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News Stories Archives - Since 1998
B-Ds Are Shifting Away From Direct Fund Biz
As the DoL's possible final implementation date approaches, direct or so-called "check-and-app" mutual fund business is out of favor at broker-dealers...
MutualFundWire.com - Wednesday, July 19, 2017
Week In Preview, July 17-23
401k plan advisors are pulling a Jimmy Stewart and going to Washington...
MutualFundWire.com - Monday, July 17, 2017
20 Fund Firms Team Up With LPL For a New Mini-Mart
The Mutual Fund Only platform will be available to LPL advisors and institutions in early 2018.....
MutualFundWire.com - Thursday, July 13, 2017
Follow the Fundsters - June 27, 2017
Fires, Hires, and the Likes!..
MutualFundWire.com - Tuesday, June 27, 2017
Week In Preview, June 26-July 2
401(k) folk are gathering in the Midwest, while other retirement industry insiders and fixed income veterans are converging in the Big Apple...
MutualFundWire.com - Monday, June 26, 2017
Follow the Fundsters - June 5, 2017
Hires, fires, and the like! ..
MutualFundWire.com - Monday, June 05, 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
B-D 401k Execs Chin Stroke on T-Shares
Will big broker-dealers use the new share class in a post-DOL? Maybe not, at least for now.....
MutualFundWire.com - Thursday, June 01, 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
Langlois Joins a Fidelity Subsidiary
The Fidelity exec left early this month. ..
MutualFundWire.com - Thursday, May 18, 2017
These Fund Firms and B-Ds Are Seen as Great Employers
A host of familiar names land on new lists of the best midsize and large companies to work for in the U.S...
MutualFundWire.com - Tuesday, May 16, 2017 Views
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
Fund Rationalization Fever Spreads Beyond the Wires
Watch for smaller B-Ds to make some tough lineup choices, too, even as fiduciary reg limbo continues...
MutualFundWire.com - Thursday, March 09, 2017 Views
This Exec Might Buy Your Shop and Bolt It On to a British Giant
A multinational insurer just hired a Goldman alum as M&A chief. Watch for him to do asset management deals here in the U.S...
MutualFundWire.com - Friday, March 03, 2017 Views
Fidelity Dishes Out a Serving of Rationalization-Lite
Fidelity streamlines its third-party fund offerings...
MutualFundWire.com - Thursday, February 16, 2017 Views
Will You Help Elizabeth Warren Save the Fiduciary Reg?
The outspoken populist politician is trying to rally big B-Ds, mutual fund shops, banks, and insurers to fight an expected delay or retraction of the rule after President-elect Donald Trump takes office today...
MutualFundWire.com - Friday, January 20, 2017 Views
Prepare to Cross a Lot of Mutual Fund Ts
A new kind of share class is coming, in a big way. John Rekenthaler breaks it down for you...
MutualFundWire.com - Friday, January 06, 2017 Views - Reader Rating: 5
LPL Brings on an Advisory Product Exec
The broker-deal has a new SVP of advisory product management..
MutualFundWire.com - Tuesday, December 13, 2016
Mutual Fund Milestones - December 8, 2016
A round-up of the mutual fund industry's latest accomplishments!..
MutualFundWire.com - Thursday, December 08, 2016
Follow the Fundsters - December 7, 2016
Hirings, firings and the like!..
MutualFundWire.com - Wednesday, December 07, 2016 Views
LPL Chief Mark Casady Set to Retire
LPL announced Mark Casady's retirement, effective at the beginning of next year...
MutualFundWire.com - Monday, December 05, 2016
As Deutsche and Pioneer Rumors Swirl, Are Legg Mason and LPL On the Block, Too?
Separate rumors are now swirling around a publicly-traded B-D and a publicly-traded asset manager. Meanwhile, there is no word yet on the fates of Deutsche Asset Management or Pioneer. And the Janus-Henderson merger is still months away...
MutualFundWire.com - Friday, October 14, 2016 Views
Here Are the Nine Fund Firms On LPL's New NTF Platform
The platform is scheduled to roll out on December 1...
MutualFundWire.com - Wednesday, August 24, 2016 Views - Reader Rating: 5
Here's How LPL's MF Brokerage Biz Is Changing Thanks to the DoL
The giant indie B-D is transforming how its affiliated advisors handle commission-based mutual fund business...
MutualFundWire.com - Tuesday, August 23, 2016 Views
LPL Will Launch New Mutual Fund Accounts in Q4
Dan Arnold talks to FAs at the indie B-D's giant annual Focus conference in San Diego...
MutualFundWire.com - Tuesday, August 23, 2016 Views
Casady Rallies LPL's Can-Do Spirit Around Three Big Areas
The chief of the largest indie B-D in the country kicks off the giant's 2016 national conference, this time in SoCal...
MutualFundWire.com - Monday, August 22, 2016
Preview of LPL Focus 2016
This weekend LPL will kick off its giant annual conference in its West Coast hometown...
MutualFundWire.com - Friday, August 19, 2016 Views
LPL's Robo-Future Is Now
The godfather of indie B-Ds teams up with a recently-acquired roboadvisor...
MutualFundWire.com - Thursday, April 14, 2016 Views
Snap! Are Social Media and Robo-Advice About to Converge?
Word is that a SoCal tech player is working on its own robo-advisor...
MutualFundWire.com - Wednesday, January 27, 2016 Views
For $13.75MM, a Bank Settles Involving Mutual Funds and a Now-Sold Biz
Finra smites a multinational, accusing it of unsuitable mutual fund switches, failure to supervise such switches, and falling through on pricing breakpoints. The settlement comes less than a month after the multinational sold the business in question...
MutualFundWire.com - Tuesday, December 29, 2015 Views
The 2015 Market Counsel Summit In Pictures
This week about 500 people, mostly RIAs and their vendor allies, gathered in south Florida for MarketCounsel's eighth annual summit. Here's a few glimpses of how it all went down...
MutualFundWire.com - Thursday, December 10, 2015 Views
Recruiters Grill Four Custodians On RIA Mismatch and More
MarketCounsel's biggest panel ever actually includes two panels: four RIA custodian executives answering questions being asked by four industry recruiters...
MutualFundWire.com - Wednesday, December 09, 2015 Views
500 RIAs and Allies Converge on Miami
A key RIA-ally will kick off its eighth annual conference on Monday...
MutualFundWire.com - Friday, December 04, 2015 Views
Un-Waived A Shares Loads Land Five More B-Ds In $18MM of Hot Water
Three months after ordering five broker-dealers to pay more than $30MM, and more than a year after smiting Merrill for $97.2 million, Finra is at it again...
MutualFundWire.com - Wednesday, October 28, 2015 Views
The Robo Revolution Is About to Take the Indie B-D World By Storm
Get direct-to-consumer, online-only roboadvice. Nearly two-thirds of independent broker-dealers plan to offer a roboplatform...
MutualFundWire.com - Thursday, October 08, 2015 Views
Are You the $3B Missing Piece For This Banking Giant?
Top dogs at two big foreign financial services players are making noises about buying in the U.S. asset management business. What's the deal?..
MutualFundWire.com - Wednesday, August 12, 2015 Views
LPL Focus 2015 In Pictures
Here's a visual look at the giant indie B-D's conference...
MutualFundWire.com - Thursday, July 30, 2015 Views
LPL Teams Up With M* and More Than 50 Others
The giant indie B-D and RIA custodian is making it easier for its FAs to access a host of different tools...
MutualFundWire.com - Thursday, July 30, 2015 Views
LPL's Robo Plan Catches Reporters' Focus
The largest indie B-D in the biz gathered more than 4,000 FAs in Beantown this week. Senior execs at the B-D had lots to talk about, and it was their advisor-friendly robo-advisor idea that won the most press attention...
MutualFundWire.com - Thursday, July 30, 2015 Views
This LPL Platform Is About to Get Much More Important
The giant indie B-D's new president unveils some changes that should make one of LPL's home-office-powered platforms more attractive to FAs. Fundsters, take heed...
MutualFundWire.com - Tuesday, July 28, 2015 Views
Casady Pivots the LPL Paddleboard to Growth
The giant indie B-D's chairman and CEO updates more than 4,000 of his FAs on where LPL stands today...
MutualFundWire.com - Monday, July 27, 2015 Views
4,000 FAs Descend On Boston
It's the middle of summer, and that means it's time for the gigantic annual conference of the largest indie B-D in the biz...
MutualFundWire.com - Sunday, July 26, 2015 Views
Five B-Ds Dodge Fines, But Not Restitution, Over Un-Waived Loads
The B-Ds in question have been ordered to pay more than $30 million in combined restitution. All five B-Ds reported the potential oversights to Finra after the SRO fined Merrill Lynch a year ago over similar issues...
MutualFundWire.com - Monday, July 06, 2015 Views
And the Winners Are ... Empower, Vanguard, and Many More
The stars aligned last night in midtown Manhattan for fundsters from 12 shops and other firms...
MutualFundWire.com - Friday, March 27, 2015 Views
LPL's Prez Takes Over an Insti Asset Manager
Robert Moore is leaving the giant indie B-D for a top spot at a $108B AUM shop. Meanwhile, Mark Casady names Moore's successor and searches for a CFO...
MutualFundWire.com - Wednesday, March 04, 2015 Views
2014 In Review: the Year In 401k
It was a year of flux on the advisor-sold side of the defined contribution retirement plan business...
MutualFundWire.com - Tuesday, December 30, 2014 Views
Which ETFers Are the Best of 2014?
The self-proclaimed "leading authority on exchange-traded funds" just opened nominations for its 2nd annual awards to recognize the best of the best in the ETF business...
MutualFundWire.com - Tuesday, December 02, 2014 Views
The Gross Fallout? $1 Billion a Day
The outflows continue at Pimco, yet they're slowing. Meanwhile, the firm is offering non-partners more to stick around longer...
MutualFundWire.com - Wednesday, November 05, 2014 Views
Moore Sees 401k as a Huge Growth Area For LPL: Big Fund Firms Are Buying In
This weekend dozens of asset managers and other financial services firms gathered outside Phoenix to reach the elite retirement plan advisors aligned with the nation's largest indie B-D...
MutualFundWire.com - Monday, October 27, 2014 Views
Two Voices Leave LPL
Execs at the giant indie B-D are searching for a new media relations chief after two spokespeople move on...
MutualFundWire.com - Friday, October 17, 2014 Views
An Ex-LPL Bigwig Makes an RIA Splash. Are Mutual Funds Next On His Agenda?
Where are these former indie B-D big shots now?..
MutualFundWire.com - Thursday, October 02, 2014 Views
Gross Puts Money in Motion
Everyone knows that Bill Gross' jump to Janus will put assets in play, the open question is how much...
MutualFundWire.com - Monday, September 29, 2014 Views
Seen & Heard: LPL focus 2014
It was more like a family block party with loads of financial high tech. Everything was good from Diego to the Bay...
MutualFundWire.com - Thursday, August 14, 2014 Views - Reader Rating: 5
LPL San Diego: Bob and Lee Woodruff Talk Humor, Love and War Coverage
Former ABC News co-anchor Bob Woodruff and his wife Lee talk about the challenges and triumphs of marriage during his career as a journalist...
MutualFundWire.com - Tuesday, August 12, 2014 Views
LPL San Diego Day 2: Where Are You in the Innovation Wave?
LPL executives discussed the importance of advisor panels, compliance initiatives, and the waves of innovation in the American economy...
MutualFundWire.com - Tuesday, August 12, 2014 Views
LPL Focus 2014 Day One: To Be Great, Think Like a Hedge Hog
Nearly 6,000 advisors, fundsters and financial professionals meet in San Diego to discuss the future of the industry and how to break free from mediocrity...
MutualFundWire.com - Monday, August 11, 2014 Views - Reader Rating: 5
361's Growth Recipe Now Calls for an Accounts Exec
Florence's 361 Capital aims to double its sales organization over the next year. First on the dance card, someone with a nose for national accounts, says sales chief Josh Vail...
MutualFundWire.com - Friday, August 08, 2014 Views
An LPL Vet Takes Over Fund Selection
The indie B-D giant picks an eight-year company vet to oversee due diligence and more...
MutualFundWire.com - Tuesday, July 08, 2014 Views - Reader Rating: 4
Get to Know the New Kevin Keefe
The recently hired independent B-D prez knows a lot about funds...
MutualFundWire.com - Wednesday, July 02, 2014 Views
Two Fund Selectors Say Goodbye to LPL
A pair of gatekeepers in Beantown are leaving the godfather of indie B-Ds...
MutualFundWire.com - Monday, June 23, 2014 Views
David Basten Assembles His $1B Dream Team
Managing director of Yorktown Management wants to break the billion dollar mark with API Funds something bad. He just hired a Dreyfus alum to help, and plans to hire two more externals, some internals and a national accounts honcho. ..
MutualFundWire.com - Thursday, May 08, 2014 Views - Reader Rating: 4
New Brinker Funds Get Nods from Custodial Platforms
Several prominent custodial bank platforms are bringing on Brinker Capital's new alternative mutual funds...
MutualFundWire.com - Friday, April 25, 2014 Views
Innealta Intros a Fund, and Beefs Up Sales
The AFAM Capital affiliate is building out its sales force to help pitch its new and existing strategies to a range of retail clients...
MutualFundWire.com - Wednesday, April 09, 2014 Views
Here's the Drill-Down of LPL's Valentine's Deals
LPL's share repurchase initiative has led to a fair bit of sweetheart trading during the week of Valentine's Day. ..
MutualFundWire.com - Friday, February 21, 2014 Views
BPV Readies to Spring Forward
The Knoxville fund firm has hired a subadvisor; will launch three funds; and hire six to nine distribution folk. It has entered agreements with three more fund supermarkets and is hungry for yet more managers...
MutualFundWire.com - Tuesday, January 21, 2014 Views
This Firm Has No Wholesaling Staff, and Loves It
Recently-hired distribution chief at $4B firm explains how breaking from the traditional sales obsession can help...
MutualFundWire.com - Wednesday, January 15, 2014 Views - Reader Rating: 4
Hennessy Names a Distribution Head
Exec in newly-created position will helm the national accounts, sales and relationship management teams...
MutualFundWire.com - Thursday, December 19, 2013 Views
A New England Fund Firm Searches For a New Prez
Updated | Two more top executives leave this mutual fund shop, just months after a CEO change...
MutualFundWire.com - Friday, December 13, 2013 Views
Panagakis Gains TIAA-CREF Funds Access to Three Key Platforms
Updated | The mutual fund arm of the higher education retirement plan specialists gains access to a wirehouse and its online brokerage sibling, as well as an indie B-D...
MutualFundWire.com - Thursday, December 05, 2013 Views
Altegris' Sundt Strategizes with Two New Hires and More to Come
Natalie Maniaci and LÚs Carrington have joined the firm's sales and legal departments. ..
MutualFundWire.com - Wednesday, September 11, 2013 Views
Advisors Have Split Views over International
Aberdeen survey demonstrates advisor division over investing in overseas assets. However, advisors have strong feelings regarding active managers...
MutualFundWire.com - Wednesday, September 11, 2013 Views
Regulators Knuckle Down on Alts
Regulators are looking more closely at alternative mutual funds which are increasingly used by less wealthy investors looking for diversification and defensive strategies. ..
MutualFundWire.com - Friday, August 16, 2013 Views
A B-D Trade Group Gathers Fund Selectors
Brokerage execs meet up to twice a year to gossip about you...
MutualFundWire.com - Monday, July 29, 2013 Views
This is How You Engineer a Sales Turnaround
With a major restructuring of its sales organization, including broad-based hiring and product rationalization, the CEO of an $18B fund firm reverses four years of outflows. ..
MutualFundWire.com - Wednesday, July 17, 2013 Views
Mark Schlafly Finds a New Home
Financial Securities Corporation alum is Russell Investment's new managing director of client solutions for the firm's U.S. advisor-sold business. ..
MutualFundWire.com - Friday, July 12, 2013 Views
Fund Servicer Unveils Distribution Business
Firm with over 200 asset manager clients, as well as its own line of funds, is now offering marketing and distribution services...
MutualFundWire.com - Thursday, June 27, 2013 Views
Graziano Uses a "Center City" Approach to Doubling AUM
The strategy, which he named after Philly's central metropolitan district, involves a lot of focus...
MutualFundWire.com - Wednesday, June 26, 2013 Views
Asset Manager Appoints Five Distribution Folk
Three months after announcing a major reorganization of its sales force, the fund firm brings on two new divisional vice presidents and three advisor consultants...
MutualFundWire.com - Wednesday, June 26, 2013 Views
A $16B Boutique Manager Aims to Beat Last Quarter's 20 Percent AUM Growth
Manager of 15 boutiques is bolstering sales force, banging drum for four funds...
MutualFundWire.com - Tuesday, June 18, 2013 Views
A Sin Fund Elevates the Temptation
The shop registers an institutional share and bolsters its sales force...
MutualFundWire.com - Friday, May 31, 2013 Views
A Korean Manager Anoints An American Triumvirate
Global firm names chief executive, president and chief operating officer for U.S. subsidiary. ..
MutualFundWire.com - Tuesday, March 05, 2013 Views
Eaton Vance Has a CMO Opening
However, firm execs are currently "assessing our marketing needs."..
MutualFundWire.com - Tuesday, February 05, 2013 Views
An Indie BD Wants a Senior Wholesaler
Responsibilities include driving asset growth in TFs and mutual funds on two platforms...
MutualFundWire.com - Wednesday, January 16, 2013 Views
Active Bond ETFs, EM Bond Funds and Low-Volatility-Stock ETFs are Hot
Yet long-short funds, managed futures and volatility ETFs are not, WSJ warns...
MutualFundWire.com - Monday, January 07, 2013 Views
Invesco Wants a South Florida Wholesaler
Exec would work with independent advisors and RIAs...
MutualFundWire.com - Wednesday, December 19, 2012 Views
A Mutual Fund Shop Hunts in Portland
A Boutique seeks wholesaling talent...
MutualFundWire.com - Friday, November 30, 2012 Views
Papazian Sees Fundsters Make Three Common Sales Mistakes
The Former LPL EVP says mutual fund shops need to address these issues now. ..
MutualFundWire.com - Monday, October 15, 2012 Views
An FSC Alum Finds a Home at Achaean
Mark Schlafly joins up with Mike Henkel's new retirement services company...
MutualFundWire.com - Tuesday, September 25, 2012 Views
McCabe Is Looking for a New England Wholesaler
Stadion wants someone with 15 or more years of experience to court wirehouses...
MutualFundWire.com - Thursday, September 06, 2012 Views
"Dogs of the Dow" Are For The Dogs, Barron's Writes
One Barron's writer says the strategy du jour of two years ago is no longer working...
MutualFundWire.com - Wednesday, August 15, 2012 Views
A Knight's Tale: A History of the LMM's Trading Crisis
Here's the day-by-day breakdown of the events since Knight's big software glitch last Wednesday and MFWire's coverage of it all...
MutualFundWire.com - Thursday, August 09, 2012 Views
Have Firms Regained their Faith in Knight Capital?
Vanguard and E*Trade resume some orders through Knight Capital..
MutualFundWire.com - Tuesday, August 07, 2012 Views
Jack Brennan Assumes Corporate Directorship at GE
Appointment is not a conflict of interest, says Vanguard..
MutualFundWire.com - Tuesday, July 31, 2012 Views
LPL's Money Men Ready Some Powder
Updated | Two private equity firms backing the indie B-D giant are about to cash out $536MM in stock...
MutualFundWire.com - Monday, April 30, 2012 Views
Nottingham Helps a New Fund Firm Focus
A five-month-old separate account manager is about to launch its first mutual fund, with support from Nottingham...
MutualFundWire.com - Thursday, December 29, 2011 Views
Hellman & Friedman Founder is Dead
The founder of the firm with a stake in Artisan Partners has died. Firm made a play for Neuberger, staked a Franklin bid...
MutualFundWire.com - Tuesday, December 20, 2011 Views
InvestmentNews Hires a Mutual Fund Trade Reporter
The advisor-focused magazine brings on a successor to Jessica Toonkel...
MutualFundWire.com - Wednesday, December 14, 2011 Views - Reader Rating: 5
B-Ds May Pull $850B From U.S. Funds
An industry consulting firm releases new data on how mutual fund firms can meet the needs of distributors...
MutualFundWire.com - Wednesday, September 14, 2011 Views
The Dow Falls 3.68 Percent, and Fund Firms Fall Further
Updated | How are mutual fund families and broker-dealers faring in today's stock plunge?..
MutualFundWire.com - Thursday, August 18, 2011 Views
LPL Takes Chicago
LPL's focus11 confab is underway in the Windy City...
MutualFundWire.com - Monday, August 08, 2011 Views
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