Career
Lana Bergstein has been Chief Operating Officer of Sali Fund Management since January 2025. Lana Bergstein is a control person of the firm and directly owns under 5% of it.
Sali Fund Management, LLC is an Austin, TX firm with $46B under management, 246 clients and 5 advisers in one office, as of its August 2026 filing.
SALI identifies Lana Bergstein as its chief operating officer; she joined in 2024 and previously held operations roles at Dimensional Fund Advisors and Loring Ward.
- Tlg Advisors, Inc.Also current– present · 2 yearsAustin, TX · Adviser representative · Firm CRD 111052
- Dimensional Fund Advisors LP– · 13 yearsAustin, TX · Adviser representative · Firm CRD 106482
- Lwi Financial Inc.– · 4 yearsLos Angeles, CA · Adviser representative · Firm CRD 111861
- Loring Ward Capital Management Inc.– · 1 yearLos Angeles, CA · Adviser representative · Firm CRD 109045
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| Texas | Approved | 7 August 2024 |
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 10 October 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 June 2005 |
| Series 7 | General Securities Representative Examination | 21 January 2005 |
| Series 65 | Uniform Investment Adviser Law Examination | 24 January 2003 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 31 March 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- Lana K Bergstein
- CRD
- 3196530
- Firm bio
- sali.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Lana Bergstein work?
Lana Bergstein has been Chief Operating Officer of Sali Fund Management, LLC since January 2025, and is a control person of the firm.
Is Lana Bergstein a financial advisor?
Yes. Lana Bergstein has a current investment-adviser registration in Texas.
How many years of experience does Lana Bergstein have?
Lana Bergstein has 24 years in the financial industry, since April 2002, across 4 adviser firms.
What exams has Lana Bergstein passed?
Lana Bergstein has passed 5 licensing exams: the Series 6, Series 65, Series 7, Series 63 and Series 24. The earliest, the Series 6, was passed in March 1999. FINRA credited Lana Bergstein with the SIE, which began in October 2018.
Where was Lana Bergstein previously registered as an investment adviser?
Lana Bergstein has past investment-adviser registrations through Dimensional Fund Advisors LP, August 2009 to August 2023; Lwi Financial Inc., September 2004 to December 2008; Loring Ward Capital Management Inc., February 2003 to September 2004, across 4 firms.