# LWI FINANCIAL INC.

LWI FINANCIAL INC. of SAN JOSE, CA is an SEC-registered investment adviser.

## Registration

- CRD: 111861
- Type: SEC-registered investment adviser
- SEC file number: 801-55934
- Location: 10 ALMADEN BLVD., 15TH FLOOR, SAN JOSE, CA, 95113
- Phone: 800-366-7266
- Latest filing: 2018-04-02
- Regulatory AUM: $17.2B
- Non-discretionary AUM: $17.2B
- Clients: 118
- Accounts: 25,748

## Officers, owners & control persons (32)

_Showing 25 of 32 people._

| Name | Role | Location |
| --- | --- | --- |
| LAWSON KIM ANN | CORPORATE SECRETARY | — |
| HERREMA DONALD JAMES | CEO, PRESIDENT, & DIRECTOR | — |
| HERRMANN ROBERT PHILIP | CEO LWI FINANCIAL, CEO & PRESIDENT, LORING WARD INTERNATIONAL LTD.; PRESIDENT, LORING WARD ASSET MANAGEMENT AND ADVISORY SERVICES DIVISION; PRESIDENT, LORING WARD CAPITAL MANAGEMENT DIVISION | — |
| MCGINNIS STEVEN KENT | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, VICE PRESIDENT; EXECUTIVE VICE PRESIDENT GENERAL COUNSEL CHIEF COMPLIANCE OFFICER (+1 more) | — |
| MAGNUSSON JEFFREY ROBERT | TREASURER | — |
| MELIA GERARD PATRICK | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & TREASURER | — |
| POTTS ALEXANDER BENNETT | CHIEF COMPLIANCE OFFICER, EXEC. V.P., GEN. MANAGER; CHIEF EXECUTIVE OFFICER; EXECUTIVE VICE PRESIDENT (+1 more) | — |
| KEATING PATRICK MICHAEL | PRESIDENT, DIRECTOR, & CEO: AAM & ACM; PRESIDENT, DIRECTOR, & CEO: AAM, DIRECTOR: ACM | — |
| PARE FRANK EDWARD | CHIEF COMPLIANCE OFFICER | — |
| WREGGIT JODY MICHELLE DAWN | CFO AND TREASURER; TREASURER | — |
| STEELE AL | PRESIDENT, LORING WARD ADVISOR SERVICES | — |
| NAIRNE MICHAEL EDWARDS | PRESIDENT, LORING WARD CAPITAL MANAGEMENT | — |
| STEELE ALBERT GERALD | PRESIDENT, LORING WARD ADVISOR SERVICES | — |
| BUBIS DANIEL AVRUM | CHIEF INVESTMENT OFFICER | — |
| REINHARD ELI | SHAREHOLDER; TRUSTEE | — |
| CLINTON MICHAEL RAY | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER; CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT (+1 more) | — |
| STANLEY CHRISTOPHER DANA | CHIEF LEGAL OFFICER; GENERAL COUNSEL; GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER (+1 more) | — |
| LOWENGRUB MICHAEL C | CFO AND TREASURER | — |
| WORTZMAN ANITA RUTH | CORPORATE SECRETARY | — |
| WEINBERG MARTIN SIDNEY | PRESIDENT, CEO, AND DIRECTOR; SHAREHOLDER | — |
| NEWLIN NICOLE P | CHIEF ADMINISTRATIVE OFFICER; CHIEF OPERATING OFFICER EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT | — |
| BADOLATO ROBERT | CHIEF FINANCIAL OFFICER | — |
| FROMM JENNIFER SEYMOUR | CORPORATE ECRETARY; CORPORATE SECRETARY | — |
| MARQUESS FENTRESS THOMAS ANDREW | CFO AND TREASURER | — |
| GRENIER GILBERT MICHEL JOSEPH | CFO AND TREASURER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/111861/brochure
- Similar advisers: https://search.stillhousedata.com/firm/111861/similar
- Related entities: https://search.stillhousedata.com/firm/111861/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/111861

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.