2025-11-17T13:55:43-06:00 2024-12-31 410746749 CLIFTONLARSONALLEN LLP 121 SOUTH TEJON STREET SUITE 1100 COLORADO SPRINGS CO 80903 990 2024-01-01 841009166 INVESTMENT MANAGEMENT CONSULTANTS ASSOCIATION INC INVE 3037703377 5619 DTC PARKWAY 600 GREENWOOD VILLAGE CO 80111 SEAN WALTERS CEO 3037703377 2025-11-15 1 1 SARAH HINTZ P00492291 7196350330 2025-11-15 2024 2025-03-06 01:10:19Z INVESTMENTS & WEALTH INSTITUTE SEAN WALTERS 5619 DTC PARKWAY 600 GREENWOOD VILLAGE CO 80111 31865750 0 X WWW.INVESTMENTSANDWEALTH.ORG X 1985 CO TO PROVIDE INVESTMENT CONSULTING AND WEALTH MANAGEMENT EDUCATION & CREDENTIALING. 13 13 54 225 10800 0 0 0 16254619 17074628 390484 1588404 0 0 16645103 18663032 200000 100000 0 0 7134333 6863878 0 0 0 11388707 12126008 18723040 19089886 -2077937 -426854 29801201 29745295 13922313 13687879 15878888 16057416 TO DELIVER THE PREMIER INVESTMENT CONSULTING AND WEALTH MANAGEMENT CREDENTIALS AND WORLD CLASS EDUCATIONAL OFFERINGS. 0 0 CERTIFICATION - ADMINISTRATION OF THE ORGANIZATION'S INITIAL CERTIFICATION AND RECERTIFICATION PROGRAMS FOR THE CERTIFIED INVESTMENT MANAGEMENT ANALYST, THE CERTIFIED PRIVATE WEALTH ADVISOR AND THE RETIREMENT MANAGEMENT ADVISOR DESIGNATION. PROFESSIONAL DEVELOPMENT - 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. 0 0 0 1 0 0 0 0 0 1 0 0 1 1 0 0 1 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 1 51 0 1 54 1 1 1 0 0 0 0 0 0 0 X 13 13 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 X SANDRA GARCIA 3038503213 5619 DTC PARKWAY GREENWOOD VILLAGE CO 80111 SEAN WALTERS CEO 40.00 1.00 X 562077 0 146070 ANGELA LUTTERMAN CFO/COO 40.00 1.00 X 267697 0 55996 ROSS RISKIN CLO 40.00 0.00 X 240984 0 50717 JOHN WHITHAM COO 40.00 0.00 X 203174 0 29822 APRIL FERRELL DIR. OF SALES & EXEC. DIR. FDTN 40.00 1.00 X 203130 0 29722 ROBERT FRANKEL DIR. OF CERTIF. & GEN. COUNSEL 40.00 0.00 X 154319 0 42749 SANDRA GARCIA CFO 40.00 0.00 X 162425 0 21795 MICHAEL KURZ DIRECTOR CERTIFICATION PROGRAMS 40.00 0.00 X 148434 0 14771 COURTNEY SCHUBERT DIR. MARKETING & MEMBERSHIP 40.00 0.00 X 144339 0 18413 HANNAH WALDEN DIRECTOR EDUCATION OPERATION 40.00 0.00 X 136721 0 24166 CHRISTINE GAZE CHAIR 1.00 0.00 X X 0 0 0 LIBET ANDERSON VICE CHAIR, STANDARDS 1.00 0.00 X X 0 0 0 LAURIS LAMBERGS VICE CHAIR, FINANCE 1.00 0.00 X X 0 0 0 NOEL PACARRO BROWN VICE CHAIR, PROF. DEVELOPMENT 1.00 0.00 X X 0 0 0 DOROTHY BOSSUNG PAST-CHAIR 1.00 0.00 X X 0 0 0 MOE ALLAIN DIRECTOR 1.00 0.00 X 0 0 0 CHRIS BIDWELL DIRECTOR 1.00 0.00 X 0 0 0 ANUJ GUPTA DIRECTOR 1.00 0.00 X 0 0 0 DOUG HANSON DIRECTOR 1.00 0.00 X 0 0 0 DESIREE MALDONADO DIRECTOR 1.00 1.00 X 0 0 0 ROGER MUSSA DIRECTOR 1.00 0.00 X 0 0 0 WILLIAM WALDERT DIRECTOR 1.00 0.00 X 0 0 0 HATEM ZARROUK DIRECTOR 1.00 0.00 X 0 0 0 2223300 0 434221 19 0 1 0 STRATEGICO CONSULTANTS LLC 511 LAMONT ST WASHINGTON DC 20010 CIO AND IT CONSULTING 369962 RIVER COMMUNICATIONS INC 50 S BUCKHOUT ST IRVINGTON NY 10533 PUBLIC RELATIONS CONSULTING 139333 DIRECT TECHNICAL 5225 CANYON CREST DR RIVERSIDE CA 92507 AUDIO VISUAL 136273 CATALYST FIRE 65376 NEW CASTLE RD NAPERVILLE IL 60540 IT PROGRAMMING 126681 UNISON ASSOCIATES LLC 70 FULLER AVE SWAMPSCOTT MA 01907 CERTIFICATION AND EDUCATION CONSULTING 121403 6 CERTIFICATION 541610 11382431 11382431 MEETINGS/CONFERENCES 611430 3113277 3113277 MEMBERSHIP 611430 2568120 2568120 ADVERTISING 541800 10800 10800 17074628 701926 701926 14089196 13202718 886478 886478 886478 18663032 17063828 10800 1588404 100000 1735103 4026894 334474 359472 407935 73127 63870 49560 625339 530385 313787 434931 238418 1806341 571450 61578 CERTIFICATION 5596315 OTHER EXPENSES 964110 CREDIT CARD FEES 532408 PUBLICATIONS 222583 41806 19089886 2859948 3064338 1235716 1516011 157486 88174 1766256 1799846 614333 327469 356513 286864 19858533 20036898 1673174 1313083 1893575 1640081 29801201 29745295 1696098 1183991 10205210 10805946 2021005 1697942 13922313 13687879 X 15878888 16057416 15878888 16057416 29801201 29745295 -426854 605382 0 X X 0 1 X 1 0 0 0 0 0 0 1 0 88632 33952 54680 377078 158982 218096 148623 134535 14088 286864 SECURITY DEPOSITS 18000 OPERATING RIGHT-OF-USE ASSET 1509817 RELATED PARTY RECEIVABLE 112264 1640081 LEASE LIABILITIES 1697942 1697942 19314251 605382 45837 651219 18663032 0 18663032 19158738 68852 68852 19089886 0 19089886 PART XI, LINE 2D - OTHER ADJUSTMENTS: RELATED ORGANIZATION REVENUE REPORTED ON SEPARATE FORM 990 145,837. CONTRIBUTION TO IWF - INTERCOMPANY -100,000. PART XII, LINE 2D - OTHER ADJUSTMENTS: RELATED ORGANIZATION EXPENSE REPORTED ON SEPARATE FORM 990 168,852. INTERCOMPANY GRANT ELIMINATED IN AUDITED FINANCIALS -100,000. NORTH AMERICA 0 0 PROGRAM SERVICES CANADIAN MEMBERSHIP RENEWALS 8973 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES AUSTRALIAN CIMA MEMBERSHIP RENEWAL 12245 0 0 0 0 0 0 21218 0 21218 0 0 0 0 0 0 PART I, LINE 2: THE ACCRUAL METHOD IS USED TO ACCOUNT FOR EXPENDITURES IN PART I. 1 INVESTMENTS AND WEALTH FOUNDATION 5619 STC PARKWAY 600 GREENWOOD VILLAGE CO 80111 874617128 501(C)(3) 100000 0 N/A N/A GENERAL SUPPORT 1 0 PART I, LINE 2: NO MONITORING IS DEEMED NECESSARY AS FUNDS WERE GRANTED TO A RELATED CONTROLLED ORGANIZATION. X X X X 0 0 0 SEAN WALTERS CEO 487077 0 50000 0 25000 0 115700 0 30370 0 708147 0 0 0 ANGELA LUTTERMAN CFO/COO 131638 0 76458 0 59601 0 38007 0 17989 0 323693 0 0 0 ROSS RISKIN CLO 238377 0 2607 0 0 0 24474 0 26243 0 291701 0 0 0 JOHN WHITHAM COO 201374 0 1800 0 0 0 20552 0 9270 0 232996 0 0 0 APRIL FERRELL DIR. OF SALES & EXEC. DIR. FDTN 193620 0 9510 0 0 0 20312 0 9410 0 232852 0 0 0 ROBERT FRANKEL DIR. OF CERTIF. & GEN. COUNSEL 134356 0 7625 0 12338 0 16764 0 25985 0 197068 0 0 0 SANDRA GARCIA CFO 134591 0 27834 0 0 0 11967 0 9828 0 184220 0 0 0 MICHAEL KURZ DIRECTOR CERTIFICATION PROGRAMS 139256 0 9178 0 0 0 14065 0 706 0 163205 0 0 0 COURTNEY SCHUBERT DIR. MARKETING & MEMBERSHIP 140065 0 4274 0 0 0 11326 0 7087 0 162752 0 0 0 HANNAH WALDEN DIRECTOR EDUCATION OPERATION 132704 0 4017 0 0 0 13782 0 10384 0 160887 0 0 0 FORM 990, PART VI, SECTION A, LINE 1A THE EXECUTIVE COMMITTEE IS MADE UP OF THE BOARD OF DIRECTOR'S OFFICERS AND IS RESPONSIBLE FOR THE CEO'S PERFORMANCE APPRAISAL, BONUS AND RAISE DETERMINATION AND CONTRACT NEGOTIATIONS. 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 BEFORE FILING. 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. IT IS THE RESPONSIBILITY OF THE CONFLICTED PARTIES IMMEDIATE SUPERVISOR AND GENERAL COUNSEL TO DETERMINE WHETHER A CONFLICT EXISTS. ALL DETERMINATIONS ARE DOCUMENTED IN THE ORGANIZATIONS MINUTES. IF THE INTERESTED PARTY IS FOUND TO HAVE A CONFLICT OF INTEREST, THEY ARE NOT ALLOWED TO PARTICIPATE IN ANY DISCUSSION OR DECISION MAKING REGARDING THEIR CONFLICT OF INTEREST. FORM 990, PART VI, SECTION B, LINE 15A THE COMPENSATION OF THE CEO AND KEY EMPLOYEES 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. THE PROCESS DESCRIBED HERE WAS LAST COMPLETED IN 2024. 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. FORM 990, PART XII, LINE 2C: THE PROCESS FOR OVERSIGHT AND SELECTION OF AN INDEPENDENT ACCOUNTANT HAS NOT CHANGED FROM THE PRIOR YEAR. INVESTMENTS AND WEALTH FOUNDATION 5619 DTC PARKWAY 600 GREENWOOD VILLAGE CO 80111 874617128 SCHOLARSHIPS AND TUITION ASSISTANCE CO 501(C)(3) LINE 7 INVESTMENT MANAGEMENT CONSULTANTS ASSOCIATION INC 1 0 1 0 1 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 INVESTMENTS AND WEALTH FOUNDATION D 112264 BALANCE DUE AT YEAR END INVESTMENTS AND WEALTH FOUNDATION B 100000 CASH PAID