LWI FINANCIAL INC.
CRD #111861 SEC #801-55934 SAN JOSE, CA 800-366-7266
SEC Registered
Total AUM
$17.2B
Discretionary
$0
Employees
118
Clients
0
Accounts
25,748
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 2, 2018
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BUBIS, DANIEL, AVRUM | I | CHIEF INVESTMENT OFFICER | NA | Control |
| BUBIS, DANIEL, AVRUM | I | CHIEF INVESTMENT OFFICER | NA | Control |
| BUBIS, DANIEL, AVRUM | I | CHIEF INVESTMENT OFFICER | NA | Control |
| BUBIS, DANIEL, AVRUM | I | CHIEF INVESTMENT OFFICER | NA | Control |
| BUBIS, DANIEL, AVRUM | I | CHIEF INVESTMENT OFFICER | NA | Control |
| BUBIS, DANIEL, AVRUM | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CLINTON, MICHAEL, RAY | I | TREASURER/COO | NA | Control |
| CLINTON, MICHAEL, RAY | I | TREASURER/COO | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT | NA | Control |
| CLINTON, MICHAEL, RAY | I | TREASURER/COO | NA | Control |
| CLINTON, MICHAEL, RAY | I | TREASURER/COO | NA | Control |
| CLINTON, MICHAEL, RAY | I | TREASURER/COO | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CLINTON, MICHAEL, RAY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DJEU, DEBORAH, DAPHNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DJEU, DEBORAH, DAPHNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DJEU, DEBORAH, DAPHNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DJEU, DEBORAH, DAPHNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DJEU, DEBORAH, DAPHNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DJEU, DEBORAH, DAPHNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DJEU, DEBORAH, DAPHNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DJEU, DEBORAH, DAPHNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DJEU, DEBORAH, DAPHNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FROMM, JENNIFER, SEYMOUR | I | CORPORATE SECRETARY | NA | |
| FROMM, JENNIFER, SEYMOUR | I | CORPORATE SECRETARY | NA | |
| FROMM, JENNIFER, SEYMOUR | I | CORPORATE SECRETARY | NA | |
| FROMM, JENNIFER, SEYMOUR | I | CORPORATE SECRETARY | NA | |
| FROMM, JENNIFER, SEYMOUR | I | CORPORATE SECRETARY | NA | |
| GRENIER, GILBERT, MICHEL JOSEPH | I | CFO AND TREASURER | NA | |
| GRENIER, GILBERT, MICHEL JOSEPH | I | CFO AND TREASURER | NA | |
| GRENIER, GILBERT, MICHEL JOSEPH | I | CFO AND TREASURER | NA | |
| GRENIER, GILBERT, MICHEL JOSEPH | I | CFO AND TREASURER | NA | |
| HERREMA, DONALD, JAMES | I | CEO, PRESIDENT, & DIRECTOR | NA | Control |
| HERREMA, DONALD, JAMES | I | CEO, PRESIDENT, & DIRECTOR | NA | Control |
| HERREMA, DONALD, JAMES | I | CEO, PRESIDENT, & DIRECTOR | NA | Control |
| HERREMA, DONALD, JAMES | I | CEO, PRESIDENT, & DIRECTOR | NA | Control |
| HERREMA, DONALD, JAMES | I | CEO, PRESIDENT, & DIRECTOR | NA | Control |
| HERREMA, DONALD, JAMES | I | CEO, PRESIDENT, & DIRECTOR | NA | Control |
| HERREMA, DONALD, JAMES | I | CEO, PRESIDENT, & DIRECTOR | NA | Control |
| HERREMA, DONALD, JAMES | I | CEO, PRESIDENT, & DIRECTOR | NA | Control |
| HERREMA, DONALD, JAMES | I | CEO, PRESIDENT, & DIRECTOR | NA | Control |
| HERRMANN, ROBERT, PHILIP | I | PRESIDENT, LORING WARD ASSET MANAGEMENT AND ADVISORY SERVICES DIVISION | NA | Control |
| HERRMANN, ROBERT, PHILIP | I | CEO LWI FINANCIAL, CEO & PRESIDENT, LORING WARD INTERNATIONAL LTD. | NA | Control |
| HERRMANN, ROBERT, PHILIP | I | PRESIDENT, LORING WARD ASSET MANAGEMENT AND ADVISORY SERVICES DIVISION | NA | Control |
| HERRMANN, ROBERT, PHILIP | I | PRESIDENT, LORING WARD ASSET MANAGEMENT AND ADVISORY SERVICES DIVISION | NA | Control |
| HERRMANN, ROBERT, PHILIP | I | PRESIDENT, LORING WARD ASSET MANAGEMENT AND ADVISORY SERVICES DIVISION | NA | Control |
| HERRMANN, ROBERT, PHILIP | I | PRESIDENT, LORING WARD ASSET MANAGEMENT AND ADVISORY SERVICES DIVISION | NA | Control |
| HERRMANN, ROBERT, PHILIP | I | PRESIDENT, LORING WARD CAPITAL MANAGEMENT DIVISION | NA | Control |
| HERRMANN, ROBERT, PHILIP | I | PRESIDENT, LORING WARD CAPITAL MANAGEMENT DIVISION | NA | Control |
| HERRMANN, ROBERT, PHILIP | I | CEO LWI FINANCIAL, CEO & PRESIDENT, LORING WARD INTERNATIONAL LTD. | NA | Control |
| HERRMANN, ROBERT, PHILIP | I | CEO LWI FINANCIAL, CEO & PRESIDENT, LORING WARD INTERNATIONAL LTD. | NA | Control |
| HERRMANN, ROBERT, PHILIP | I | PRESIDENT, LORING WARD CAPITAL MANAGEMENT DIVISION | NA | Control |
| KEATING, PATRICK, MICHAEL | I | PRESIDENT, DIRECTOR, & CEO: AAM, DIRECTOR: ACM | NA | Control |
| KEATING, PATRICK, MICHAEL | I | PRESIDENT, DIRECTOR, & CEO: AAM, DIRECTOR: ACM | NA | Control |
| KEATING, PATRICK, MICHAEL | I | PRESIDENT, DIRECTOR, & CEO: AAM, DIRECTOR: ACM | NA | Control |
| KEATING, PATRICK, MICHAEL | I | PRESIDENT, DIRECTOR, & CEO: AAM, DIRECTOR: ACM | NA | Control |
| KEATING, PATRICK, MICHAEL | I | PRESIDENT, DIRECTOR, & CEO: AAM, DIRECTOR: ACM | NA | Control |
| KEATING, PATRICK, MICHAEL | I | PRESIDENT, DIRECTOR, & CEO: AAM, DIRECTOR: ACM | NA | Control |
| LAWSON, KIM, ANN | I | CORPORATE SECRETARY | NA | Control |
| LAWSON, KIM, ANN | I | CORPORATE SECRETARY | NA | Control |
| LAWSON, KIM, ANN | I | CORPORATE SECRETARY | NA | Control |
| LAWSON, KIM, ANN | I | CORPORATE SECRETARY | NA | Control |
| LAWSON, KIM, ANN | I | CORPORATE SECRETARY | NA | Control |
| LAWSON, KIM, ANN | I | CORPORATE SECRETARY | NA | Control |
| LAWSON, KIM, ANN | I | CORPORATE SECRETARY | NA | Control |
| LAWSON, KIM, ANN | I | CORPORATE SECRETARY | NA | Control |
| LAWSON, KIM, ANN | I | CORPORATE SECRETARY | NA | Control |
| LAWSON, KIM, ANN | I | CORPORATE SECRETARY | NA | Control |
| LEE, HOWARD, HOA | I | CHIEF OPERATING OFFICER | NA | Control |
| LEE, HOWARD, HOA | I | CHIEF OPERATING OFFICER | NA | Control |
| LEE, HOWARD, HOA | I | CHIEF OPERATING OFFICER | NA | Control |
| LEE, HOWARD, HOA | I | CHIEF OPERATING OFFICER | NA | Control |
| LEE, HOWARD, HOA | I | CHIEF OPERATING OFFICER | NA | Control |
| LOWENGRUB, MICHAEL, C. | I | CFO AND TREASURER | NA | Control |
| LOWENGRUB, MICHAEL, CHARLES | I | CFO AND TREASURER | NA | Control |
| LOWENGRUB, MICHAEL, CHARLES | I | CFO AND TREASURER | NA | Control |
| LOWENGRUB, MICHAEL, CHARLES | I | CFO AND TREASURER | NA | Control |
| MAGNUSSON, JEFFREY, ROBERT | I | TREASURER | NA | Control |
| MAGNUSSON, JEFFREY, ROBERT | I | TREASURER | NA | Control |
| MAGNUSSON, JEFFREY, ROBERT | I | TREASURER | NA | Control |
| MAGNUSSON, JEFFREY, ROBERT | I | TREASURER | NA | Control |
| MAGNUSSON, JEFFREY, ROBERT | I | TREASURER | NA | Control |
| MCGINNIS, STEVEN, KENT | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | Control |
| MCGINNIS, STEVEN, KENT | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | Control |
| MCGINNIS, STEVEN, KENT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGINNIS, STEVEN, KENT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGINNIS, STEVEN, KENT | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | Control |
| MCGINNIS, STEVEN, KENT | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | Control |
| MCGINNIS, STEVEN, KENT | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | Control |
| MCGINNIS, STEVEN, KENT | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | Control |
| MELIA, GERARD, PATRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MELIA, GERARD, PATRICK | I | CHIEF FINANCIAL OFFICER & TREASURER | NA | Control |
| MELIA, GERARD, PATRICK | I | CHIEF FINANCIAL OFFICER & TREASURER | NA | Control |
| MELIA, GERARD, PATRICK | I | CHIEF FINANCIAL OFFICER & TREASURER | NA | Control |
| NAIRNE, MICHAEL, EDWARDS | I | PRESIDENT, LORING WARD CAPITAL MANAGEMENT | NA | Control |
| NAIRNE, MICHAEL, EDWARDS | I | PRESIDENT, LORING WARD CAPITAL MANAGEMENT | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARE, FRANK, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE V.P. & GENERAL MANAGER | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE V.P. & GENERAL MANAGER | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE V.P. & GENERAL MANAGER | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE V.P. & GENERAL MANAGER | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE V.P. & GENERAL MANAGER | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE V.P. & GENERAL MANAGER | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE V.P. & GENERAL MANAGER | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE V.P. & GENERAL MANAGER | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE V.P. & GENERAL MANAGER | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE V.P. & GENERAL MANAGER | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | EXECUTIVE V.P. & GENERAL MANAGER | NA | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| RICHARD, ROSEMARY, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | VICE PRESIDENT, GENERAL COUNSEL | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | GENERAL COUNSEL | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | CHIEF LEGAL OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | CHIEF LEGAL OFFICER | NA | Control |
| STANLEY, CHRISTOPHER, DANA | I | CHIEF LEGAL OFFICER | NA | Control |
| STEELE, AL | I | PRESIDENT, LORING WARD ADVISOR SERVICES | NA | Control |
| STEELE, AL | I | PRESIDENT, LORING WARD ADVISOR SERVICES | NA | Control |
| STEELE, AL | I | PRESIDENT, LORING WARD ADVISOR SERVICES | NA | Control |
| STEELE, ALBERT, GERALD | I | PRESIDENT, LORING WARD ADVISOR SERVICES | NA | Control |
| STEELE, ALBERT, GERALD | I | PRESIDENT, LORING WARD ADVISOR SERVICES | NA | Control |
| WORTZMAN, ANITA, RUTH | I | CORPORATE SECRETARY | NA | Control |
| WORTZMAN, ANITA, RUTH | I | CORPORATE SECRETARY | NA | Control |
| WORTZMAN, ANITA, RUTH | I | CORPORATE SECRETARY | NA | Control |
| WORTZMAN, ANITA, RUTH | I | CORPORATE SECRETARY | NA | Control |
| WORTZMAN, ANITA, RUTH | I | CORPORATE SECRETARY | NA | Control |
| WREGGIT, JODY, MICHELLE DAWN | I | TREASURER | NA | |
| WREGGIT, JODY, MICHELLE DAWN | I | CFO AND TREASURER | NA | Control |
| ASSANTE HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| ASSANTE HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| ASSANTE HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| ASSANTE HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| ASSANTE HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| ASSANTE HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| ASSANTE HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| ASSANTE HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| ASSANTE HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD GROUP INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| LORING WARD HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| WEINBERG, MARTIN, SIDNEY | I | PRESIDENT, CEO, AND DIRECTOR | C | Control |
| WEINBERG, MARTIN, SIDNEY | I | PRESIDENT, CEO, AND DIRECTOR | C | Control |
| WEINBERG, MARTIN, SIDNEY | I | PRESIDENT, CEO, AND DIRECTOR | C | Control |
| WEINBERG, MARTIN, SIDNEY | I | PRESIDENT, CEO, AND DIRECTOR | C | Control |
| WEINBERG, MARTIN, SIDNEY | I | PRESIDENT, CEO, AND DIRECTOR | C | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
| POTTS, ALEXANDER, BENNETT | I | CHIEF EXECUTIVE OFFICER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ASSANTE CORPORATION | FE | ASSANTE HOLDINGS INC. | E | |
| ASSANTE CORPORATION | FE | ASSANTE HOLDINGS INC. | E | |
| ASSANTE CORPORATION | FE | ASSANTE HOLDINGS INC. | E | |
| ASSANTE CORPORATION | FE | ASSANTE HOLDINGS INC. | E | |
| ASSANTE CORPORATION | FE | ASSANTE HOLDINGS INC. | E | |
| ASSANTE CORPORATION | FE | ASSANTE HOLDINGS INC. | E | |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD GROUP INC. | DE | LWI FINANCIAL INC. | E | Control |
| LORING WARD HOLDINGS INC. | DE | LORING WARD GROUP INC. | E | Control |
| LORING WARD HOLDINGS INC. | DE | LORING WARD GROUP INC. | E | Control |
| LORING WARD HOLDINGS INC. | DE | LORING WARD GROUP INC. | E | Control |
| LORING WARD HOLDINGS INC. | DE | LORING WARD GROUP INC. | E | Control |
| LORING WARD HOLDINGS INC. | DE | LORING WARD GROUP INC. | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | LORING WARD GROUP | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | ASSANTE HOLDINGS INC. | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | ASSANTE HOLDINGS INC. | E | Control |
| LORING WARD INTERNATIONAL LTD. | FE | ASSANTE HOLDINGS INC. | E | Control |
| WERBA REINHARD, INC. | DE | LORING WARD GROUP INC. | E | Control |
| WERBA REINHARD, INC. | DE | LORING WARD GROUP INC. | E | Control |
| WERBA REINHARD, INC. | DE | LORING WARD GROUP INC. | E | Control |
| WERBA REINHARD, INC. | DE | LORING WARD GROUP INC. | E | Control |
| WERBA REINHARD, INC. | DE | LORING WARD GROUP INC. | E | Control |
| WERBA REINHARD, INC. | DE | LORING WARD GROUP INC. | E | Control |
| WERBA REINHARD, INC. | DE | LORING WARD GROUP INC. | E | Control |
| WERBA REINHARD, INC. | DE | LORING WARD GROUP INC. | E | Control |
| WERBA REINHARD, INC. | DE | LORING WARD GROUP INC. | E | Control |
| WERBA REINHARD, INC. | DE | LORING WARD GROUP INC. | E | Control |
| WERBA REINHARD, INC. | DE | LORING WARD GROUP INC. | E | Control |
| WERBA REINHARD, INC. | DE | LORING WARD GROUP INC. | E | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | WERBA REINHARD INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | LORING WARD HOLDINGS INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | LORING WARD HOLDINGS INC. | D | Control |
| ARCADIA LORING WARD LLC | DE | LORING WARD HOLDINGS INC. | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | ARCADIA LORING WARD LLC | D | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
| REINHARD, ELI | I | CHILD AND GRANDCHILDREN'S TRUSTS | C | Control |
Registrations
Federal
IA
Apr 2, 2018 REGISTERED
Notice Filings (51)
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Address
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