IFP ADVISORS, INC

https://www.twitter.com/IF_Partners • TAMPA, FL • Investment Advisor How do I update this listing?

Download 13F Summary Create Email Alert

IFP Advisors is based out of Tampa. IFP Advisors is a large advisory firm with 46516 clients and discretionary assets under management (AUM) of $4,542,450,201 (Form ADV from 2022-07-05). Their last reported 13F filing for Q2 2022 included $3,178,327,000 in managed 13F securities and a top 10 holdings concentration of 11.64%. IFP Advisors's largest holding is Amazon.com Inc. with shares held of 272,531. Whalewisdom has at least 38 13F filings

06/30/2022

13F Activity

  • Market Value $3.179 Billion
  • Prior Market Value $8.022 Billion
  • New Purchases1436 stocks
  • Additional Purchases2355 stocks
  • Sold out of673 stocks
  • Reduced holdings in451 stocks
  • Top 10 Holdings % 11.63 %
  • Turnover % [1]:46.48%
  • Turnover Alt % [2]: 12.51 %
  • Time Held Top20:2.45 quarters
  • Time Held Top10:3.50 quarters
  • Time Held All:9.85 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2022-08-15

Performance for Q2 2022: 2.99%
Performance Last 4 Quarters: -7.3%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Click to See Additional Filters

Security Types:

Refresh
*Shares are split adjusted

View Last Form Adv Compilation Report on Record

INDEPENDENT FINANCIAL PARTNERS
3030 NORTH ROCKY POINT DRIVE WEST SUITE 700
TAMPA FL    33607
Country: United States
Business Phone: 813-341-0960
Fax: 813-288-0701
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: FL
Number of employees: 276
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,PERCENTAGE OF ASSETS UNDER ADVISEMENT
Amount of client funds and securities:
Total Number of Clients: 46516
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (2),11.D (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Insider Transactions in the past year

Loading...

IFP ADVISORS, LLC

ownership team - last updated 2022-05-04
Name Title Start Date Direct/Indirect % Ownership
HAMM, WILLIAM, EUGENE CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTORS 08/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT direct 1995-08-01
IFP ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 1995-08-01
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1995-08-01
KESSEL, JOSEPH, KEITH CHIEF COMPLIANCE OFFICER & SPECIALIST COUNSEL 06/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FAMILYWEALTH ADVISERS LLC EXECUTIVE VICE PRESIDENT OF COMPLIANCE & GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2019-03-01
AUSTIN CAPITAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2019-03-01
FAMILYWEALTH ADVISERS LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2019-03-01
HAMM, KAREN, L. CHIEF ADMINISTRATION OFFICER 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. SENIOR VICE PRESIDENT direct 2014-09-01
GILMAN, AARON, LEE CHIEF INVESTMENT OFFICER 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2011-05-01
HAMM, WILLIAM, CHRISTOPHER PRESIDENT AND CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. CHIEF OPERATING OFFICER direct 2013-01-01
ACHESON, JEFFERY, ALLEN CHIEF BUSINESS DEVELOPMENT OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2020-01-01
IFP GROUP, LLC HOLDING COMPANY 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC HOLDING COMPANY direct 2018-06-01
WKW ENTERPRISES S CORP HAMM, WILLIAM, EUGENE 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. S CORP indirect 2014-09-01
IFP ADVISORS, INC. S CORP indirect 2014-09-01

IFP ADVISORS, LLC

ownership team - last updated 2022-03-24
Name Title Start Date Direct/Indirect % Ownership
HAMM, WILLIAM, EUGENE CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTORS 08/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT direct 1995-08-01
IFP ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 1995-08-01
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1995-08-01
KESSEL, JOSEPH, KEITH CHIEF COMPLIANCE OFFICER & SPECIALIST COUNSEL 06/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FAMILYWEALTH ADVISERS LLC EXECUTIVE VICE PRESIDENT OF COMPLIANCE & GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2019-03-01
AUSTIN CAPITAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2019-03-01
FAMILYWEALTH ADVISERS LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2019-03-01
HAMM, KAREN, L. CHIEF ADMINISTRATION OFFICER 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. SENIOR VICE PRESIDENT direct 2014-09-01
GILMAN, AARON, LEE CHIEF INVESTMENT OFFICER 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2011-05-01
HAMM, WILLIAM, CHRISTOPHER PRESIDENT AND CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. CHIEF OPERATING OFFICER direct 2013-01-01
ACHESON, JEFFERY, ALLEN CHIEF BUSINESS DEVELOPMENT OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2020-01-01
IFP GROUP, LLC HOLDING COMPANY 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC HOLDING COMPANY direct 2018-06-01
WKW ENTERPRISES S CORP HAMM, WILLIAM, EUGENE 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. S CORP indirect 2014-09-01
IFP ADVISORS, INC. S CORP indirect 2014-09-01

IFP ADVISORS, LLC

ownership team - last updated 2021-04-26
Name Title Start Date Direct/Indirect % Ownership
HAMM, WILLIAM, EUGENE CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTORS 08/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT direct 1995-08-01
IFP ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 1995-08-01
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1995-08-01
KESSEL, JOSEPH, KEITH CHIEF COMPLIANCE OFFICER & SPECIALIST COUNSEL 06/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FAMILYWEALTH ADVISERS LLC EXECUTIVE VICE PRESIDENT OF COMPLIANCE & GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2019-03-01
AUSTIN CAPITAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2019-03-01
FAMILYWEALTH ADVISERS LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2019-03-01
HAMM, KAREN, L. CHIEF ADMINISTRATION OFFICER 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. SENIOR VICE PRESIDENT direct 2014-09-01
GILMAN, AARON, LEE CHIEF INVESTMENT OFFICER 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2011-05-01
HAMM, WILLIAM, CHRISTOPHER PRESIDENT AND CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. CHIEF OPERATING OFFICER direct 2013-01-01
ACHESON, JEFFERY, ALLEN CHIEF BUSINESS DEVELOPMENT OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2020-01-01
IFP GROUP, LLC HOLDING COMPANY 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC HOLDING COMPANY direct 2018-06-01
WKW ENTERPRISES S CORP HAMM, WILLIAM, EUGENE 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. S CORP indirect 2014-09-01
IFP ADVISORS, INC. S CORP indirect 2014-09-01

IFP ADVISORS, LLC

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
HAMM, WILLIAM, EUGENE CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTORS 08/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT direct 1995-08-01
IFP ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 1995-08-01
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1995-08-01
KESSEL, JOSEPH, KEITH CHIEF COMPLIANCE OFFICER & SPECIALIST COUNSEL 06/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FAMILYWEALTH ADVISERS LLC EXECUTIVE VICE PRESIDENT OF COMPLIANCE & GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2019-03-01
AUSTIN CAPITAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2019-03-01
FAMILYWEALTH ADVISERS LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2019-03-01
HAMM, KAREN, L. CHIEF ADMINISTRATION OFFICER 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. SENIOR VICE PRESIDENT direct 2014-09-01
GILMAN, AARON, LEE CHIEF INVESTMENT OFFICER 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2011-05-01
HAMM, WILLIAM, CHRISTOPHER PRESIDENT AND CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. CHIEF OPERATING OFFICER direct 2013-01-01
ACHESON, JEFFERY, ALLEN CHIEF BUSINESS DEVELOPMENT OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2020-01-01
IFP GROUP, LLC HOLDING COMPANY 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC HOLDING COMPANY direct 2018-06-01
WKW ENTERPRISES S CORP HAMM, WILLIAM, EUGENE 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. S CORP indirect 2014-09-01
IFP ADVISORS, INC. S CORP indirect 2014-09-01

IFP ADVISORS, LLC

ownership team - last updated 2020-07-27
Name Title Start Date Direct/Indirect % Ownership
HAMM, WILLIAM, EUGENE CHIEF EXECUTIVE OFFICER 08/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT direct 1995-08-01
IFP ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 1995-08-01
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1995-08-01
KESSEL, JOSEPH, KEITH CHIEF COMPLIANCE OFFICER & SPECIALIST COUNSEL 06/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FAMILYWEALTH ADVISERS LLC EXECUTIVE VICE PRESIDENT OF COMPLIANCE & GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2019-03-01
AUSTIN CAPITAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2019-03-01
FAMILYWEALTH ADVISERS LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2019-03-01
HAMM, KAREN, L. SENIOR VICE PRESIDENT 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. SENIOR VICE PRESIDENT direct 2014-09-01
HAMM, WILLIAM, CHRISTOPHER CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. CHIEF OPERATING OFFICER direct 2013-01-01
IFP GROUP, LLC HOLDING COMPANY 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC HOLDING COMPANY direct 2018-06-01
WKW ENTERPRISES S CORP HAMM, WILLIAM, EUGENE 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. S CORP indirect 2014-09-01
IFP ADVISORS, INC. S CORP indirect 2014-09-01

IFP ADVISORS, LLC

ownership team - last updated 2020-06-30
Name Title Start Date Direct/Indirect % Ownership
HAMM, WILLIAM, EUGENE CHIEF EXECUTIVE OFFICER 08/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT direct 1995-08-01
IFP ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 1995-08-01
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1995-08-01
Kessel, Joseph, Keith CHIEF COMPLIANCE OFFICER 06/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FAMILYWEALTH ADVISERS LLC EXECUTIVE VICE PRESIDENT OF COMPLIANCE & GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2019-03-01
AUSTIN CAPITAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2019-03-01
FAMILYWEALTH ADVISERS LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2019-03-01
HAMM, KAREN, L. SENIOR VICE PRESIDENT 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. SENIOR VICE PRESIDENT direct 2014-09-01
HAMM, WILLIAM, CHRISTOPHER CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. CHIEF OPERATING OFFICER direct 2013-01-01
IFP GROUP, LLC HOLDING COMPANY 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC HOLDING COMPANY direct 2018-06-01
WKW ENTERPRISES S CORP HAMM, WILLIAM, EUGENE 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. S CORP indirect 2014-09-01
IFP ADVISORS, INC. S CORP indirect 2014-09-01

IFP ADVISORS, LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

IFP ADVISORS, LLC

ownership team - last updated 2019-11-18
Name Title Start Date Direct/Indirect % Ownership
HAMM, WILLIAM, EUGENE CHIEF EXECUTIVE OFFICER 08/01/1995 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT direct 1995-08-01
IFP ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 1995-08-01
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1995-08-01
LONER, MELISSA, RILYNN CCO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAISER WEALTH MANAGEMENT VP, COMPLIANCE/OPERATIONS direct 2009-08-01
KAISER WEALTH MANAGEMENT VP COMPLIANCE/OPERATIONS/CHIEF COMPLIANCE OFFICER direct 2010-02-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. VICE PRESIDENT, FIDUCIARY SERVICES/CHIEF COMPLIANCE OFFICER direct 2016-01-01
HAMM, KAREN, L. SENIOR VICE PRESIDENT 09/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. SENIOR VICE PRESIDENT direct 2014-09-01
MCCAULEY, WILLIAM, HUGH CHIEF FINANCIAL OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SIGNATOR INVESTORS, INC. FINANCIAL/OPERATIONS PRINCIPAL direct 2007-04-01
MML INVESTORS SERVICES, INC. CHIEF FINANCIAL OFFICER, TREASURER AND ASSISTANT VICE PRESIDENT direct 2009-09-01
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER - FINOP direct 2012-04-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF FINANCIAL OFFICER AND TREASURER - FINOP direct 2012-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER AND VICE PRESIDENT direct 2016-06-01
MMLISI FINANCIAL ALLIANCES, LLC TREASURER AND FINANCIAL OPERATIONS PRINCIPAL direct 2009-09-01
HAMM, WILLIAM, CHRISTOPHER CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. CHIEF OPERATING OFFICER direct 2013-01-01
IFP GROUP, LLC HOLDING COMPANY 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC HOLDING COMPANY direct 2018-06-01
WKW ENTERPRISES S CORP HAMM, WILLIAM, EUGENE 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. S CORP indirect 2014-09-01
IFP ADVISORS, INC. S CORP indirect 2014-09-01

IFP ADVISORS, LLC

ownership team - last updated 2019-08-06
Name Title Start Date Direct/Indirect % Ownership
HAMM, WILLIAM, EUGENE CHIEF EXECUTIVE OFFICER 08/01/1995 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT direct 1995-08-01
IFP ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 1995-08-01
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1995-08-01
LONER, MELISSA, RILYNN CCO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAISER WEALTH MANAGEMENT VP, COMPLIANCE/OPERATIONS direct 2009-08-01
KAISER WEALTH MANAGEMENT VP COMPLIANCE/OPERATIONS/CHIEF COMPLIANCE OFFICER direct 2010-02-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. VICE PRESIDENT, FIDUCIARY SERVICES/CHIEF COMPLIANCE OFFICER direct 2016-01-01
HAMM, KAREN, L. SENIOR VICE PRESIDENT 09/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. SENIOR VICE PRESIDENT direct 2014-09-01
MCCAULEY, WILLIAM, HUGH CHIEF FINANCIAL OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SIGNATOR INVESTORS, INC. FINANCIAL/OPERATIONS PRINCIPAL direct 2007-04-01
MML INVESTORS SERVICES, INC. CHIEF FINANCIAL OFFICER, TREASURER AND ASSISTANT VICE PRESIDENT direct 2009-09-01
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER - FINOP direct 2012-04-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF FINANCIAL OFFICER AND TREASURER - FINOP direct 2012-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER AND VICE PRESIDENT direct 2016-06-01
MMLISI FINANCIAL ALLIANCES, LLC TREASURER AND FINANCIAL OPERATIONS PRINCIPAL direct 2009-09-01
HAMM, WILLIAM, CHRISTOPHER CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. CHIEF OPERATING OFFICER direct 2013-01-01
IFP GROUP, LLC HOLDING COMPANY 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC HOLDING COMPANY direct 2018-06-01
WKW ENTERPRISES S CORP HAMM, WILLIAM, EUGENE 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. S CORP indirect 2014-09-01
IFP ADVISORS, INC. S CORP indirect 2014-09-01

IFP ADVISORS, LLC

ownership team - last updated 2019-06-24
Name Title Start Date Direct/Indirect % Ownership
HAMM, WILLIAM, EUGENE CHIEF EXECUTIVE OFFICER 08/01/1995 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT direct 1995-08-01
IFP ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 1995-08-01
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1995-08-01
MOYER, TIMOTHY, GLENN CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
JESUP & LAMONT SECURITIES CORP. CHIEF COMPLIANCE OFFICER, SROP direct 2008-05-01
EMPIRE INVESTMENT ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2008-10-01
PEVENSEY FINANCIAL, INC FINANCIAL CONSULTANT direct 2010-11-01
HAMM, KAREN, L. SENIOR VICE PRESIDENT 09/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. SENIOR VICE PRESIDENT direct 2014-09-01
CHRISTINA, LINDA, M DIRECTOR OF ADVISORY COMPLIANCE 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. DIRECTOR OF ADVISORY COMPLIANCE direct 2016-09-01
MCCAULEY, WILLIAM, HUGH CHIEF FINANCIAL OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SIGNATOR INVESTORS, INC. FINANCIAL/OPERATIONS PRINCIPAL direct 2007-04-01
MML INVESTORS SERVICES, INC. CHIEF FINANCIAL OFFICER, TREASURER AND ASSISTANT VICE PRESIDENT direct 2009-09-01
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER - FINOP direct 2012-04-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF FINANCIAL OFFICER AND TREASURER - FINOP direct 2012-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER AND VICE PRESIDENT direct 2016-06-01
MMLISI FINANCIAL ALLIANCES, LLC TREASURER AND FINANCIAL OPERATIONS PRINCIPAL direct 2009-09-01
HAMM, WILLIAM, CHRISTOPHER CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. CHIEF OPERATING OFFICER direct 2013-01-01
IFP GROUP, LLC HOLDING COMPANY 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC HOLDING COMPANY direct 2018-06-01
WKW ENTERPRISES S CORP HAMM, WILLIAM, EUGENE 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. S CORP indirect 2014-09-01
IFP ADVISORS, INC. S CORP indirect 2014-09-01

IFP ADVISORS, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
HAMM, WILLIAM, EUGENE CHIEF EXECUTIVE OFFICER 08/01/1995 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT direct 1995-08-01
IFP ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 1995-08-01
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1995-08-01
MOYER, TIMOTHY, GLENN CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
JESUP & LAMONT SECURITIES CORP. CHIEF COMPLIANCE OFFICER, SROP direct 2008-05-01
EMPIRE INVESTMENT ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2008-10-01
PEVENSEY FINANCIAL, INC FINANCIAL CONSULTANT direct 2010-11-01
HAMM, KAREN, L. SENIOR VICE PRESIDENT 09/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. SENIOR VICE PRESIDENT direct 2014-09-01
CHRISTINA, LINDA, M DIRECTOR OF ADVISORY COMPLIANCE 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. DIRECTOR OF ADVISORY COMPLIANCE direct 2016-09-01
MCCAULEY, WILLIAM, HUGH CHIEF FINANCIAL OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SIGNATOR INVESTORS, INC. FINANCIAL/OPERATIONS PRINCIPAL direct 2007-04-01
MML INVESTORS SERVICES, INC. CHIEF FINANCIAL OFFICER, TREASURER AND ASSISTANT VICE PRESIDENT direct 2009-09-01
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER - FINOP direct 2012-04-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF FINANCIAL OFFICER AND TREASURER - FINOP direct 2012-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER AND VICE PRESIDENT direct 2016-06-01
MMLISI FINANCIAL ALLIANCES, LLC TREASURER AND FINANCIAL OPERATIONS PRINCIPAL direct 2009-09-01
HAMM, WILLIAM, CHRISTOPHER CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. CHIEF OPERATING OFFICER direct 2013-01-01
IFP GROUP, LLC HOLDING COMPANY 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
IFP ADVISORS, LLC HOLDING COMPANY direct 2018-06-01
WKW ENTERPRISES S CORP HAMM, WILLIAM, EUGENE 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. S CORP indirect 2014-09-01
IFP ADVISORS, INC. S CORP indirect 2014-09-01

IFP ADVISORS, INC.

ownership team - last updated 2018-10-15
Name Title Start Date Direct/Indirect % Ownership
HAMM, WILLIAM, EUGENE CHIEF EXECUTIVE OFFICER 08/01/1995 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT direct 1995-08-01
IFP ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 1995-08-01
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1995-08-01
MOYER, TIMOTHY, GLENN CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
JESUP & LAMONT SECURITIES CORP. CHIEF COMPLIANCE OFFICER, SROP direct 2008-05-01
EMPIRE INVESTMENT ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2008-10-01
PEVENSEY FINANCIAL, INC FINANCIAL CONSULTANT direct 2010-11-01
HAMM, KAREN, L. SENIOR VICE PRESIDENT 09/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. SENIOR VICE PRESIDENT direct 2014-09-01
CHRISTINA, LINDA, M DIRECTOR OF ADVISORY COMPLIANCE 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. DIRECTOR OF ADVISORY COMPLIANCE direct 2016-09-01
MCCAULEY, WILLIAM, HUGH CHIEF FINANCIAL OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SIGNATOR INVESTORS, INC. FINANCIAL/OPERATIONS PRINCIPAL direct 2007-04-01
MML INVESTORS SERVICES, INC. CHIEF FINANCIAL OFFICER, TREASURER AND ASSISTANT VICE PRESIDENT direct 2009-09-01
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER - FINOP direct 2012-04-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF FINANCIAL OFFICER AND TREASURER - FINOP direct 2012-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER AND VICE PRESIDENT direct 2016-06-01
MMLISI FINANCIAL ALLIANCES, LLC TREASURER AND FINANCIAL OPERATIONS PRINCIPAL direct 2009-09-01
HAMM, WILLIAM, CHRISTOPHER CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. CHIEF OPERATING OFFICER direct 2013-01-01
WKW ENTERPRISES S CORP HAMM, WILLIAM, EUGENE 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. S CORP indirect 2014-09-01
IFP ADVISORS, INC. S CORP indirect 2014-09-01
WKW ENTERPRISES S CORP HAMM, KAREN, L. 09/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. S CORP indirect 2014-09-01
IFP ADVISORS, INC. S CORP indirect 2014-09-01

IFP ADVISORS, INC.

ownership team - last updated 2017-11-10
Name Title Start Date Direct/Indirect % Ownership
HAMM, WILLIAM, EUGENE CHIEF EXECUTIVE OFFICER 08/01/1995 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT direct 1995-08-01
IFP ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 1995-08-01
WILLIAM E. HAMM & ASSOCIATES,INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1995-08-01
COKINIS, CHRISTOPHER, ALEX CHIEF COMPLIANCE OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LOCUST STREET SECURITIES, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY direct 2003-01-01
IFP ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-09-01
TERRA FINANCIAL PLANNING GROUP LTD CHIEF COMPLIANCE OFFICER direct 2001-06-01 2002-06-26
LOCUST STREET SECURITIES, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2003-01-01 2003-04-25
ING FINANCIAL PARTNERS, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY AND CROP direct 2004-01-01 2008-06-03
ING FINANCIAL PARTNERS, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & SECRETARY direct 2004-01-01 2012-01-06
SUMMITALLIANCE CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER direct 2012-02-01 2012-03-28
SUMMITALLIANCE ADVISORS, L.L.C. CHIEF COMPLIANCE OFFICER direct 2012-02-01 2012-03-28
SUMMITALLIANCE CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER direct 2012-04-01 2013-04-01
ARGENTUS ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01 2013-04-01
VSR FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2013-12-01 2015-12-23
HAMM, KAREN, L. SENIOR VICE PRESIDENT 09/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
IFP ADVISORS, INC. SENIOR VICE PRESIDENT direct 2014-09-01

Elevate your investments