Displaying 10 results
Slimmed down 2020 comp for LPL, Ameriprise CEOs
In the face of an unprecedented pandemic, Dan Arnold and James Cracchiolo saw their total pay fall last year.
Adviser’s cultural understanding behind four decades of client care
Family office executive fled the communist regime in Cuba at 11 .
The C-Suite: RJ’s Thomas James
What it takes to build an institution IN 1970, ROBERT JAMES asked his 27-year-old son, Thomas A.
A leadership style based on trust
John W. Rogers Jr. started Ariel Investments LLC in 1983, when he was 24. The firm, which specializes…
The ‘aha’ moment: How a leader listens
JON BAUM is chairman and chief executive of The Dreyfus Corp., which manages about $400 billion in mutual…
The key to creating a common vision
Brian T. Shea is chief executive of Pershing LLC, which, with $910 billion in assets under custody, is the biggest brokerage and clearing firm that most investors have never heard of.
Schwab’s Bernie Clark on RIA challenges
Bernard J. Clark is head of Charles Schwab & Co. Inc.'s adviser custody unit, Schwab Advisor Services, a position he has held for the past 20 months
Playing to win the game
Robert L. Reynolds is president of chief executive of Putnam Investments, the nation's 37th-largest mutual fund company, with $55 billion in fund assets and more than 1,700 employees
Advisor Group’s Larry Roth: Communicating a common vision
Larry Roth is chief executive of Advisor Group, the independent-broker-dealer subsidiary of American International Group Inc. In that role, he oversees more than 600 employees who serve 4,800 financial advisers affiliated with FSC Securities Corp., Royal Alliance Associates Inc. and SagePoint Financial Inc.
The art (and science) of hiring good people
ROBERT C. POZEN IS CHAIRMAN emeritus of MFS Investment Management. As chairman from 2004 to 2010, he helped…
