Close Close
Popular Financial Topics Discover relevant content from across the suite of ALM legal publications From the Industry More content from ThinkAdvisor and select sponsors Investment Advisor Issue Gallery Read digital editions of Investment Advisor Magazine Tax Facts Get clear, current, and reliable answers to pressing tax questions
Luminaries Awards

Regulation and Compliance > Federal Regulation > SEC

The 2016 IA 25 Extended Profiles

Your article was successfully shared with the contacts you provided.

You know the names of the U.S. senators from your state, and maybe even your representative in Congress. But the way Washington works, it’s the staffs of those members of Congress who do much of the real work in serving constituents and managing committee hearings, who write the speeches and craft the legislation. The analogy to this year’s IA 25? Often it’s the people without the corner offices, without the household names, who are bringing the advisory industry into the future.

In the 14th edition of the IA 25, we highlight those people who may be flying under the radar, but are nonetheless influential now and, in our estimation, will continue to be so.

Our prime exhibit is Department of Labor Secretary Tom Perez. While advisors active in the ERISA space long have dealt with DOL, its new fiduciary rule will affect all advisor channels — the wirehouses and the independent BDs, but also RIAs — who are more used to complying with SEC and FINRA (and state) regs than the complexities of ERISA. Perez himself took a back seat during the first go-round of the DOL rule’s proposal, but he’s now its main evangelist, and the rule will affect the entire industry for years to come.

Read the May 2016 cover story in Investment Advisor for an introduction to these under-the-radar flyers, and stay tuned to ThinkAdvisor for month-long coverage of the honorees, including extended profiles of each that will be published daily.

Meet the 2016 IA 25 Technology Leaders. As a testament to the vital role technology plays in advisors’ businesses and their clients lives, we recognize those IA 25 honorees who are providing innovative technology services in this slideshow, published April 25.

April 25: Tom Perez, Labor Secretary, Department of Labor

April 26: Cam Marston, Founder, Generational Insights

April 27: Chris Paulitz, Senior Vice President, Membership & Marketing, Financial Services Institute

April 28: Clara Shih, Founder and CEO, Hearsay Social

April 29: Colleen Bell, First Vice President of Fiduciary Services, Cambridge Investment Research

The most influential people in our lives are the advocates and educators who speak on our behalf and teach us how to stand up to the challenges we face. Meet the IA 25 honorees who are doing just that in this slideshow, published May 2.

May 2: Jon Stein, Founder and CEO, Betterment

May 3: David Grim, Director, SEC Division of Investment Management; and Stephen Luparello, Director, SEC Division of Trading & Markets

May 4: Ed O’Brien, CEO, eMoney Advisor

May 5: Eric Clarke, Founder and CEO, Orion Advisor Services

May 6: Fred Reish, Partner, Drinker Biddle & Reath

By shaping the landscape in which they work, regulators play a huge part in advisors’ lives. We highlight the impact those regulators have in this slideshow, published May 9.

May 9: Naureen Hassan, Chief Digital Officer, Morgan Stanley

May 10: Jane Jarcho, Deputy Director, SEC Office of Compliance Inspections and Examinations

May 11: Jason Carroll, Managing Director and Senior Officer of Investment Advisory Lending, Live Oak Bank

May 12: Jim O’Sullivan, Chief U.S. Economist, High Frequency Economics

May 13: Kate Healy, Managing Director of Marketing, TD Ameritrade Institutional

You’re only as strong as your support system. Meet some of the advisor partners helping advisors grow their business and serve clients better in this slideshow, published May 16.

May 16: Kol Birke, Senior Vice President of Technology Product Evolution, Commonwealth Financial Network

May 17: Laurie Belew, Chair, FPA NexGen

May 18: Lex Sokolin, Partner and Chief Operating Officer, Vanare | NestEgg 

May 19: Lori Hardwick, Chief Operating Officer, Pershing

May 20: Marilyn Mohrman-Gillis, Executive Director, CFP Board Center for Financial Planning

We take a brief look back at some of the most recognized IA 25 honorees in this slideshow, published May 23.

May 23: Marty Bicknell, CEO, Mariner Holdings

May 24: Mark Kantrowitz, Publisher and Vice President of Strategy, Cappex

May 25: Neesha Hathi, Executive Vice President of Investor Services, Charles Schwab & Co.

May 26: Richard Sincere, Founder, Chairman and CEO, Sincere & Co.

May 27: Stuart DePina, Group President, Envestnet | Tamarac


© 2024 ALM Global, LLC, All Rights Reserved. Request academic re-use from All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.