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News Stories Archives - Since 1998
Filings for Fundsters - June 21, 2017
A compilation of the latest SEC filings...
MutualFundWire.com - Wednesday, June 21, 2017
Lacusky Consolidates Stadion's Sales Teams
Watch for the retail team to talk retirement too.....
MutualFundWire.com - Tuesday, June 20, 2017
20 Months Later, Trump Might Pick a Familiar SEC Nominee
To fill one of the two open spots on the commission, word is that the President is likely to choose an academic who worries about the consolidating B-D world and the DoL rule...
MutualFundWire.com - Tuesday, June 20, 2017
Zhang Divides a Top Am Century Exec's Role
One of Zhang's CIOs will be leaving American Century at the end of the month and two PMs at the firm will divide up and take over his duties. ..
MutualFundWire.com - Monday, June 19, 2017
Filings for Fundsters - June 19, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Monday, June 19, 2017
Week In Preview, June 19-25
A host of industry events will bring fundsters and FAs to Gotham this week...
MutualFundWire.com - Monday, June 19, 2017
Filings for Fundsters - June 16, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Friday, June 16, 2017
What Will Aaron Rodgers Tell FAs and Fundsters?
After the Pershing team and attendees took over a whole San Diego block last night, this NFL star will take the main stage this morning for the final session of Insite 2017...
MutualFundWire.com - Friday, June 16, 2017
Jack "Not a Math Guy" Lew Shares Insite At Pershing
The former U.S. Treasury Secretary took the main stage yesterday for day one of the Pershing Insite conference. Silicon Valley types and a famous photographer will follow today...
MutualFundWire.com - Thursday, June 15, 2017
Pershing Insite 2017 Begins!
The broker-dealer and RIA clearing and custody ally is gathering FAs and fundsters for its annual conference, this time in SoCal...
MutualFundWire.com - Wednesday, June 14, 2017
Catalyst Adopts a Fund From an Ally
Yet Jerry Szilagyi will keep the other firm on as the fund's subadvisor...
MutualFundWire.com - Tuesday, June 13, 2017
Filings for Fundsters - June 12, 2017
A compilation of the latest SEC Filings...
MutualFundWire.com - Monday, June 12, 2017
Week In Preview, June 12-18
Fundsters in Berlin and SoCal, 401(k) folks in the Big Apple, and deadlines for applying for two awards...
MutualFundWire.com - Monday, June 12, 2017
A Royal Value Shop Celebrates a Crystal Anniversary
These funds were launched fifteen years ago next week.....
MutualFundWire.com - Friday, June 09, 2017
Filings for Fundsters - June 9, 2017
A compilation of the latest SEC filings...
MutualFundWire.com - Friday, June 09, 2017
The Fiduciary Rule Era Arrives, Sort of, But Will It Last?
Today the DoL's fiduciary reg starts taking effect. Yet the regulator has provided caveats, full implementation is still a ways off, and members of Congress are trying to undo the reg...
MutualFundWire.com - Friday, June 09, 2017
Clayton Officially Appoints Two Top Cops at the SEC
It's official, the Division of Enforcement has two new directors.....
MutualFundWire.com - Friday, June 09, 2017
Lebenthal Passes the Reins at Lebenthal AM
A pair of successors is taking over the asset manager, which had been expected to be sold to new owners by Q3. ..
MutualFundWire.com - Thursday, June 08, 2017
Will an ICI-Adjacent SEC Vet Replace Grim?
Jay Clayton has reportedly picked a new chief for the regulatory agency's division of investment management. And the last name should ring some bells for fundsters...
MutualFundWire.com - Thursday, June 08, 2017
Filings for Fundsters - June 7, 2017
A compilation of the latest SEC filings...
MutualFundWire.com - Wednesday, June 07, 2017
A 10,000-FA B-D Rationalizes Its Menu
Fund rationalization fever continues to spread, this time leading a broker-dealer to remove more than 40 percent of the funds previously available to its advisors...
MutualFundWire.com - Wednesday, June 07, 2017
Filings for Fundsters - June 6, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Tuesday, June 06, 2017
Cambria Preps One Alliance and Plans Another
The move follows a big ETF launch last month. And more funds are in this SoCal firm's pipeline.....
MutualFundWire.com - Monday, June 05, 2017
Week In Preview, June 5-11
401(k) folks in Philly and D.C., indie B-D execs in D.C., and fundsters golfing in New England are a few of the events on the agenda this week...
MutualFundWire.com - Monday, June 05, 2017
Filings for Fundsters - June 2, 2017
A compilation of the latest SEC filings! ..
MutualFundWire.com - Friday, June 02, 2017
MFEA Gives Fundsters More Time to Shine
You still have time to submit your company for these awards.....
MutualFundWire.com - Friday, June 02, 2017
Clayton Enters the Fiduciary Fray as Two B-D Giants Make Tweaks
The SEC chief wants to hear from you. Meanwhile, another big broker-dealer is standing by retirement account commissions, sort of, and an indie B-D makes changes around no-load mutual funds, fixed annuities, and UITs...
MutualFundWire.com - Friday, June 02, 2017
A Third-Party Marketing Firm Launches a Mutual Fund Newsletter
This company focuses on helping the underdogs in the world of mutual fund investing. Now they aim to take a new approach to helping clients...
MutualFundWire.com - Thursday, June 01, 2017
Four Veteran Sales Execs Join An Alts Distro Startup
S2K Financial hires four financial veterans to join their team. Steven Kantor, the former global head of Credit Suisse Capital Markets and current CEO of S2K, plans to take product distribution by storm with his team's new approach...
MutualFundWire.com - Thursday, June 01, 2017
Filings for Fundsters - May 31, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Wednesday, May 31, 2017
Follow the Fundsters - May 30, 2017
Hires, fires, and the like!..
MutualFundWire.com - Tuesday, May 30, 2017
Week In Preview, May 30-June 4
Advisors in Sin City, fixed income folk in Gotham, and 401(k) recordkeepers outside our nation's capital...
MutualFundWire.com - Tuesday, May 30, 2017
Filings for Fundsters - May 26, 2017
A compilation of the latest SEC Filings! ..
MutualFundWire.com - Friday, May 26, 2017
This Midwestern Startup Is Hiring
The firm recently added its first ETF to two platforms...
MutualFundWire.com - Friday, May 26, 2017 - Reader Rating: 1
Family Offices Bet $25MM on a Cyborg Advisor Alliance
Forget roboadvice! With $25 million in a funding, a Silicon Valley startup teams up with a Midwestern advisory firm to create a hybrid...
MutualFundWire.com - Friday, May 26, 2017
A Wirehouse Chooses T Shares
The moves comes in advance of the initial quasi-implementation of part of the DoL rule next month...
MutualFundWire.com - Thursday, May 25, 2017
Filings for Fundsters - May 24, 2017
A compilation of the latest SEC filings! ..
MutualFundWire.com - Wednesday, May 24, 2017
Will Fundsters Create an Indexing Consortium?
The FT wonders if fee pressure and rising index provider fees will drive ETF shops and other asset managers to team up to create their own alternative...
MutualFundWire.com - Wednesday, May 24, 2017
DoL Rule Non-Delay Disappointment Spreads
The industry reacts to Alex Acosta's big wait and see news...
MutualFundWire.com - Tuesday, May 23, 2017
While Not Extending the Fiduciary Reg Delay, DoL Smiles on Clean Shares
Yet the new Labor Secretary is calling for more public input and leaves the door open to further changes or delays down the line...
MutualFundWire.com - Tuesday, May 23, 2017
Filings for Fundsters - May 22, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Monday, May 22, 2017
Week In Preview, May 22-28
Paris and Highland both come to Gotham, while fundsters converge across the pond. Meanwhile, 401k folk are already gathered in Music City and Sin City...
MutualFundWire.com - Monday, May 22, 2017
Two Major Factors Sealed The Deal for This 27-Year-Old Money Manager
American Beacon acquired a majority stake in the Atlanta-based firm...
MutualFundWire.com - Friday, May 19, 2017
Filings for Fundsters - May 19, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Friday, May 19, 2017
Will a Kraus-less AB Still Follow Kraus' Path?
The Axa-backed asset manager's new chief insists that he will stay the course...
MutualFundWire.com - Thursday, May 18, 2017
Schwab and Guggenheim Had a Huge April, and BlackRock Nudges Past Vanguard
M* releases its latest monthly fund flows report...
MutualFundWire.com - Wednesday, May 17, 2017
Rob Lovelace Speaks ... About the Markets
The FT interviews the Capital Group PM, who is the grandson of the mutual fund titan's founder...
MutualFundWire.com - Wednesday, May 17, 2017
Sullivan Anoints Sales and Marketing Chiefs at Legg
One exec shifts, three join the executive committee, one leaves and one no longer shares his role. ..
MutualFundWire.com - Tuesday, May 16, 2017
Brady Hires Thornburg's First Global Distro Chief
An intermediary distribution veteran returns to the mutual fund biz in a top role for the New Mexico-based mutual fund shop...
MutualFundWire.com - Monday, May 15, 2017
Week In Preview, May 15-21
Fundster-focused lawyers in NYC will talk ETFs, while retirement plan industry insiders will gather there as well as in Chicago, Nashville, and Vegas...
MutualFundWire.com - Monday, May 15, 2017
Filings for Fundsters - May 12, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Friday, May 12, 2017
ALFI Pitches U.S. Fundsters on Post-Brexit Options
The Luxembourg fund trade group's team crosses the pond to gather folks for a breakfast briefing in the Big Apple...
MutualFundWire.com - Friday, May 12, 2017
Federated's Fight With an Ex-Employee Cascades
A famously shy family office takes Chris Donahue to task for dragging a charitable investing titan into a legal battle...
MutualFundWire.com - Friday, May 12, 2017
After a Third Deal, an Aggressive Acquirer Resolves to Keep Hunting
Their parent holding company also has a new brand. Watch for them to buy or team up with fixed income, international, or liquid alts investment teams...
MutualFundWire.com - Thursday, May 11, 2017 - Reader Rating: 2
Meet Aberdeen and Standard Life's Chief in the Americas
As the merging British giants brace for 800 job cuts worldwide, it's not clear how their businesses on this side of the pond will be affected...
MutualFundWire.com - Thursday, May 11, 2017
Why Axa Replaced Kraus Atop AB
Less than two weeks after Axa replaced the AB's chief and most of its board, Axa's chief explains the abrupt AB leadership change while pitching an IPO spinoff plan for all of Axa's U.S. businesses...
MutualFundWire.com - Wednesday, May 10, 2017 - Reader Rating: 5
Guerette Revamps Ultimus' Distro Support
The mutual fund back office provider and series trust specialist is rolling out a new program aimed at streamlining information and client communication...
MutualFundWire.com - Tuesday, May 09, 2017
Can Roman Make Pimco More Quanty?
The fixed income giant's CEO says he's adding 100 employees over the next year...
MutualFundWire.com - Tuesday, May 09, 2017
After a Distro Pivot, Piscitello Creates a New Gemini Team
Watch for the Northern Lights Distributors exec to spread a consulting framework for relationship across Gemini's business lines. ..
MutualFundWire.com - Monday, May 08, 2017
This Week In Preview, May 8-14
Events this week include: an MFEA council in Baltimore; ALFI, MMI, and Sohn events in NYC; and P&I events in Dallas and San Francisco...
MutualFundWire.com - Monday, May 08, 2017
Filings for Fundsters - May 5, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Friday, May 05, 2017
Follow the Fundsters - May 9, 2017
Hires, fires, and the like!..
MutualFundWire.com - Friday, May 05, 2017
Stevens Calls for the SEC to Take On DoL
From the main stage at the ICI GMM, the trade group's chief gives fundsters a regulatory overview...
MutualFundWire.com - Friday, May 05, 2017
Betterment's Co-Founder Talks to Fundsters
A Betterment cofounder takes the ICI GMM main stage alongside a private bank chief, a mutual fund chief, and a wirehouse bigwig...
MutualFundWire.com - Friday, May 05, 2017
ICI GMM 2017 Wrap Up
After two days of sessions and networking, the mutual fund industry trade group's flagship Washington, D.C. conference will wind down this morning after a regulatory discussion from the chief and more...
MutualFundWire.com - Friday, May 05, 2017
Who Will Gilbert Bolt On Next?
The Aberdeen chief talks on the main stage at the ICI GMM and hints at his plans for all that free cash flow after Aberdeen and Standard Life...
MutualFundWire.com - Thursday, May 04, 2017
The New Fund Fuss - May 4, 2017
The latest news on funds!..
MutualFundWire.com - Thursday, May 04, 2017
An ESG Guru Builds a Putnam Team
Equity CIO Aaron Cooper makes a second big team change in as many months...
MutualFundWire.com - Wednesday, May 03, 2017
Clayton Is About to Take Over the SEC
Four months after being picked by then-President-elect Trump, the veteran Wall Street M&A attorney has been confirmed by the U.S. Senate...
MutualFundWire.com - Wednesday, May 03, 2017
A Wasatch Alum Starts a Global Boutique, With a Comp Twist
A Utah-based firm powered its first funds this spring, focusing on overseas markets, in partnership with Grandeur Peak Global Advisors. ..
MutualFundWire.com - Tuesday, May 02, 2017
Three Fund Firm Mergers Near Their Finish Lines
Meanwhile, a fourth is expected to close next quarter...
MutualFundWire.com - Tuesday, May 02, 2017 Views
Week In Preview: ICI GMM and More
Paul Schott Stevens and his team are bringing fundsters back to D.C. this week. AIMSE, Envestnet, Gerstein Fisher, IMCA, and the PSCA are also holding events...
MutualFundWire.com - Monday, May 01, 2017
Filings for Fundsters - April 28, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Friday, April 28, 2017
Fink Paints an Un-Pretty Picture of Asset Manager M&A
On stage at the M* conference, the BlackRock chief shares thoughts on the future of BlackRock, wealth and asset management, self-indexing, and more...
MutualFundWire.com - Friday, April 28, 2017 Views
Flanagan Makes a $25B AUM ETF Deal Across the Pond
A private equity giant and five big banks agree to sell a European ETF shop to Invesco...
MutualFundWire.com - Friday, April 28, 2017
TD Ameritrade Makes a Strategic Deal With DFA
The RIA custodian dramatically cuts the price of trading shares of one mutual fund shop...
MutualFundWire.com - Thursday, April 27, 2017
What's Next For Gemini's Andrew Rogers?
The outgoing Gemini Companies chief says he's "way too young to retire." Watch for him to make his next move this fall...
MutualFundWire.com - Wednesday, April 26, 2017
A Midwestern Advisory Firm Enters the Retail Fund Biz
Chicago-based Hedeker Wealth Management launched its first mutual fund...
MutualFundWire.com - Wednesday, April 26, 2017
Filings for Fundsters - April 26, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Wednesday, April 26, 2017
M* and Rekenthaler vs Converted Hedge Funds
The columnist takes to task mutual funds that started out as hedge funds, and the investment research titan prepares to stop providing certain information about such mutual funds...
MutualFundWire.com - Wednesday, April 26, 2017
Hesselbirg Pitches a Gemini Evolution, Not a Revolution
The mutual fund back-office and series trust provider's new chief lays out his vision, and introduces himself to clients and vendor allies...
MutualFundWire.com - Tuesday, April 25, 2017
Week In Preview: Early M* in Chitown, Gemini in the Big Easy
And those are just two of the industry events scheduled for the next five days...
MutualFundWire.com - Monday, April 24, 2017
Advisors Hate Apps
Advisors don't need another asset manager's app...
MutualFundWire.com - Friday, April 21, 2017
ETF Insiders Convene, and SHE Has Another Great Night
Last night ETF industry insiders from around the globe gathered in midtown Manhattan. SSgA, Deutsche, and the NYSE took home the most trophies in the Americas...
MutualFundWire.com - Friday, April 21, 2017
Getting to Know Mansueto's Successor
The new M* CEO talks to a local paper about taking over the company, being compared with an Indian movie star, and where he's going on his next six-week sabbatical...
MutualFundWire.com - Friday, April 21, 2017
Morrison Expects Even More Big Mergers, and Fidelity Might Be a Buyer?!?!
The Boston Behemoth's asset management chief talks to the FT, predicting an acceleration of M&A in the biz...
MutualFundWire.com - Thursday, April 20, 2017
Pimco Rockets Back, But Passive Titans Still Dominate
M* releases its latest monthly mutual fund flows report, and the fixed income giant brought in billions ... but two big indexers brought in tens of billions...
MutualFundWire.com - Wednesday, April 19, 2017
BlackRock-Mellon-Stanley-AIG Wasn't Meant to Be
In a long and wide-ranging interview, Larry Fink talks about the deals that he passed up on, and the ones he's still looking for...
MutualFundWire.com - Wednesday, April 19, 2017
Filings for Fundsters - April 17, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Monday, April 17, 2017
Week In Preview: Fundsters Gather in NYC and Directors in DC
FRA, kasina, MFDF, and NAGDCA are all holding events this week...
MutualFundWire.com - Monday, April 17, 2017
One Year Into a $6.5B Empire State Shop's Mutual Fund Journey
The 25-year-old firm has now more than $90 million in mutual fund AUM. ..
MutualFundWire.com - Thursday, April 13, 2017 - Reader Rating: 5
A Beantown Shop Builds Advisor Distro
LMCG Investments just hired a managing director of national accounts...
MutualFundWire.com - Wednesday, April 12, 2017 Views
Prepare for the Thunder
Asset managers should start pondering the implications of a younger force of advisors...
MutualFundWire.com - Wednesday, April 12, 2017
Fundsters Face Self-Dealing Charges
A duo of asset managers will have to defend themselves in court...
MutualFundWire.com - Tuesday, April 11, 2017
Filings for Fundsters - April 7, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Friday, April 07, 2017
A Wirehouse Commits to DoL Rule Changes
One wirehouse says it will move forward with planned changes, despite the fiduciary reg's delay...
MutualFundWire.com - Friday, April 07, 2017
The New Fund Fuss - April 6, 2017
The latest news on funds!..
MutualFundWire.com - Thursday, April 06, 2017
Baum Hires a New Chief for Gemini
Another series trust provider gets new leadership...
MutualFundWire.com - Thursday, April 06, 2017 Views
Ivascyn Regains One of Pimco's Old Crowns, With a Newer Fund
The "bond king" title once held by Bill Gross returns to his old shop ... but not for his old flagship mutual fund...
MutualFundWire.com - Thursday, April 06, 2017
What's Next for Redwine?
After 26 years leading U.S. Bancorp Fund Services, Joe Redwine talks about his plans and reflects on the future of asset management...
MutualFundWire.com - Wednesday, April 05, 2017
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