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10 things that show the RIA movement is really heating up in 2010: Part I

Observers need a scorecard to keep track of all the advances that RIAs are making

Monday, March 22, 2010 – 4:59 AM by Brooke Southall
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Christopher Dean, managing director of Summit Partners in Boston, invested VC money in RIAs

Related Moves

Mark Tibergien sets up Ben Harrison to challenge Schwabitrade with a $150 million cut to Pershing's minimum and millions more to develop Veo-busting technology

The CEO suite hand-off in Jersey City pulls a trigger on a plan to bypass Fidelity's and eventually Schwab's custody units by luring disaffected RIAs.

March 11, 2020 – 7:58 AM

TD Ameritrade's board suddenly pushes out Tim Hockey after his big misread of RIAs; Tom Bradley name-dropped as successor

The CEO broke the TD promise never to compete with RIAs, took it back and got sent packing

July 23, 2019 – 4:30 AM

Robinhood gets 'brilliant' upper manager -- and a spare CEO -- by nabbing TD Ameritrade's ex-thinkorswim top exec, hopefully to throw a lifesaver to Robinhood's sinking stock

The Menlo Park, Calif., firm nabbed Steve Quirk as first-ever chief brokerage officer to 'bridge the gap between academia and reality.'

January 6, 2022 – 10:33 PM

Oisín's snippets: Charles Schwab brand goes up on Omaha's TD Ameritrade stadium, home of college baseball world series • Interactive Brokers lands an RIA custody insider, Charlie Latimer, to climb the custodian ladder

The TDA brand lives on until the techies figure out how to make two systems into one, but change is in the air in Omaha, while Interactive Brokers gets a leg up in the custody business with a new hire.

December 27, 2021 – 9:58 PM

See more related moves

Mentioned in this article:

LPL Financial
Asset Custodian
Top Executive: Dan Arnold

TD Ameritrade
Asset Custodian
Top Executive: Tom Nally

Raymond James Financial Inc.
Asset Custodian
Top Executive: Bill Van Law

State Street Wealth Manager Services
Asset Custodian
Top Executive: Marty Sullivan

Scottrade Advisor Services
Asset Custodian
Top Executive: Brian Stimpfl

E*TRADE Advisor Services
Asset Custodian
Top Executive: Joshua Pace

TradePMR
Asset Custodian
Top Executive: Robb Baldwin

Shareholders Service Group
Asset Custodian
Top Executive: Peter Mangan




Kevin Hollingsworth

Kevin Hollingsworth

March 22, 2010 — 4:46 PM

Brooke,

I don’t see any mention of Century Securities in your list of new custodians, is their business different than the three others you mentioned?

Thanks,

Kevin

Brooke Southall

Brooke Southall

March 22, 2010 — 8:28 PM

Hi Kevin,

I’d be interested in learning more about Century Securities. If they’re a rising RIA custodian then I’d like to learn more about them.

thanks,

Brooke

Mary Ann Buchanan

Mary Ann Buchanan

March 23, 2010 — 3:43 PM

Brooke,
Your insight and ability to incisively discuss the most relevant points in the RIA world is a major contribution to those trying to move forward in this space.

Thanks

Mary Ann Buchanan

Brooke Southall

Brooke Southall

March 23, 2010 — 7:04 PM

Hi Mary Ann,

Thank you. I appreciate this comment.

I can only in turn thank my sources who continuously make an effort to get
me good information and help me to understand it in the context of the RIA world.

my best,

Brooke

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