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Industry Spotlight > Clearing and Custodial Firms

Through the Years: A History of the IA 25

By Editorial Staff

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2011 IA 252011: Follow the Leaders

We’ve never attempted to rank the IA 25, but in 2011, it was difficult to argue that Mary Schapiro, chairman of the Securities and Exchange Commission, wasn’t the most influential person in the professional lives of advisors. In her seventh appearance on the IA 25, Schapiro was in good company; other heavy hitters in the regulatory sphere included Rep. Spencer Bachus and Richard Ketchum, chairman and CEO of FINRA, as well as perennial IA 25 member Dale Brown, president of the Financial Services Institute.

  1. Bill Dwyer
  2. Blaine Aikin
  3. Bruce Berkowitz
  4. Dale Brown
  5. David Tittsworth
  6. Eileen Rominger
  7. Elizabeth Warren
  8. Harold Evensky
  9. Julie Littlechild
  10. Ken Fisher
  11. Mark Tibergien
  12. Mary Schapiro
  13. Meir Statman
  14. Michael McRaith
  15. Mohamed El-Erian
  16. Olivia Mitchell
  17. Phyllis Borzi
  18. Richard Ketchum
  19. Robert Pozen
  20. Ron Rhoades
  21. Scott Garrett
  22. Spencer Bachus
  23. Spenser Segal
  24. Tim Johnson
  25. Tom Bradley

Click here to read the 2011 IA 25 and view links to extended profiles of each member.

2010 Thirty for thirty2010: Thirty for Thirty

In 2010, we departed from the IA 25 only slightly to celebrate Investment Advisor’s 30th anniversary with the 30 most influential people in the industry. At such a milestone, we were especially eager to show you who we felt were the biggest players in the industry as advisors, visionaries and regulators. We led the list with industry stalwart John Bogle for his role in founding the industry’s largest mutual fund company, in creating the first index mutual fund, and for his efforts to “bring common sense, reality, and mathematical truth back into the world of investing.”

  1. Al West
  2. Alan Greenspan
  3. Amy Domini
  4. Benjamin Graham
  5. Bill Sharpe
  6. Chuck Schwab
  7. Dale Brown
  8. Deena Katz
  9. Don Phillips
  10. Don Trone
  11. Eric Schwartz
  12. Franklin Delano Roosevelt
  13. Harold Evensky
  14. Harry Markopolos
  15. Joe Deitch
  16. John Bogle
  17. Ken Fisher
  18. Mark Tibergien
  19. Marv Tuttle
  20. Mary Schapiro
  21. Michael Milken
  22. Ned Johnson
  23. Roger Ibbotson
  24. Ronald Reagan
  25. Ross Levin
  26. Sheryl Garrett
  27. Skip Viragh
  28. Steve Jobs
  29. Todd Robinson
  30. Tom James

Click here to read more about the 2010 IA 30.

2009 IA 252009: Game Changer

In 2009, the political and economic environments were in constant flux. The steps taken in 2009 clearly indicated that the president, Congress, the SEC, Treasury Department and the Federal Reserve would affect advisors and their clients in massive ways. In fact, as the center of the financial universe shifted from Wall Street to Washington, we named more elected officials and appointed Federal regulators to the list than in any other year.  

While most of the honorees on this list and others tend to influence the industry in positive if controversial ways, we couldn’t argue that Bernie Madoff and the epic fraud he perpetrated wouldn’t bring a powerful change to the industry.

  1. Barack Obama
  2. Barbara Krumsiek
  3. Barney Frank
  4. Benjamin Graham
  5. Bernie Madoff
  6. Charles Goldman
  7. Chris Dodd
  8. Dale Brown
  9. David Tittsworth
  10. Deena Katz
  11. Don Phillips
  12. Gene Deiderich
  13. Greg Friedman
  14. John Bogle
  15. Mark Tibergien
  16. Mary Schapiro
  17. Max Baucus
  18. Moshe Milevsky
  19. Ross Levin
  20. Sheila Blair
  21. Tim Kochis
  22. Timothy Geithner
  23. Tom Bradley
  24. Walt Bettinger
  25. Wayne Bloom

Click here to read more about the 2009 IA 25.

2008 IA 252008: Watch List

In 2008, Mark Tibergien’s role shifted from that of revered consultant and industry observer extraordinaire to running a custodial firm for RIAs, Pershing Advisor Solutions. In no other year of the IA 25 has a single job change captured the zeitgeist of the profession. That’s because while there may be many gurus who promise to give struggling advisors a foot up on their competitors, the hands-down leader in helping advisors turn their practices into well-run, profitable businesses is now in the position of being the most-watched leader of an advisor-related company in the business.

  1. Andrew Donahue
  2. Art Grant
  3. Barack Obama
  4. Barney Frank
  5. Bill Gates
  6. Bob Clark
  7. Charles Goldman
  8. Dale Brown
  9. Deena Katz
  10. Francois Gadenne
  11. Greg Friedman
  12. Henry Paulson
  13. John Simmers
  14. Kathleen Casey-Kirschling
  15. Ken Fisher
  16. Mark Tibergien
  17. Mary Schapiro
  18. Peng Chen
  19. Philip Palaveev
  20. Roseanne Grande
  21. Rudy Adolf
  22. Sallie Krawcheck
  23. Stephen Winks
  24. Thomas James
  25. Timothy Geithner

Click here to read the rest of the 2008 IA 25.

2007 IA 252007: The Fifth Annual IA 25

When Mary Schapiro took the helm as CEO and chairman of the NASD in September 2006, it was a moment of relative calm before the storm. Since then, she’s been the guiding light in the effort to dissect and rewrite the rules of the NASD and NYSE into a single rulebook for all 5,100 broker-dealers, and to merge the regulatory arms of NYSE and NASD into a single self-regulatory organization–which Schapiro will lead.

  1. Angela Herbers
  2. Arnold Schwarzenegger
  3. Bill Gross
  4. Bob Clark
  5. Charles Rangel
  6. Christopher Cox
  7. Dale Brown
  8. Dan Moisand
  9. Deena Katz
  10. Ellyn McColgan
  11. Jeremy Siegel
  12. Joe Moglia
  13. John Iachello
  14. John Simmers
  15. Lou Stanasolovich
  16. Mark Casady
  17. Mark Hurley
  18. Mark Tibergien
  19. Mary Schapiro
  20. Max Baucus
  21. Peter F. Drucker
  22. Robert Arnott
  23. Rudy Adolf
  24. Tim Kochis
  25. Walt Bettinger

Click here to read more about the 2007 IA 25.

2006 IA 252006: Making the Future Happen

When trying to get a handle on a profession as diverse and unwieldy as the investment advisor/financial planner universe, it’s hard to find commonalities. There are advisors and planners and consultants, not to mention those qualifiers: “investment advisors,” “financial advisors,” “life planners,” and “financial consultants.” Ron Roge has been part of this industry for much of the profession’s history, and he stands now comfortable and yet still evolving at the cusp of the next transformation. That’s why we decided to lead the 2006 edition of the IA 25 with a profile on Roge as emblematic of the profession’s journey and a model for how to transform a practice for the future.

  1. Ben Bernanke
  2. Bob Clark
  3. Christopher Cox
  4. Dan Moisand
  5. Deb McWhinney
  6. Deena Katz
  7. Dick Averitt
  8. Don Trone
  9. Francois Gadenne
  10. Jessica Bibliowicz
  11. Joe Deitch
  12. John Boehner
  13. John Bowen
  14. John Simmers
  15. Lori Richards
  16. Lou Stanasolovich
  17. Mark Casady
  18. Mark Tibergien
  19. Mary Schapiro
  20. Olivia Mellan
  21. Ron Roge
  22. Sheryl Garrett
  23. Stan O’Neal
  24. Tom Bradley
  25. Tony Batman

Click here to read more about the 2006 IA 25.

2005 IA 252005: The Third Annual IA 25

In 2005, the IA 25 comprised a diverse group of honorees including George W. Bush and Bob Veres, Chuck Schwab and Andy Gluck, Alan Greenspan and Sheryl Garrett. “It’s a club whose diversity reflects the broad range of pastimes and passions and partnerships that is the financial planning and investment advisory universe in the year 2005,” Jamie Green, group editor-in-chief for Investment Advisor, wrote at the time.

  1. Alan Greenspan
  2. Andrew Gluck
  3. Bill Gross
  4. Bill Thomas
  5. Bob Clark
  6. Bob Veres
  7. Chet Helck
  8. Chip Roame
  9. Charles Schwab
  10. Don Trone
  11. Eliot Spitzer
  12. Ellyn McColgan
  13. George Kinder
  14. George W. Bush
  15. Greg Sullivan
  16. James Barnash
  17. Jessica Bibliowicz
  18. Joe Deitch
  19. Mark Tibergien
  20. Sarah Teslik
  21. Scott Hanson
  22. Sheryl Garrett
  23. Todd Robinson
  24. Tony Batman
  25. William Donaldson

Click here to read more about the 2005 IA 25.

2004 IA 252004: The Second Annual IA 25

Almost as notable as the honorees in 2004’s list are the exclusions. Coming out of the bear market in 2003, we included several money managers; this year, just one made the cut. But we have included more regulatory and oversight folks, reflecting the higher profile of such individuals these days. Also, we included leaders of the custodial and clearing firms that have become a more important part of the independent advisor’s business model.

  1. Al West
  2. Andrew Gluck
  3. Bob Veres
  4. Deb McWhinney
  5. Deena Katz
  6. Don Phillips
  7. Eliot Spitzer
  8. George W. Bush and John Kerry
  9. Harold Evensky
  10. Jay Lanigan
  11. Joan Bavaria
  12. Joe Deitch
  13. John Bogle
  14. Joseph Velli
  15. Lou Stanasolovich
  16. Mark Tibergien
  17. Marv Tuttle
  18. Peter Bernstein
  19. Phil Angelides
  20. Richard Shelby
  21. Roy Diliberto
  22. Sheryl Garrett
  23. Stephen Cutler
  24. Tom Bradley
  25. William Donaldson

Click here to read more about the 2004 IA 25.

2003 IA 252003: The First Annual IA 25

All traditions have to start somewhere. Listing the most influential people within any profession is a daunting task, but the job is particularly difficult within financial planning, where fierce independence is prized but partnerships are the order of the day. We chose the members of the IA 25 because they are the heavyweights of the profession now and will remain so in years to come. They are the planners who have gained the respect of peers for their foresight, business acumen, and ethics. They are the academics who built the foundations of the profession, and the money managers who beat the S&P year in and year out. They are the CEOs and the regulators who keep them in check. They are the visionaries who built the partner businesses planners couldn’t live without.

  1. Al West
  2. Alan Greenspan
  3. Amy Domini
  4. Andrew Gluck
  5. Benjamin Graham
  6. Bill Gross
  7. Bill Miller
  8. Bill Sharpe
  9. Bob Veres
  10. Charles Schwab
  11. Deena Katz
  12. Don Phillips
  13. Eliot Spitzer
  14. Gary Schatsky
  15. George Kinder
  16. Harold Evensky
  17. John Bogle
  18. Mark Hurley
  19. Mark Tibergien
  20. Michael Oxley
  21. Ross Levin
  22. Sallie Krawcheck
  23. Sheryl Garrett
  24. Todd Robinson
  25. William Donaldson

Click here to read more about the inaugural IA 25. 

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