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The top 10 people to watch in the RIA business in 2012, Part 2

Keeping an eye on those gaining the most ground in the fleet-footed RIA industry

Authors Brooke Southall and Dina Hampton and Brooke Southall March 13, 2012 at 4:18 AM
no description available
Shirl Penney and Todd Thomson: The reason to [go independent] is that you want to build equity in something that's yours."

Adam Bold


Neesha Hathi


Shirl Penney


Todd Thomson


Felipe Luna


Andrew Putterman


Robert Moore

Bill Winterberg

Bill Winterberg

March 13, 2012 — 3:14 PM

For spot #2, I would have selected Jon Patullo, Managing Director of Technology Product Management at TD Ameritrade Institutional.

Consider the growth of the Technology Product Management team managed by Patullo, starting from essentially a single handful of employees to a group of dozens today.

What Patullo’s team is achieving with Veo® Open Access is something to be followed closely in 2012 as a driving force for the RIA business.

Jeff Spears

Jeff Spears

March 13, 2012 — 10:37 PM

Now I know what it feels like to be a Cubs fan…“Wait 'till next year”

Impressive list.

Related Moves

September 24, 2019 at 2:02 AM

Adam Bold, the RIA who went Hollywood -- literally -- after his Mutual Fund Store cash out, is accused of 'general chaos' at his Tinseltown talent agency

Business partners made the lurid allegations in a lawsuit that's scandalous even by Hollywood standards, charging Bold's aberrant behavior has driven the agency to the brink of bankruptcy; Bold calls it a 'shakedown.'

February 14, 2024 at 3:58 AM

Shirl Penney hands over 'front end of the house' to Andrew Marsh as Dynasty reboots -- post-$100-million raise, post-IPO withdrawal and post-Schwab partnering

The Dynasty CEO is handing over sales, custody relations, breakaways and M&A sales to the un-retired Canadian -- and wildly promoting from within.

September 21, 2023 at 1:53 AM

Christa Carone, an ex-Fidelity and Xerox marketing whiz, steps onto a slippery slope at LPL with a daunting task -- to consolidate a NASCAR size brand portfolio... or not?

With no CMO since August, the chief marketing officer will play catch up for a company still hungry to buy more branded B2B and B2C players.

April 2, 2024 at 1:28 AM

See more related moves

Mentioned in this article:

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

Omniscient Enterprise Advisor
CRM Software
Top Executive: Felipe Luna

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