURITY & 40.00 X 120027 0 21757 JAMIE LEWIS DIRECTOR OF INFORMATION TECHNOLOGY 40.00 X 125032 0 22397 ROB FRANKEL GENERAL COUNSEL 40.00 X 137939 0 32485 CHRIS WRIGHT DIRECTOR OF PROFESSIONAL DEVELOPMENT 40.00 X 119737 0 30403 2126342 0 418139 16 0 1 0 MARKIT ON DEMAND 5775 FLATIRONS PKWY BOULDER CO 80301 MARKETING SERVICES 667066 CATALYST FIRE 65376 NEW CASTLE RD NAPERVILLE IL 60540 IT PROGRAMMING 220701 SUPER HUMANE 4119 DECATUR ST DENVER CO 80211 IT PROGRAMMING 150000 ROYLE PRINTING 745 S BIRD ST SUN PRAIRIE WI 53590 PRINTING & MAILING 109048 4 CERTIFICATION 900099 6245769 6245769 MEMBERSHIP 900099 3328004 3328004 MEETINGS/CONFERENCES 611710 1652381 1652381 EDUCATION 611710 1278334 1278334 ADVERTISING 541800 40500 40500 12544988 386321 386321 14421978 13938686 483292 483292 483292 13414601 12504488 40500 869613 1785889 3088363 283558 459331 311840 42789 43000 50196 499290 1048791 16105 210341 5536 469228 74189 663994 383406 48822 CERTIFICATION 2456097 CREDIT CARD FEES 338365 PUBLICATIONS 251994 SCHOLARSHIPS 183737 460758 13175619 4221154 6187412 33963 33896 81639 47919 1151837 1406069 1056780 831033 134555 225747 20571125 21384024 806195 889536 18000 18000 27018468 30192603 1279017 1564225 7145251 8155115 47811 6831 8472079 9726171 X 18546389 20466432 18546389 20466432 27018468 30192603 238982 1681061 0 X 0 1 X 1 0 307316 301226 6090 618551 398894 219657 130913 130913 0 225747 DEFERRED RENT 6831 6831 15095662 1681061 1681061 13414601 0 13414601 13175619 0 13175619 0 13175619 NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 92130 0 0 0 0 0 0 92130 0 92130 0 0 0 0 0 0 PART III ACCOUNTING METHOD: X X X X 0 0 0 SEAN WALTERS CEO/EXECUTIVE DIRECTOR 500000 0 100000 0 9615 0 112400 0 18678 0 740693 0 0 0 ANGELA LUTTERMAN CFO/COO 250000 0 36197 0 5555 0 45041 0 2012 0 338805 0 0 0 TIM WHITING CRO & MANAGING DIRECTOR OF 206000 0 31480 0 0 0 42746 0 17901 0 298127 0 0 0 DEVIN EKBERG CLO 181667 0 0 0 0 0 14533 0 15173 0 211373 0 0 0 CINDY CHAIFETZ CMO 154500 0 14843 0 0 0 18628 0 8919 0 196890 0 0 0 ROB FRANKEL GENERAL COUNSEL 122250 0 11168 0 4521 0 15173 0 17312 0 170424 0 0 0 CHRIS WRIGHT DIRECTOR OF PROFESSIONAL DEVELOPMENT 111395 0 8342 0 0 0 13171 0 17232 0 150140 0 0 0 FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS ONE CLASS OF MEMBERSHIP. MEMBERS IN GOOD STANDING SHALL BE ELIGIBLE TO VOTE, HOLD OFFICE, AND SERVE AS COMMITTEE CHAIRS AND COMMITTEE MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A THE NOMINATING COMMITTEE SHALL CONSIST OF AT LEAST FIVE MEMBERS IN GOOD STANDING AND SHALL HAVE AND EXERCISE THE AUTHORITY GRANTED BY THE BOARD OF DIRECTORS IN THE RESOLUTION APPOINTING THE COMMITTEE. THE NOMINATING COMMITTEE SHALL ASK FOR RECOMMENDATIONS FROM THE MEMBERSHIP FOR SUGGESTIONS FOR DIRECTOR-AT-LARGE NOMINEES AT LEAST NINE MONTHS PRIOR TO THE END OF THE FISCAL YEAR; SHALL SELECT A SLATE OF CANDIDATES FROM THE ELIGIBLE MEMBERSHIP FOR POSITIONS OF OFFICERS AND DIRECTORS AT LEAST THREE MONTHS PRIOR TO THE END OF THE FISCAL YEAR; AND SHALL NOTIFY THE MEMBERSHIP OF SUCH NOMINATIONS. FORM 990, PART VI, SECTION A, LINE 7B DECISIONS OF THE GOVERNING BODY ARE NOT SUBJECT TO APPROVAL BY MEMBERS. HOWEVER, AMENDMENTS TO, OR REPEAL OF THE BYLAWS REQUIRE A TWO-THIRDS AFFIRMATIVE VOTE OF THE MEMBERS. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS REVIEWED BY THE CEO, TREASURER AND CFO. THE FORM 990 IS THEN FURNISHED TO THE BOARD OF DIRECTORS UPON WHICH THEY HAVE THE OPPORTUNITY TO REVIEW AND ASK QUESTIONS BEFORE FILING. FORM 990, PART VI, SECTION B, LINE 12C NEWLY ELECTED BOARD OF DIRECTORS ARE REQUIRED TO SIGN A CONFLICT OF INTEREST DISCLOSURE. EACH BOARD MEETING INCLUDES AN AGENDA ITEM WHERE THE BOARD OF DIRECTORS ARE ASKED IF THERE HAVE BEEN ANY CHANGES TO THEIR CONFLICT OF INTEREST DISCLOSURE. IF SO, A NEW CONFLICT OF INTEREST DISCLOSURE WOULD BE SIGNED. FORM 990, PART VI, SECTION B, LINE 15A THE COMPENSATION OF THE EXECUTIVE DIRECTOR IS REVIEWED BY AN EXECUTIVE COMMITTEE AND RECOMMENDED TO THE BOARD FOR APPROVAL. A CONSULTING FIRM WAS HIRED FOR EVALUATION AND DEVELOPMENT OF A 4 YEAR COMPENSATION PACKAGE BASED ON PEER, UNIVERSAL-CEO-COMPENSATION STUDY. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. THE FINANCIAL STATEMENTS ARE ALSO POSTED ON THE ORGANIZATION'S WEBSITE.