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News Stories Archives - Since 1998
Jim Ross Resurfaces to Guide an Acquirer
The company raised $350 million last month to do a deal in asset management, fintech, or wealth management...
MutualFundWire.com - Friday, July 10, 2020
An Ex-Fidelity SVP Joins EFE
A former Fidelity leader moves on from the company..
401kWire.com - Friday, July 10, 2020
Fin Planning, Through an RKer, In the Age of COVID-19
A big provider teams up to help participants in light of reduced hours, furloughs and lay offs...
401kWire.com - Friday, July 10, 2020
401k Trading Sees Its First Bump Since March
Yet participants' reallocation activity level still remain far below their peak early in the ongoing coronavirus crisis...
401kWire.com - Friday, July 10, 2020
Fido and Schwab Win Online
The mutual fund titan's roboadvisor and the brokerage giant's cyborg advisor are among the winners in a new awards program...
MutualFundWire.com - Friday, July 10, 2020
An Ally to Big Plan Sponsors Launches a Marketplace
DC I-Os, financial wellness specialists, and other DC industry players may want to take a look...
401kWire.com - Friday, July 10, 2020
GQG's Chiefs Elevate Five New Leaders
As the firm hits a three year milestone, GQG Partners evolves its leadership to fit an international context...
MutualFundWire.com - Wednesday, July 10, 2019 Views
An Allianz Lawyer Retires
After serving nearly 14 years, an Allianz vet walks away...
MutualFundWire.com - Wednesday, July 10, 2019 Views
An Ascensus VP Leaves For The Emerald Isle
After a brief stint at Ascensus, a retirement plan wholesaler is leaving the company. ..
401kWire.com - Wednesday, July 10, 2019
John Carter Rises, And ...
As the insurer anoints its next CEO, its retirement plan chief will get a promotion, too. ..
401kWire.com - Wednesday, July 10, 2019 - Reader Rating: 4.33
Vestwell's Board Expands After a $30MM Series B
Following a $30-million funding round, Vestwell adds two new members to the Board of Directors...
401kWire.com - Wednesday, July 10, 2019
TDFs Make For Stickier Defaults
New research looks at how participants use TDFs differently than they used money market funds. ..
401kWire.com - Wednesday, July 10, 2019
26 Years, $4T
A growing but concentrated portion of the asset management business in the U.S. crosses another milestone...
MutualFundWire.com - Wednesday, July 10, 2019 Views
Jackson Lewis' ERISA Practice Expands Near NYC
The Jackson Lewis P.C. team grows their employee benefits practice with the addition of a new attorney...
401kWire.com - Wednesday, July 10, 2019
Shelton Hires an OH Principal For BPP
BPP hires a new principal for their expansion into the Ohio market...
401kWire.com - Tuesday, July 10, 2018
An LPL Vet Joins Empower in Colorado
This LPL vet worked for LPL for almost ten years...
401kWire.com - Tuesday, July 10, 2018
A Low Vol Shop Climbs Into First
M* updates mutual fund and ETF flows data for May. Here's who led and lagged the pack among the smallest fund firms...
MutualFundWire.com - Tuesday, July 10, 2018 Views
A UK DC Shop Hires a Sales Chief For U.S. Expansion
AHC hires a national sales director, to get more 'boots on the ground' in the US...
401kWire.com - Tuesday, July 10, 2018
The Vantage Fallout Hits a Custodian
Updated | 403(b) participants file a class-action lawsuit against a custodian over its role in money allegedly stolen by the since-collapsed RKing TPA...
401kWire.com - Tuesday, July 10, 2018
Do Fund Administration and Running For Public Office Not Mix?
A state treasurer candidate was reportedly fired thanks to a "strong conflict of interest policy" when he refused to drop out of the race...
MutualFundWire.com - Tuesday, July 10, 2018 Views - Reader Rating: 5
ETF Titans Dominated ETF Strategist Growth in Q1
Here's a look at first quarter asset growths within the ETF managed portfolio landscape!..
MutualFundWire.com - Monday, July 10, 2017 Views
Nine Shops Add ETFs to OneSource
15 more ETFs will now be available on Schwab's NTF ETF platform...
MutualFundWire.com - Monday, July 10, 2017 Views - Reader Rating: 3
Expansion Arises at MidAtlantic Retirement Plan Specialists
The Wilmington, Delaware-based 401(k) plan advisory shop has expanded its practice in a big way...
401kWire.com - Monday, July 10, 2017
Tax Reform Could Bring Tax Credits and Rothification
Much of the retirement industry's future seems to be wrapped up in tax reform proposals. ..
401kWire.com - Monday, July 10, 2017
A Chinese I-Bank Buys a Gotham ETF Shop
China International Capital Corporation is acquiring a majority stake in this company.....
MutualFundWire.com - Monday, July 10, 2017 Views
A 17-Year Fidelity Exec Retires
After 17 years at Fidelity, this exec retires. ..
401kWire.com - Monday, July 10, 2017
Filings for Fundsters - July 10, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Monday, July 10, 2017 Views
Allstate Retirement Exec Moves to The Standard
The insurance company has a new retirement exec. ..
401kWire.com - Monday, July 10, 2017 - Reader Rating: 4
Week In Preview, July 10-16
Mutual fund and retirement industry insiders are trekking across an island in the Pacific, while fintech folk are gathering in Gotham...
MutualFundWire.com - Monday, July 10, 2017 Views
GRP's Chetney To Hold Conference in Alaska
The office of supervisory jurisdiction ("super-OSJ") and RIA headquartered in Capistrano Beach, California, is hosting a retirement-focused conference in July!..
401kWire.com - Friday, July 10, 2015
Court Awards No Damages In ABB Fiduciary Ruling
Plaintiffs go home with nothing but a moral victory in their pockets. ..
401kWire.com - Friday, July 10, 2015
A New England Fund Shop Buys In Cali
A mutual fund shop with $6.16 billion buys an emerging markets manager on the opposite coast...
MutualFundWire.com - Friday, July 10, 2015 Views
Fidelity is Hiring in ABQ, New Mexico
Fidelity is looking to hire more employees in its 401(k) division...
401kWire.com - Friday, July 10, 2015
For $1.8B, the Lead Bidder For Russell Is ...
Reuters reports that a Chinese conglomerate is negotiating to buy the manager of managers...
MutualFundWire.com - Friday, July 10, 2015 Views
Metcalfe Buys His Old Band, For $64MM
DST is acquiring a company that helps 401k providers build the behind-the-scenes pipes for rollovers and a host of other things...
401kWire.com - Friday, July 10, 2015 - Reader Rating: 4.5
Should You Be Paranoid About Google and Amazon?
79 percent of asset management execs "say they will face direct competition from non-traditional market entrants."..
MutualFundWire.com - Friday, July 10, 2015 Views
Voya Financial Scores An $1.2B Retirement Plan
Voya scores big.....
401kWire.com - Friday, July 10, 2015
Caught in the Middle of LPL and RPAG?
What's a Financial Telesis advisor to do? The indie B-D and RIA is selling to its strategic partner's rival...
401kWire.com - Thursday, July 10, 2014
A 401k Lawsuit Puts Ameriprise's Asset Management Chief in the Spotlight
William "Ted" Truscott has been asked to produce notebooks that plaintiffs think may implicate him in the use of high-cost proprietary funds in the Ameriprise 401k plan. ..
401kWire.com - Thursday, July 10, 2014
Nationwide's Spangler Follows Up 200% Sales Growth With a 1-2 Combo
Product development, and developing the resources for this development, is key...
MutualFundWire.com - Thursday, July 10, 2014 Views
Is Covestor Creating a New Fund Distribution Channel?
The online investment platform features at least 13 fund sponsors in new non-management fee ETF platforms. Could they disrupt the dynamics of the platform wars?..
MutualFundWire.com - Thursday, July 10, 2014 Views
Does TIME Tell the Tale of Participants' Future?
A high profile news outlet talks 401k...
401kWire.com - Thursday, July 10, 2014
Fido's Fisher Sees a Plan Design Inflection Point
The Boston Behemoth unveiled a new roadmap for its plan sponsor clients today, which highlights four pillars sponsors should consider in their DC plan design. ..
401kWire.com - Thursday, July 10, 2014
RBG Adds an Advisor in Riverside
The big LPL-affiliated 401k shop welcomes a mortgage industry alum to the fold...
401kWire.com - Thursday, July 10, 2014
Envestnet Buys a 401k Player
The technology-based wealth management solutions provider just acquired an online 401k modeling specialist...
401kWire.com - Thursday, July 10, 2014 - Reader Rating: 2
An Ex-Fundster Buys An Alts Pub
A former Rydex alts chief is building his own media empire devoted to the burgeoning investment niche...
MutualFundWire.com - Thursday, July 10, 2014 Views
Study: Hedge-Like Funds Are More Correlated With Stocks
In a volatile market, investors are seeking funds that use alternative strategies to diversify their portfolio but these funds are becoming more correlated with stocks...
MutualFundWire.com - Wednesday, July 10, 2013 Views
SunTrust Simplifies Things For Participants
Looking to help the employees of its business clients prepare for retirement,SunTrust Banks has added some new handy tools. ..
401kWire.com - Wednesday, July 10, 2013
PowerShares Celebrates a $5B Milestone
Invesco PowerShares's suite of "smart-beta" ETFs top the $5 billion AUM mark. ..
MutualFundWire.com - Wednesday, July 10, 2013 Views
Segal Rogerscasey Promotes a DC Honcho
Along with three others...
401kWire.com - Wednesday, July 10, 2013 - Reader Rating: 2
An Ohio Shop Immigrates to '40 Act Country
Firm enters space with an international growth fund..
MutualFundWire.com - Wednesday, July 10, 2013 Views
The Target-Maturity ETF Market Is Maturing
The target-maturity ETF has grown since BlackRock's inception of the ETF in 2010...
MutualFundWire.com - Wednesday, July 10, 2013 Views
Marketing, Not Performance, is Sinking Cap Group
Morningstar's wonk writes about American Funds' lack of marketing and distribution skills over the past decade. ..
MutualFundWire.com - Wednesday, July 10, 2013 Views
Why is Larry Fink Dissing His Own Funds?
Larry Fink says investors should drop duration-targeted bond funds in the new rising-rate environment...
MutualFundWire.com - Wednesday, July 10, 2013 Views
And the Week Goes to ... a SPDR!
The SDR S&P 500 added the most shares this week, according to Forbes...
MutualFundWire.com - Wednesday, July 10, 2013 Views
Lazard Asset Management Flexes a New Fund
Lazard Asset Management has launched the Lazard Explorer Total Return Portfolio, using flexible return investment strategy. ..
MutualFundWire.com - Wednesday, July 10, 2013 Views
Invesco Will Merge a Fund Into an Atlantic Trust One
The board of trustees of Invesco's [profile] Disciplined Equity Fund unanimously approved an agreement and plan of reorganization pursuant to which the fund would transfer all of its assets and liabilities to the AT Disciplined Equity Fund, a newly created fund sponsored by Atlantic Trust Private Wealth Management. [SEC Filing]...
MutualFundWire.com - Wednesday, July 10, 2013 Views
A Top 401k Advisor Moves Down the Block
An East Coast retirement plan advisor moved into a new HQ last month...
401kWire.com - Wednesday, July 10, 2013 - Reader Rating: 1
Virtus Reports Q2 AUM Perkiness
Virtus' AUM grew by nearly two billion during the second quarter of 2013. ..
MutualFundWire.com - Wednesday, July 10, 2013 Views
ING Rebrands an International Fund
Effective July 1, the name, sub-advisors, and principal investment strategies of theING [profile] International Growth Fund were changed. The fund is now called the ING Multi-Manager International Equity Fund. [SEC Filing]...
MutualFundWire.com - Wednesday, July 10, 2013 Views
A Vantagepoint Fund Samples No Longer
Effective July 1, the Vantagepoint [profile] Mid/Small Company Index Fund no longer employs a sampling technique to approximate the fund’s index characteristics, but is weighted to seek to replicate the investment characteristics of the Russell 2500 Index. [SEC Filing]...
MutualFundWire.com - Wednesday, July 10, 2013 Views
Schroders Tweaks Two Funds
Schroders [profile] amended the principal investment strategies for its International Alpha Fund and its Schroder International Multi-Cap Value Fund. [SEC Filing]...
MutualFundWire.com - Wednesday, July 10, 2013 Views
Senator Hatch Proposes 401k Reforms
And ASPPA approves...
401kWire.com - Wednesday, July 10, 2013 - Reader Rating: 3
Two Dreyfus Funds Re-Strategize
On or about October 1, Dreyfus [profile] will tweak the principal investment strategies for its Opportunistic Small Cap Fund and its Structured Midcap Fund. [SEC Filing:I] [SEC Filing:II]...
MutualFundWire.com - Wednesday, July 10, 2013 Views
Value Minded PMs Catch A Break
Value-minded fund managers are getting their groove back, sort of, Barrons' Brendan Conway reported...
MutualFundWire.com - Wednesday, July 10, 2013 Views
This Niche Could Feed On the "Great Rotation"
Barron's reported on a recent Morgan Stanley note on balanced allocation funds...
MutualFundWire.com - Wednesday, July 10, 2013 Views
iShares Grows its Bond ETF Lineup
Fund giant continues to tap into booming demand for fixed income coverage..
MutualFundWire.com - Wednesday, July 10, 2013 Views
Franklin Templeton Gets the Summertime AUM Blues
Franklin Resources announced its preliminary month-end AUM, showing a notable dip when compared with last month's AUM. ..
MutualFundWire.com - Wednesday, July 10, 2013 Views
Nuveen Unveils the Bob Doll Nine
The new suite of funds will focus on variety of large cap strategies. Doll explains to MFWire...
MutualFundWire.com - Wednesday, July 10, 2013 Views
NAGDCA Lauds 16 Public Plan Sponsors
Are any of your public plan clients on the list?..
401kWire.com - Wednesday, July 10, 2013 - Reader Rating: 5
SSgA Launches an ETF and Spices Up Others
SSgA has launched the SPDR Russell 2000 ETF, and made changes to three other of its offerings. ..
MutualFundWire.com - Wednesday, July 10, 2013 Views
OCC Warned J.P. Morgan Over Retirement Plan Issues
Last year, J.P. Morgan had been warned by the Office of Comptroller of the Currency that it was steering clients toward in-house investment products. ..
MutualFundWire.com - Wednesday, July 10, 2013 Views - Reader Rating: 5
Barron's: Be Careful with Bond ETFs
Brendan Conway of Barron wrote a technical analysis of the ways investors are hurt during selloffs. ..
MutualFundWire.com - Wednesday, July 10, 2013 Views
The WSJ Sides With Vanguard and BlackRock
Experts suggest investors simplify their portfolios and invest in only three mutual funds or ETFs...
MutualFundWire.com - Wednesday, July 10, 2013 Views
Berkowitz Jumps into Fannie Mae Fight
Fairholme Funds sues U.S. for GSE profits..
MutualFundWire.com - Wednesday, July 10, 2013 Views
Institutions Are Warming to Alt Mutual Funds
Morningstar's 2012 survey has promising news for alternative mutual funds in their competition with hedge funds...
MutualFundWire.com - Wednesday, July 10, 2013 Views
McNabb Says Benchmark Switch Was Smart
In an exclusive, Vanguard CEO William McNabb tells Reuters how much money Vanguard made by switching benchmarks last fall...
MutualFundWire.com - Wednesday, July 10, 2013 Views
Muni Meltdown Hits OpFunds and Fido Hardest
The WSJ's Kelly Nolan breaks down how much municipal bond funds lost in the month of interest rate panic...
MutualFundWire.com - Wednesday, July 10, 2013 Views
Are Vanguard and Cap Group "Unlikely Cousins"?
Vanguard and American Funds have more in common than one might think — especially for those who work there — John Rekenthaler writes in his M* column...
MutualFundWire.com - Wednesday, July 10, 2013 Views
Vanguard's ETF Flows Edge Past BlackRock's
Vanguard is leading BlackRock in the ETF space after the recent Fed announcement. ..
MutualFundWire.com - Wednesday, July 10, 2013 Views
Vanguard Saw First Net Outflows Since 1994
Vanguard has been added to the roster of big fund companies to lose out during the June bond fund market selloff...
MutualFundWire.com - Wednesday, July 10, 2013 Views
Marsico Loses the Lead PM of a $530M Fund
Douglas Rao, PM on three Marsico funds, moves on...
MutualFundWire.com - Tuesday, July 10, 2012 Views - Reader Rating: 5
Hennessy Has FBR's Russell Parker Feeling Good
FBR distro chief says no changes are planned for his team following merger ..
MutualFundWire.com - Tuesday, July 10, 2012 Views
Calvert Eyes More DC I-O
Lynne Ford sees opportunities with investment-only and in the retirement market at large..
401kWire.com - Tuesday, July 10, 2012 - Reader Rating: 1
ING Serves Serco's $263M Plan
The Virginia-based services company is also adding ING investment options..
401kWire.com - Tuesday, July 10, 2012 - Reader Rating: 4.5
Calvert Taps ING for a Marketer
Lynne Ford takes sales, marketing, branding and PR under her wing...
MutualFundWire.com - Tuesday, July 10, 2012 Views
Davidson Adds its Second Fund
The Montana-based investment advisors launches a fund which invests in small companies...
MutualFundWire.com - Tuesday, July 10, 2012 Views
DC I-O Players Have Doubled Their Sales Staff
Asset manages in the DC I-O space have doubled their sales staff since 2010. ..
401kWire.com - Tuesday, July 10, 2012 - Reader Rating: 3.6
Pentegra Wants to Help Sponsors "Build"
New product uses blocks metaphor to help sponsors build better plans...
401kWire.com - Tuesday, July 10, 2012
Bloomberg Gives AMG's Healey the Full Treatment
Fund investor tells business and personal stories in profile...
MutualFundWire.com - Tuesday, July 10, 2012 Views
Sheldon Jacobs Still Weighs in on Funds
The No-Load Fund Investor author Sheldon Jacobs still has worthwhile advice, says MarketWatch...
MutualFundWire.com - Tuesday, July 10, 2012 Views
Fairholme's Roller-Coaster Ride Continues
After stinking up 2011, Bruce Berkowitz's fund is back reports the WSJ. ..
MutualFundWire.com - Tuesday, July 10, 2012 Views
An Ex-Van Kampen CEO Takes a Private Equity Gig
The one-time chief of Van Kampen has taken a post outside of the mutual fund business...
MutualFundWire.com - Tuesday, July 10, 2012 Views
ETFs Gain Traction in 529 Plans
The hot accessory on campuses for this fall is an ETF...
MutualFundWire.com - Tuesday, July 10, 2012 Views - Reader Rating: 5
Senate Confirms the Next EBSA Chief
A new Assistant Secretary of Labor will soon take over the ERISA regulatory section of the DoL...
401kWire.com - Friday, July 10, 2009
Dreyfus Taps a Texas Wholesaler
The BNY Mellon unit turns to a Principal Funds alum for the post...
MutualFundWire.com - Friday, July 10, 2009 Views
Old Mutual Drops Turner from its Large Cap Growth Fund
The fund will have just one sub-advisor instead of two...
MutualFundWire.com - Friday, July 10, 2009 Views
Life Cycle Funds: The Many Misconceptions
An industry insider shares his thoughts on the future of target date funds...
401kWire.com - Friday, July 10, 2009 - Reader Rating: 2.5
Vince Leaves NRP ... for NRP
An exec at the SoCal-based firm switches to the advisory side of the fence...
401kWire.com - Friday, July 10, 2009 - Reader Rating: 3
Russell Gears Up for its ETF Debut
Russell files for exemption with the SEC in anticipation of upcoming ETFs...
MutualFundWire.com - Friday, July 10, 2009 Views
AQR Puts Momentum Theory into Practice with Three New Funds
A set of new funds and indices will attempt to challenge the growth/value dichotomy...
MutualFundWire.com - Friday, July 10, 2009 Views - Reader Rating: 5
EPIC Names a Client Support Chief
The recordkeeping TPA elevates one of its own...
401kWire.com - Friday, July 10, 2009 - Reader Rating: 3
Delaware DC Advisor Adds a Pair of Branches
A retirement-focused firm expands in Pennsylvania...
401kWire.com - Friday, July 10, 2009 - Reader Rating: 2
Pondering Lawson's Future at Fido Remains a Headline Grabber
The drumbeat that Rodger Lawson is a short-timer at Fidelity is growing louder despite denials from the spokepeople at the Boston Behemoth...
MutualFundWire.com - Friday, July 10, 2009 Views - Reader Rating: 5
AllianceBernstein Retirement Reshapes Under New Chief
The New York City-based money manager restructures its DC unit...
401kWire.com - Thursday, July 10, 2008 - Reader Rating: 5
SEI Targets DC Plans
The Oaks, Pennsylvania-based company has rolled out target-date portfolios...
401kWire.com - Thursday, July 10, 2008
New Fund-of ETFs Has 401k Hopes
Hennion and Walsh has introduced a new product...
MutualFundWire.com - Thursday, July 10, 2008 Views - Reader Rating: 5
Prudential Pens a Retirement Workbook
The Newark, New Jersey-based plan provider has come out with a retirement workbook for participants...
401kWire.com - Thursday, July 10, 2008 - Reader Rating: 4
Northern Trust Entices Columbia Vet to Chi-Town
The company has tapped an ex-Columbia portfolio manager for a new role...
MutualFundWire.com - Thursday, July 10, 2008 Views
Spark Institute Unveils 403b Best Practices 2.0, DTCC Alliance
The industry think tank updates its suggestion for non-profit plan sponsors while working on information sharing with another player...
401kWire.com - Thursday, July 10, 2008
Accountants Prefer Paychex for DC
A trade organization gives a stamp of approval to the payroll provider in the retirement space...
401kWire.com - Thursday, July 10, 2008
A SoCal Firm Bets on 401k Videos
The company has piloted its video-based 401k product with a CitiStreet (now ING) client, and is in talks with other recordkeepers...
401kWire.com - Thursday, July 10, 2008
Ladenburg Thalmann Picks up a Georgia B-D
Ladenburg Thalmann has inked a deal that will bring it more reps...
MutualFundWire.com - Thursday, July 10, 2008
ASCi's EGTRRA Documents Get IRS Stamp of Approval
The IRA has approved ASCi's EGTRRA documents for the company's document generation and management system...
401kWire.com - Thursday, July 10, 2008 - Reader Rating: 2
An Invesco Aim Fund Undergoes a Skipper, Name Change
A team of 13 replaces Glen Hilton at the fund, which will have a new name later this month...
MutualFundWire.com - Thursday, July 10, 2008 Views
North Track Funds Parent Changes Hands
A buyout means the Ziegler family will no longer be associated with the Firm...
MutualFundWire.com - Thursday, July 10, 2008 Views
India Attracts Yet More Fund Firms
Three Western-headquartered investment managers have either established or expanded their operations in India over the past few days, Mark Cobley notes in Thursday's WSJ Fund Track...
MutualFundWire.com - Thursday, July 10, 2008 Views
Is Neuberger Berman About to Hit the Auction Block?
With parent Lehman Brothers' troubles mounting, a top Neuberger executive is reportedly pushing for action...
MutualFundWire.com - Thursday, July 10, 2008 Views
Former Employees Eyed As Suspects Behind Goldman Death Threats
Investigators have begun looking at former Goldman Sachs employees in their search for the person(s) who mailed letters threatening the firm...
MutualFundWire.com - Tuesday, July 10, 2007
Morningstar Names New President of Investment Services
The Chicago-based firm has tapped an insider to replace Art Lutschaunig, who is leaving the company...
MutualFundWire.com - Tuesday, July 10, 2007 Views - Reader Rating: 3
Weiss Leaves TD Ameritrade
Update 4 |Within a year of playing a key role in two deals that took her from an entrepreneurial startup to the head of TD Ameritrade's retirement business, Gail Weiss has moved on...
401kWire.com - Tuesday, July 10, 2007
Discovery Intros Service to Help Advisors Grow
Discovery, a subsidiary of The Financial Information Group Inc, has launched Discovery-Advisor Growth Services, which provides outsourced services that help advisors expand their business...
MutualFundWire.com - Tuesday, July 10, 2007 - Reader Rating: 5
DoL Solicits Input On Fee Disclosure
Plan providers, sponsors and participants wishing to weigh in on the issue of 401(k) fee disclosure have until July 24 to submit their comments and suggestions to the Department of Labor...
401kWire.com - Tuesday, July 10, 2007
Delaware Investments Names New Head of Taft-Hartley Team
The Lincoln Financial subsidiary has appointed a new leader for its Taft-Hartley group...
401kWire.com - Tuesday, July 10, 2007 - Reader Rating: 5
SEC Names Acting Regional Director in LA Office
The commission has tapped a replacement for Randall Lee, who is returing to the private sector...
MutualFundWire.com - Tuesday, July 10, 2007 Views
Principal Calls In Legal Expert To Help 403b Sponsors Cope with New Rules
The Des Moines, Iowa-based provider has hired a law firm to help 403b sponsors understand the implications of the upcoming regs...
401kWire.com - Tuesday, July 10, 2007
SEI Launches New Shariah-Compliant Fund
SEI has launched the new SEI Islamic Investments Fund, designed to offer Shariah-compliant investments...
MutualFundWire.com - Tuesday, July 10, 2007 Views
What Does the DB Freeze Wave Mean for Automatic Enrollment?
Research conducted by a DC-based nonprofit examines what sponsors with pensions are doing with their DC plans. ..
401kWire.com - Tuesday, July 10, 2007
Two B-Ds Begin Merger Talks
A public and a private B-D being talking joint operations...
MutualFundWire.com - Tuesday, July 10, 2007
U.S. Bancorp Fund Services Hires Two
The Milwaukee-based unit of U.S. Bancorp has made two hires...
MutualFundWire.com - Tuesday, July 10, 2007 Views - Reader Rating: 3
Munder Promotes FitzGerald
Jim FitzGerald has been promoted to the positions of chief marketing officer and managing director of distribution at Munder Capital Management...
MutualFundWire.com - Tuesday, July 10, 2007 Views - Reader Rating: 4
Legg Mason Launches New SMA Products for the Retail Market
Legg Mason has launched two new SMA products for retail investors, giving them access to Western Asset Management's Core and Core Plus strategies...
MutualFundWire.com - Tuesday, July 10, 2007 - Reader Rating: 3
Study: High Growth to Continue for Newer Buy-Side Products
The buy-side, especially the newer and more innovative products, is having a great year so far, according to research by TowerGroup...
MutualFundWire.com - Tuesday, July 10, 2007 Views - Reader Rating: 5
Vanguard Sails Past Rivals In Fund Sales
The Valley Forge, Pennsylvania-based firm outpaced its rivals in stock and bond fund sales in the first five months of the year...
MutualFundWire.com - Tuesday, July 10, 2007 Views - Reader Rating: 3
U.S. Attorney Charges Adviser with Securities Fraud
Richard J. Sisselman, president of Results Securities Inc. and the Internet company us-funds.com Inc., has pleaded guilty to a single count of securities fraud...
MutualFundWire.com - Tuesday, July 10, 2007 - Reader Rating: 5
Investor Class Action Partner Pleads Guilty
More than a year after Milberg Weiss & Bershad got hit with a 20-count indictment for an alleged lawsuit kickback scheme, the attorney formerly in charge of the New York City-based class action firm's finances agrees to hand over $8 million and cooperate with prosecutors...
MutualFundWire.com - Tuesday, July 10, 2007 Views
StanCorp Wraps Up Acquisition of Invesmart
It's official: StanCorp Financial Group now owns Invesmart...
401kWire.com - Monday, July 10, 2006 - Reader Rating: 3
Consulting Firm Enhances Focus On DC Industry
The West Coast firm has hired Hewitt Associates' director of retirement research to lead its defined contribution practice. ..
401kWire.com - Monday, July 10, 2006
West Coast Workers Choose East Coast Provider
The Sacramento chapter of an international union has selected the Boston firm to manage the self-directed portion of its DC plan...
401kWire.com - Monday, July 10, 2006
Franklin Strikes With A Balance
We knew from an April SEC filing that Franklin Templeton Investments had in the works a fund mixing corporate, foreign and government bonds with dividend-paying stocks and convertible securities...
MutualFundWire.com - Monday, July 10, 2006 Views
Transfer Agency Software Provider Adds New Tool
A California-based provider of financial services software has a new product to entice mutual fund companies...
MutualFundWire.com - Monday, July 10, 2006 Views
Mutual of Omaha Names Distribution Head For Retirement Services
The Nebraska firm has appointed a former executive from MassMutual to the newly created post...
401kWire.com - Monday, July 10, 2006
DIA Recruits West Coast VP
The new executive will lead a client relationship development team...
401kWire.com - Monday, July 10, 2006
Fiserv Teams With RIA To Offer CIFs
The new funds are available to retirement plan professionals whose plan assets are held by the independent trust company...
401kWire.com - Monday, July 10, 2006
Morningstar to Buy Australian Financial Info Firm
Morningstar expects to complete its purchase of an Australia-based information, research, and financial trade publishing firm this month...
MutualFundWire.com - Monday, July 10, 2006 Views
Fundamental Indexing, Part II: Cap-Weighted Strikes Back
"Fundamental Indexing" has made waves in the investment management community over the past year and a half, with assets invested climbing from $100 million at the end of 2004 to about $4 billion today. Even its critics -- notably Vanguard founder Jack Bogle and Princeton economist Burt Malkiel -- concede it's getting results in terms of returns. But, they argue, capitalization-weighted indices still make more sense in the big picture. ..
MutualFundWire.com - Monday, July 10, 2006 Views - Reader Rating: 2.33
Boston Asset Manager Hires New Salesman
The new recruit is the company's executive director of North American institutional sales...
401kWire.com - Monday, July 10, 2006 - Reader Rating: 2
Pru To Launch Annuity Product For DC Plans
The offering is designed to provide principal protection and stock market exposure coupled with a guarantee on investment gains...
401kWire.com - Monday, July 10, 2006
Empire State Software Company Mines Participant Data
The new application suite helps advisers get business outside the 401k...
401kWire.com - Monday, July 10, 2006
NJ Firm Expands Lifestyle Choices
A Jersey City-based asset manager has grown its asset allocation line-up with a fifth offering in its fund-of-funds set...
MutualFundWire.com - Monday, July 10, 2006 Views
Suits On The Horizon In Spitzer Insurance Probe
The investigation is expected to result in lawsuits and settlements in the several months...
401kWire.com - Monday, July 10, 2006
Hancock Tries Winning Recipe on Largest Caps
The success of John Hancock's $6.9 billion Classic Value Fund has prompted the company to repeat its sub-advisory model again and, now, a third time. The newest offer applies the same undervaluation-seekin method to a universe of "mega-cap" stocks from America's biggest corporations...
MutualFundWire.com - Monday, July 10, 2006 Views
Credit Union Group Prefers Provider
The National Association of Federal Credit Unions (NAFCU) Services Corporation will partner with an Empire State provider...
401kWire.com - Monday, July 10, 2006
Treasury Issues New 457 Regs
The guidelines for government DC plans get their first overhaul in 21 years...
401kWire.com - Thursday, July 10, 2003 - Reader Rating: 1.8
SunGard Buys UK Software Firm
The purchase will bolster its offerings to insurers...
401kWire.com - Thursday, July 10, 2003
Citi Names Florida Wholesaler
The provider fills the slot through a promotion...
401kWire.com - Thursday, July 10, 2003 - Reader Rating: 3
TPA Taps Senior Sales Manager
Pentegra Group has landed a new sales and marketing executive...
401kWire.com - Thursday, July 10, 2003 - Reader Rating: 2
Louisville Sponsor Offers Workers a Bet
The sponsor will add company stock to its plan despite the long shot nature of the investment...
401kWire.com - Thursday, July 10, 2003 - Reader Rating: 1
Baker Bill Creates Strange Bedfellows
Who is on whose side? The Baker Bill is creating new alignments in Washington...
MutualFundWire.com - Thursday, July 10, 2003 Views - Reader Rating: 3
Janus Junk Bond Manager
A high-yield specialist will start up his own asset management shop...
MutualFundWire.com - Thursday, July 10, 2003 Views
Pru Settles SEC Probe
The brokerage will pay $382,000 to settle the look into B share sales...
MutualFundWire.com - Thursday, July 10, 2003 Views - Reader Rating: 4
Senate Set for Tomorrow
The Senate Finance Committee will mark up its pension reform bill tomorrow...
401kWire.com - Wednesday, July 10, 2002
Citizens Speaks Out
The socially responsible firm weighs in on the President's address...
MutualFundWire.com - Wednesday, July 10, 2002 Views
Rising Sun for S&P
The fund rater wins a plum assignment to oversee the option in a high-profile Japanese plan. ..
401kWire.com - Wednesday, July 10, 2002
Adminstrator Taps CFO
The Bay State startup lands a CFO from the insurance industry as its latest new face...
401kWire.com - Wednesday, July 10, 2002
GainsKeeper Teams Up with MFS
A new alliance is formed...
MutualFundWire.com - Wednesday, July 10, 2002 Views
Nuveen Taps Administrator
The firm has made its choice for investment services...
MutualFundWire.com - Wednesday, July 10, 2002 Views - Reader Rating: 2.33
Mazzarella Finds a Place
The former Fido exec finds a home in wraps...
MutualFundWire.com - Wednesday, July 10, 2002
The Heat is On
The much-respected Washington Post is highlighting participant losses of $1.1 billion in the WorldCom 401k. ..
401kWire.com - Wednesday, July 10, 2002
AAL Gets a New Name
A rose by any other name......
MutualFundWire.com - Wednesday, July 10, 2002 Views
Look Up in the Sky
Is it a bird? Is it a plane? No, it is the new mutual fund superhero...
MutualFundWire.com - Wednesday, July 10, 2002 Views
Citizens Acquires Meyers Pride Value
The New Hampshire firm adds a new citizen to its fund family. ..
MutualFundWire.com - Tuesday, July 10, 2001 - Reader Rating: 3
Florida Follow-Up
Some more information on Florida's move to DC provided by Bill Sharpe and Tom Herndon in a conference call...
401kWire.com - Tuesday, July 10, 2001 - Reader Rating: 3
Russell Shies Away from Techs
Tech stocks no longer faves ... New socially responsible offerings on the FTSE ... Fido surveys ... Aberdeen bids ... Bloomberg intro's Euro indices ... Houlton on the move ... Fund launch ... Pedrick leaves Schwab ... Franklin fund reopened...
MutualFundWire.com - Tuesday, July 10, 2001 - Reader Rating: 3
Russell Shies Away from Techs
Tech stocks no longer faves ... New socially responsible offerings on the FTSE ... Fido surveys ... Aberdeen bids ... Bloomberg intro's Euro indices ... Houlton on the move ... Fund launch ... Pedrick leaves Schwab ... Franklin fund reopened...
401kWire.com - Tuesday, July 10, 2001 - Reader Rating: 3
ExpertPlan Teams Up
The firm has entered into an alliance...
401kWire.com - Tuesday, July 10, 2001 - Reader Rating: 3
Goldman Sachs Taps Funds Head
The Wall Street firm has tapped an executive from AllianceBernstein to head its fund sales and marketing efforts. ..
MutualFundWire.com - Tuesday, July 10, 2001 Views - Reader Rating: 3
OppenheimerFunds Hedges with Tremont
The fund unit of MassMutual purchases the hedge fund manager in a $140 million deal. ..
MutualFundWire.com - Tuesday, July 10, 2001 - Reader Rating: 3
Motley Fools Rush In
Welcome a new player to the 401k education marketplace...
401kWire.com - Tuesday, July 10, 2001 - Reader Rating: 3
MAXfunds Shows its Stuff
Are the days of the only funds sporting four and five-star Morningstar ratings numbered? A new fund tracker hopes so...
MutualFundWire.com - Monday, July 10, 2000 - Reader Rating: 3
$400 Million Up For Grabs in SC
A South Carolina plan sponsor has settled on an administrator but is still considering options for its $400 million 401k...
401kWire.com - Monday, July 10, 2000 - Reader Rating: 3
ADP Gets Advice
mPower will be the advisor behind the nation's small company payroll powerhouse...
401kWire.com - Monday, July 10, 2000 - Reader Rating: 3
SunAmerica Taps Sales Manager
SunAmerica has named a manager to head its sales efforts in the East Coast...
MutualFundWire.com - Monday, July 10, 2000 - Reader Rating: 3
ICMA Taps S&P for Advice
As the first round of alliances between bundled vendors and online advisors draws to a close ICMA announces its choice...
401kWire.com - Monday, July 10, 2000 - Reader Rating: 3
InteractiveFunds Raises First-round Funding
The company behind the site that lets investors weigh in on their fund's investments -- MutualMinds.com -- has taken a bite at the venture capital banquet...
MutualFundWire.com - Monday, July 10, 2000 - Reader Rating: 3
July 10, 2000
Merrill may cut deeply ... Why India?..
MutualFundWire.com - Monday, July 10, 2000 - Reader Rating: 3
July 10, 2000
Merrill may cut deeply ... Why India?..
401kWire.com - Monday, July 10, 2000 - Reader Rating: 3
The Schwab Shuffle Continues: Bettinger Named COO
In late May, Schwab announced that John Philip Coghlan, president of Schwab Institutional, would be taking additional responsibilities at the San Francisco-based company (see story). At the time, a Schwab spokesperson told the 401kWire that any void left by Coghlan as he fulfilled his new responsibilities would be filled by the Schwab's "deep bench." And, it looks like that deep bench is in Akron, Ohio -- not San Francisco...
401kWire.com - Friday, July 10, 1998 - Reader Rating: 3
Weekly RFP Roundup: Week of July 6, 1998
The Weekly Roundup is a regular Friday afternoon column examining the week's RFPs, both those that appeared on our pages and the pages of other publications...
401kWire.com - Friday, July 10, 1998 - Reader Rating: 3
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