2021-11-15T07:49:20-06:00 2020-12-31 381357951 PLANTE & MORAN PLLC 8181 E TUFTS AVE SUITE 600 DENVER CO 80237 990 2020-01-01 841009166 INVESTMENT MANAGEMENT CONSULTANTS ASSOCIATION INC INVE 3037703377 5619 DTC PARKWAY 500 GREENWOOD VILLAGE CO 80111 SEAN WALTERS CEO/EXECUTIVE DIRECTOR 3037703377 2021-11-11 1 SEAN WALTERS 999009999 DORI J EGGETT P00645252 3037409400 2021-11-11 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z INVESTMENTS & WEALTH INSTITUTE SEAN WALTERS 5619 DTC PARKWAY 500 GREENWOOD VILLAGE CO 80111 30391134 0 X WWW.INVESTMENTSANDWEALTH.ORG X 1985 CO TO PROVIDE INVESTMENT CONSULTING AND WEALTH MANAGEMENT EDUCATION & CREDENTIALING. 13 13 49 220 60498 0 0 0 14235746 12558074 575291 1139599 0 0 14811037 13697673 0 0 0 0 5174810 5354491 0 0 0 10765575 6557921 15940385 11912412 -1129348 1785261 23617503 27018468 8291594 8472079 15325909 18546389 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 47 0 1 49 1 1 1 0 0 0 0 0 0 0 X 13 13 0 0 1 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 500 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 KEITH CLEMENS 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 575000 0 125910 ANGELA LUTTERMAN CFO/COO 40.00 X 245019 0 44411 TIM WHITING CRO & MANAGING DIRECTOR OF SALES 40.00 X 224383 0 57246 DEVIN EKBERG CLO 40.00 X 216820 0 55574 CINDY CHAIFETZ CMO 40.00 X 159500 0 24352 JAMIE LEWIS DIRECTOR OF BUSINESS APPLICATION SOLUTIONS 40.00 X 118416 0 19967 CHARLES STRICKLAND ASSOC. DIRECTOR OF INFORMATION SYSTEMS SECURITY & 40.00 X 114758 0 19523 LARA DAVIES DIRECTOR OF CORPORATE RELATIONS 40.00 X 110102 0 22698 ROB FRANKEL GENERAL COUNSEL 40.00 X 128248 0 29084 CHRIS WRIGHT DIRECTOR OF PROFESSIONAL DEVELOPMENT 40.00 X 113895 0 27580 2006141 0 426345 11 0 1 0 IDEAS WITH IMPACT 12 GEARY STREET 302 SAN FRANCISCO CA 94108 AUDIO VISUAL 256521 MARKIT ON DEMAND 5775 FLATIRONS PKWY BOULDER CO 80301 MARKETING SERVICES 220036 CATALYST FIRE 65376 NEW CASTLE RD NAPERVILLE IL 60540 IT PROGRAMMING 181283 HUMAN RESOURCES RESEARCH ORGANIZATION 66 CANAL CENTER PLAZA SU 700 ALEXANDRIA VA 22314 PSYCHOMETRICAN SERVICES 148969 ROYLE PRINTING 745 S BIRD ST SUN PRAIRIE WI 53590 PRINTING & MAILING 140492 6 CERTIFICATION 900099 5307328 5307328 MEMBERSHIP 900099 3721683 3721683 MEETINGS / CONFERENCES 611710 1969160 1969160 EDUCATION 611710 1499405 1499405 ADVERTISING 541800 60498 60498 12558074 473378 473378 17359682 16693461 666221 666221 666221 13697673 12497576 60498 1139599 1728215 2683453 244147 424992 273684 44877 50291 49271 430557 594482 20366 186899 34352 460116 53983 766848 21555 390828 61081 CERTIFICATION 2148774 PUBLICATIONS 352095 CREDIT CARD FEES 331356 EDUCATION FOR MEMBERS 225220 334970 11912412 2197854 4221154 122547 33963 86219 81639 36830 0 1068885 1151837 945418 810863 170020 134555 18918697 20571125 998451 806195 18000 18000 23617503 27018468 1165619 1279017 7037183 7145251 88792 47811 8291594 8472079 X 15325909 18546389 15325909 18546389 23617503 27018468 1785261 1435219 0 X 0 1 X 1 0 307316 271592 35724 507189 408358 98831 130913 130913 0 134555 DEFERRED RENT 47811 47811 15132892 1435219 1435219 13697673 0 13697673 11912412 0 11912412 0 11912412 NORTH AMERICA 0 0 PROGRAM SERVICES EDUCATION 137271 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATION 21830 0 0 0 0 0 0 159101 0 159101 0 0 0 0 0 0 PART III ACCOUNTING METHOD: X X X X 0 0 0 SEAN WALTERS CEO/EXECUTIVE DIRECTOR 500000 0 75000 0 0 0 108250 0 17660 0 700910 0 0 0 ANGELA LUTTERMAN CFO/COO 216536 0 28483 0 0 0 42400 0 2011 0 289430 0 0 0 TIM WHITING CRO & MANAGING DIRECTOR OF SALES 200000 0 24383 0 0 0 40388 0 16858 0 281629 0 0 0 DEVIN EKBERG CLO 190000 0 26820 0 0 0 38790 0 16784 0 272394 0 0 0 CINDY CHAIFETZ CMO 150000 0 9500 0 0 0 15950 0 8402 0 183852 0 0 0 ROB FRANKEL GENERAL COUNSEL 117548 0 10700 0 0 0 12825 0 16259 0 157332 0 0 0 FORM 990, PART VI, SECTION A, LINE 4 A BYLAW CHANGE TO THE ROLE OF THE NOMINATING COMMITTEE HAS BEEN MADE IN SELECTING THE NEW MEMBERS OF THE BOARD. 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 5 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.