Chief Operating Officer · Sali Fund Services
Lana K. Bergstein
CRD 3196530 · Named on Form ADV at one SEC-registered adviser
At a glance
Sali Fund Services, an SEC-registered private fund adviser based in Austin, TX with $46.0 billion in regulatory assets, lists Lana K. Bergstein on its Form ADV as Chief Operating Officer, a control person.
Firms and roles
- Sali Fund ServicesChief Operating OfficerPrivate fund adviser · Austin, TX · $46B in regulatory assets
AtlasMembers
Lana’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2003 (23 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Lana’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 3 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Chi ChangChief Compliance Officer / General Counsel, Sali Fund Services
- Gregory W. BellushChief Financial Officer, Sali Fund Services
- Jonas C. KatzChief Marketing Officer, Sali Fund Services
- Cameron J. VailManaging Director, Sali Fund Services
- James P. PhilpDirector of Investment Research, Sali Fund Services
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Lana’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.