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How Bill Hamm is turning a $10 billion-plus loss of 401(k) assets into a revenue-neutral, neural-neutral experience

After cleaning up his compliance act with an LPL assist, the head of Independent Financial Partners is fighting back

Author Lisa Shidler April 10, 2015 at 7:48 PM
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William Hamm Jr.: I spent close to $100,000 and we had two auditing firms come in together to go over our compliance and procedures and we got a clean bill of health.


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Mentioned in this article:

LPL Financial
RIA-Friendly Broker-Dealer, RIA Welcoming Breakaways, Advisory Firm
Top Executive: Dan Arnold

Independent Financial Partners
RIA Serving Other RIAs
Top Executive: William Hamm



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