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Investment Adviser Firm Summary

LWI FINANCIAL INC. (CRD# 111861 / SEC# 801-55934)
Alternate Names: ASSANTE ASSET MANAGEMENT INC , LORING WARD , LWI FINANCIAL INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/25/1998

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/25/1999
Alaska 01/01/1999
Arizona 01/01/1999
Arkansas 01/01/1999
California 12/15/1998
Colorado 05/07/1999
Connecticut 07/08/1997
Delaware 05/15/2003
District of Columbia 01/01/1999
Florida 01/04/1999
Georgia 12/29/1998
Hawaii 01/01/1999
Idaho 01/01/1999
Illinois 11/23/1998
Indiana 03/28/2001
Iowa 04/29/1999
Kansas 11/24/1998
Kentucky 01/13/1999
Louisiana 09/27/2001
Maine 01/01/1999
Maryland 01/01/1999
Massachusetts 01/01/1999
Michigan 01/05/1998
Minnesota 01/04/1999
Mississippi 03/27/2001
Missouri 01/01/1999
Montana 01/01/1999
Nebraska 01/01/1999
Nevada 01/04/1999
New Hampshire 01/01/1999
New Jersey 07/27/1992
New Mexico 01/05/1999
New York 12/22/1998
North Carolina 03/27/2001
North Dakota 03/26/2003
Ohio 05/03/1999
Oklahoma 01/01/1999
Oregon 11/30/1998
Pennsylvania 01/04/1999
Rhode Island 01/01/1999
South Carolina 01/04/1999
South Dakota 12/02/1998
Tennessee 01/01/1999
Texas 01/01/1999
Utah 05/16/1994
Vermont 01/01/1999
Virgin Islands 05/16/2007
Virginia 01/05/1999
Washington 02/04/1994
West Virginia 11/23/1998
Wisconsin 05/26/1992
Wyoming 04/02/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser