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News Stories Archives - Since 1998
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Smalley Intros Virtus' 21st ETF
The new ETF is the second from a 26-year-old liquid alts quant shop...
MutualFundWire.com -
Monday, August 11, 2025
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In Mass, an HR Software Co Becomes a PPP, And ...
The new PPP's team is preparing to roll out a PEP this fall...
401kWire.com -
Monday, August 11, 2025
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5Y In, an Ex-Ameritas Leader Joins Slavic
The executive now serves as head of sales at the Sunshine State TPA...
401kWire.com -
Monday, August 11, 2025
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After Passing $750B In AUMA, an RKing Unit Rebrands, And ...
A publicly traded retirement plan provider's profits rise 9.8 percent Y/Y...
401kWire.com -
Monday, August 11, 2025
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Reader Rating: 5
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Week In Preview, August 11 - 17
This week, the teams at Broadridge, ERIC, NAGDCA, Spark, 401GO, and PlanSponsor will host events .....
401kWire.com -
Monday, August 11, 2025
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Week In Preview, August 11 - 17
This week, the team at WE will host an event, and the etf.com team has a deadline coming up .....
MutualFundWire.com -
Monday, August 11, 2025
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Before a Mass ETF Sale, a $69MM-AUM Fund Will Shutter
The four-year-old fund is scheduled to liquidate later this month, two weeks after a new distributor is expected to step in...
MutualFundWire.com -
Friday, August 11, 2023
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Cooper Expects RPS to Be a Key Earnings Growth Engine
Lincoln's retirement plan services business suffers a 15-percent Y/Y earnings dip...
401kWire.com -
Friday, August 11, 2023
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Reader Rating: 5
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Two Consultants Reunite to Help Advisors ACE the KPA Biz
The duo are preparing to launch their new venture on October 1.
..
401kWire.com -
Friday, August 11, 2023
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Two Decades In, a Key Ascensus Chief Passes the Reins
David Musto and his team are preparing to say goodbye to the leader of one of the provider's five business lines...
401kWire.com -
Friday, August 11, 2023
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Reader Rating: 5
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Industry Inflows Return, Despite Equity Outflows Quadrupling
The LSEG Lipper folks reveal the latest weekly U.S. fund flows data...
MutualFundWire.com -
Friday, August 11, 2023
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Tips For Diversifying Lineups
A DC I-O talks to my colleague Andrew about how KPAs can help plan sponsors and participants navigate volatile markets...
401kWire.com -
Thursday, August 11, 2022
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A Three-Year-Old Multi-Boutique Enters the ETF Biz
A pair of the Mid-Atlantic firm's boutiques are powering a trio of new ETFs...
MutualFundWire.com -
Thursday, August 11, 2022
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Providers Respond to Kentucky Flooding
In light of the disaster, one provider is donating $75,000 to the American Red Cross...
401kWire.com -
Thursday, August 11, 2022
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A 26-Year Transamerica Vet Joins Another RKer's C-Suite
Updated | The move comes after an executive exited the provider's C-suite earlier this year...
401kWire.com -
Thursday, August 11, 2022
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While AUA Slips, an RKer's Inflows Climb 77 Percent
The team at a retirement plan provider's publicly traded insurer parent releases their Q2 2022 results...
401kWire.com -
Thursday, August 11, 2022
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A Gotham PM Dies At 42
He spent more than 16 years at a mutual fund and ETF shop...
MutualFundWire.com -
Thursday, August 11, 2022
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A 13-Year TIAA Vet Lands at OneAmerica
The new hire now serves as senior director of consultant relations at the Midwestern provider...
401kWire.com -
Thursday, August 11, 2022
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A 16-Year M* Vet and SVP Exits
The exec, who managed biz dev and relationships for the investment research giant's biggest asset management allies, is joining the leadership team of a tech consulting and software dev shop...
MutualFundWire.com -
Wednesday, August 11, 2021
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Reader Rating: 5
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En Route to IPO, a 401k Startup Raises $200MM, And ...
A six-year-old shop focused on the small market is now valued at $1 billion. And a new CFO arrives, fresh from a cyborg advisor's $1-billion sale...
401kWire.com -
Wednesday, August 11, 2021
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Reader Rating: 1
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11 Years In, a Texas DC I-O Vet Exits, Refocusing
This executive recently left financial services and launched a blog...
401kWire.com -
Wednesday, August 11, 2021
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Schaaf Shares a Post-Integration Update
The Principal RIS chief offers details on the freshly completed, five-wave recordkeeping conversion...
401kWire.com -
Wednesday, August 11, 2021
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Reader Rating: 1
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A Titan Preps a $9.7B-AUM MF-to-ETF Conversion
The asset manager had $2.6 trillion in AUM as of June 30, including $899 billion in traditional mutual funds and $64 billion in ETFs...
MutualFundWire.com -
Wednesday, August 11, 2021
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Reader Rating: 5
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What Might Voya Hunt?
Lavallee talks M&A and rumors swirl about a possible target...
401kWire.com -
Wednesday, August 11, 2021
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Reader Rating: 1
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After a Retirement, a 17-Year Victory Leader Rises
A key distribution leader passed the reins at the end of last month...
MutualFundWire.com -
Tuesday, August 11, 2020
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Honoring Dave Reich
Friends and coworkers of the fallen KPA ally are raising money to support his kids...
401kWire.com -
Tuesday, August 11, 2020
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Reader Rating: 5
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Two Giants' DC I-O Teams Combine Under a Familiar Chief
An asset management mega-merger includes a retirement team combo, too...
401kWire.com -
Tuesday, August 11, 2020
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Reader Rating: 2.86
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Hardest Hit Sectors Saw June Retirement Plan Improvements
Updated | New research compares data from June with earlier in 2020...
401kWire.com -
Tuesday, August 11, 2020
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How Hard Will COVID-19 Hit Fundsters' Pay?
A consulting firm offers its latest predictions about how employees at asset managers and others in financial services will fare for 2020...
MutualFundWire.com -
Tuesday, August 11, 2020
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Golf Fans Saw This Provider Move First
A new retirement ad campaign is launched at this weekend’s PGA golf tournament..
401kWire.com -
Tuesday, August 11, 2020
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Ascensus is Hiring in Indiana
The recordkeeper has an open position in the Hoosier state.....
401kWire.com -
Friday, August 11, 2017
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Reader Rating: 5
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A 22-Year Vet Leaves Hartford Funds
He held a key distribution role at the fund firm, and there is no word yet on who will fill his shoes.....
MutualFundWire.com -
Friday, August 11, 2017
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Filings for Fundsters - August 11, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com -
Friday, August 11, 2017
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MFWire Networking Returns to Grand Central
Don't let commuting in the Summer of Hell get you down. Come network with your fellow fundsters!..
MutualFundWire.com -
Friday, August 11, 2017
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401kWire Networking Returns to Grand Central
Don't let commuting in the Summer of Hell get you down. Come network with your fellow industry insiders!..
401kWire.com -
Friday, August 11, 2017
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Raffone Fosters a C-Suite Switch
The Financial Engines chief hires a successor for Ray Sims, who is retiring. ..
401kWire.com -
Friday, August 11, 2017
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Veriphy Fields a Key New Hire
A 35-year DC vet joins a Georgia-based plan sponsor tools specialist. ..
401kWire.com -
Friday, August 11, 2017
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Plaintiffs Back Off One Fund Firm As Another Warns of an Investigation
The SEC is investigating asset allocation errors involving a multinational's U.S. mutual fund business. Separately, a fee lawsuit ends against a private-equity-backed fund firm...
MutualFundWire.com -
Friday, August 11, 2017
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Nearly 500 401k Folks Connect in the Rockies
Cindy Dash and her team are holding their 17th annual conference in Keystone...
401kWire.com -
Friday, August 11, 2017
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2016 Summer Reading For KPAs, Part 2
Looking for something work-related to read at the beach or on the lake as the summer winds down? Here are a few more ideas...
401kWire.com -
Thursday, August 11, 2016
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The Fiduciary Reg Might Drive 87 Percent of KPAs to Change Their Biz Model
A quarterly survey finds that 87 percent of advisors are considering changing their entire business model.....
401kWire.com -
Thursday, August 11, 2016
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Reader Rating: 4
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Participants Double Team the Blue Devil in Excessive Fee Complaint
Duke University is the latest school to be sued for the management of its DC plan. ..
401kWire.com -
Thursday, August 11, 2016
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Reader Rating: 5
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People on the Move -- August 11, 2016
Check out the latest new hires and promotions in the industry!..
MutualFundWire.com -
Thursday, August 11, 2016
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A $284MM New York-Based 403(b) Streamlines
The retirement plan is moving to a sole-recordkeeper model.
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401kWire.com -
Thursday, August 11, 2016
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Reader Rating: 2
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Participants Continue to Save in 2016
...according to a new study conducted by a Washington, D.C.-based financial services trade organization...
401kWire.com -
Thursday, August 11, 2016
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Bill Miller and Legg Mason Part Ways
Updated | The famed value investor is buying the publicly-traded asset manager's stake in his boutique...
MutualFundWire.com -
Thursday, August 11, 2016
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Schwab Plans a $100MM, 1,200-Employee Texas Hub
The San Francisco-based, publicly-traded, financial services company is planning a new Lone Star State hub...
MutualFundWire.com -
Thursday, August 11, 2016
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Meet the Influential Woman Behind This KPA Shop
This 401(k) plan advisor (KPA) who is based in New Jersey has been recognized for.....
401kWire.com -
Thursday, August 11, 2016
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Recap: DoL Fiduciary Hearing Day 2
What happened at the DoL?..
401kWire.com -
Tuesday, August 11, 2015
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EBSApocalypse Part III Preview
Entering the second half.....
401kWire.com -
Tuesday, August 11, 2015
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28 Fund Firms Are Paying Morgan Stanley At Least $1MM
The wirehouse release details on its revenue sharing arrangements, for commission-based mutual fund purchases anyway...
MutualFundWire.com -
Tuesday, August 11, 2015
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Reader Rating: 3
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A $1B Florida Plan Sticks With Empower
A platform shift hasn't scared off this billion-dollar train of a plan. ..
401kWire.com -
Tuesday, August 11, 2015
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Reader Rating: 4
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Appelstein Takes RBC GAM's Institutional Distro to the Retail Channel
The Canadian multinational bank's asset manager is ramping up its U.S. distribution efforts for four mutual funds...
MutualFundWire.com -
Tuesday, August 11, 2015
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Voya's Nelson Speaks at Fiduciary Rule Hearing
The Voya chief makes his case to regulators......
401kWire.com -
Tuesday, August 11, 2015
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Reader Rating: 4
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A Japanese Insurer Gets A Stake in the RKer Space
A leading Japanese insurer gets a stake in the 401(k) space following new acquisition...
401kWire.com -
Tuesday, August 11, 2015
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Reader Rating: 4
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Live Blog: Day Two of the Fiduciary Reg Hearings
The marathon hearings continue. Stay tuned for live updates throughout the day!..
401kWire.com -
Tuesday, August 11, 2015
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Reader Rating: 3.25
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Active Fundsters, There's Another Reason to Fear ETFs
New research suggests that the rise of ETF is screwing up the markets...
MutualFundWire.com -
Tuesday, August 11, 2015
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BNY's Mustin Appoints New Head of Its New Retirement Unit
The New York-based DC I-O has a new head of its new retirement unit.....
401kWire.com -
Monday, August 11, 2014
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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
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Reader Rating: 5
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Graziano Growls a Stock-Picker's War Cry
Touchstone prepares to launch a branding campaign proudly declaring its active equity chops centered on the idea of "Active Share," a concept developed by two Yale academics for gauging how much a manager differs from its benchmark...
MutualFundWire.com -
Monday, August 11, 2014
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Patent Troll Sues Financial Engines
The Northern California-based 401(k) managed account and participant advice provider is being sued.....
401kWire.com -
Monday, August 11, 2014
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Reader Rating: 2
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A $10B Trio of Plans Sticks With Great-West
Effective July 1, a fair of counties in California renewed their retirement plan contracts for five more years...
401kWire.com -
Monday, August 11, 2014
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Reader Rating: 2
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How Do You Define a Winning Mutual Fund?
A series of articles by various publications shows that the question is harder than it sounds...
MutualFundWire.com -
Monday, August 11, 2014
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Reader Rating: 1
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FRC's Parent Sells FRC
Updated | What's next for the mutual fund research firm?..
MutualFundWire.com -
Thursday, August 11, 2011
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Call for Nominations for the Retirement Income TV Advertising Award
The 401kWire is seeking nominations for the Best TV Advertising Award that will be presented at the RIIA Fall Conference & Awards Gala...
401kWire.com -
Thursday, August 11, 2011
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Reader Rating: 2
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Franklin Helps Advisors Analyze Wins and Losses
The DC I-O arm of the mutual fund firm partners with an industry research firm to do a new study on and for retirement plan advisors...
401kWire.com -
Thursday, August 11, 2011
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Call for Nominations for the Retirement Income TV Advertising Award
The MFWire's sister publication, The 401kWire, is seeking nominations for the Best TV Advertising Award that will be presented at the RIIA Fall Conference & Awards Gala in October...
MutualFundWire.com -
Thursday, August 11, 2011
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Eaton Vance Gives a Fund a Facelift
It's looking to open up its investment universe and investor base...
MutualFundWire.com -
Thursday, August 11, 2011
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John Hancock's Retirement AUM Grows
But sales figures are down for Q2...
401kWire.com -
Thursday, August 11, 2011
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Hancock's Mutual Fund Biz Soars
The unit is reporting a 50 percent increase in sales year over year...
MutualFundWire.com -
Thursday, August 11, 2011
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SunTrust Unveils a New Retirement Readiness Service
It's a Retirement Readiness report card for its plan sponsors...
401kWire.com -
Thursday, August 11, 2011
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A Janus VP Dies After a Triathlon
The seven-year Janus vet passed away Monday...
MutualFundWire.com -
Thursday, August 11, 2011
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Reader Rating: 3
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An Asset Manager's IPO May Stall
The markets' recent roller coaster ride looks likely to push back a U.S. mutual fund firm's plans to spin off...
MutualFundWire.com -
Thursday, August 11, 2011
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Gundlach May Be Up Next
Meanwhile, a computer expert testifies about DoubleLine's and TCW's computer systems...
MutualFundWire.com -
Thursday, August 11, 2011
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BNY Mellon To Lay Off 1,500
It's only three percent of the firm's global workforce...
MutualFundWire.com -
Thursday, August 11, 2011
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Great-West Aims 'Above and Beyond' Disclosure Regs
The plan provider is looking to establish a new standard in fee disclosure obligations...
401kWire.com -
Thursday, August 11, 2011
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Reader Rating: 1
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Ex-Janus Exec Takes the CEO Job at Scout
The Midwest fund firm ends its CEO search...
MutualFundWire.com -
Wednesday, August 11, 2010
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A New York Firm is Pulling the Plug on its Mutual Fund
The firm plans to liquidate its sole mutual fund next month...
MutualFundWire.com -
Wednesday, August 11, 2010
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Hennessy Continues to Sniff for Deals
Hennessy continue to hunt for domestic and international funds to purchase...
MutualFundWire.com -
Wednesday, August 11, 2010
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Bruce Harrington Lands
The former head of LPL's retirement unit scores a new gig in Beantown...
401kWire.com -
Wednesday, August 11, 2010
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Reader Rating: 2.33
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Hartford Taps a New Head of Government Markets
The plan provider draws from the Hartford ranks to fill the post...
401kWire.com -
Wednesday, August 11, 2010
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Reader Rating: 3
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AllianceBernstein Has a Trio of New Hires
The New York City-headquartered firm hires relationship managers...
MutualFundWire.com -
Wednesday, August 11, 2010
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Reader Rating: 5
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A Real Estate Developer Hires Its First 401k Advisor
A SoCal plan sponsor taps an NRP member firm...
401kWire.com -
Wednesday, August 11, 2010
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Reader Rating: 1
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Two Deutsche Groups Split Off from the Mothership
The spin-offs first unveiled in January are now complete...
MutualFundWire.com -
Wednesday, August 11, 2010
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Legg Keeps its Eye Out for Sales Pros
The firm is looking to fill wholesaler posts...
MutualFundWire.com -
Wednesday, August 11, 2010
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A West Coast TPA Hunts for Buys
A recordkeeping third-party administrator may buy again soon...
401kWire.com -
Wednesday, August 11, 2010
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New York Life Chalks Up $5 Billion of Mutual Fund Sales
Fund sales in the first half of the year are up 55 percent, say company executives...
MutualFundWire.com -
Wednesday, August 11, 2010
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Reader Rating: 2
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CPI Makes a Sales Hire in Denver
The CUNA Mutual Group subsidiary reveals its choice for the post...
401kWire.com -
Wednesday, August 11, 2010
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Are Target Date Funds Getting Cheaper?
Morningstar issues reports on 20 target date fund families...
MutualFundWire.com -
Wednesday, August 11, 2010
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The New Kid on the ETF Block Stands Firm on its Strategy
Schwab's Peter Crawford says the commission-free strategy will continue...
MutualFundWire.com -
Wednesday, August 11, 2010
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Reader Rating: 1
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A ProShares ETF Rides the Anti-Euro Sentiment
The WSJ highlights an inverse leveraged offering from the niche mutual fund firm...
MutualFundWire.com -
Wednesday, August 11, 2010
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BofA May Shell Out $55 Million More in Another Stock Drop Suit
The giant bank nears a settlement in an ERISA class action lawsuit...
401kWire.com -
Tuesday, August 11, 2009
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Reader Rating: 3
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Fidelity's Cieszko is on the Hunt to fill a Distribution Post
The Fidelity unit is searching for a new distribution head...
MutualFundWire.com -
Tuesday, August 11, 2009
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Vanguard Moves Forward with a Money Market Merger
Vanguard finishes a merger of money funds and files to launch seven new bond index funds and ETFs...
MutualFundWire.com -
Tuesday, August 11, 2009
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FRC Rebuilds its Ranks
A trio of new hires have joined the research firm...
MutualFundWire.com -
Tuesday, August 11, 2009
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Reader Rating: 2
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Fidelity Finds a New Advisor 401k Chief Within
An executive from the bundled side of the business takes over the intermediary-sold DC platform at the Boston Behemoth...
401kWire.com -
Tuesday, August 11, 2009
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Reader Rating: 2.5
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Fido, JPMorgan, MassMutual and Vanguard Gain Kudos for Education
An industry research firm examines investor education tools offered by various DC providers...
401kWire.com -
Tuesday, August 11, 2009
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Reader Rating: 4.33
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Financial Engines Hires a Veteran Quant Manager
Updated | Jeff Maggioncalda appoints a head portfolio manager...
401kWire.com -
Tuesday, August 11, 2009
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New York Life Tries an Approach to Capture Rollovers
The insurer has started to use predictive modeling software to draw more rollovers...
401kWire.com -
Tuesday, August 11, 2009
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Reader Rating: 5
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A California Fund Firm Does its Fourth Deal in 13 Months
The firm has taken a minority stake in Broadmark Asset Management...
MutualFundWire.com -
Tuesday, August 11, 2009
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Reader Rating: 5
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Morningstar Draws Attention to Target Date Funds' Fees
The fund ratings specialists contend that nest eggs may be affected greatly by expenses in age-weighted funds...
401kWire.com -
Tuesday, August 11, 2009
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Reader Rating: 4
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Chiricotti Warns Some Advisors Against the Fiduciary Word
The CFDD chief shares his thoughts on the growing trend of DC brokers accepting fiduciary status...
401kWire.com -
Tuesday, August 11, 2009
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Reader Rating: 2.5
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MassMutual Rolls Out New I-O Bells And Whistles
The retirement services division unveils the newest version of its financial reporting platform for investment-only and DB clients...
401kWire.com -
Tuesday, August 11, 2009
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Highbury Buys the Remainder of Aston
Highbury Financial has bought the remaining shares of Aston Asset Management LLC that it did not already own after the carve out from ABN AMRO...
MutualFundWire.com -
Tuesday, August 11, 2009
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Reader Rating: 5
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Ex-American Century Chief Lines Up Another Board Gig
The former president and CEO of American Century, who sits on the Morningstar board, has joined another firm's board...
MutualFundWire.com -
Tuesday, August 11, 2009
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Global ETF Assets are Up 11 Percent in the First Half
Daily ETF trading volumes, however, are down 17 percent from the year before, according to a BGI report...
MutualFundWire.com -
Tuesday, August 11, 2009
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Bond ETFs Grab Assets So Far in '09
Exchange-traded funds investing in bonds are pulling in assets out of proportion to their numbers...
MutualFundWire.com -
Tuesday, August 11, 2009
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State Street's Legal Reserve May Not Suffice, Execs Say
The legal reserve set up in 2007 to address litigation tied to SSgA's fixed income strategies may not be enough...
MutualFundWire.com -
Tuesday, August 11, 2009
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Online 401k Inks Another Distribution Pact
The San Francisco firm has lined up another payroll partner...
401kWire.com -
Monday, August 11, 2008
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A Midwest TPA Bests its Peers in the Micro Market
A TPA in Indiana clinches the gold for micro-market client satisfaction in the 401kExchange Mid-Year Provider Ratings...
401kWire.com -
Monday, August 11, 2008
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Reader Rating: 1
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Strategic Insight Founders Mull Sale, Say Sources
The go-to data firm in the fund industry has hired a New York City-based i-bank...
MutualFundWire.com -
Monday, August 11, 2008
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Reader Rating: 4
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NRP Acquires Two More Firms
The California-based network of retirement-focused advisors has
racked up acquisition numbers 13 and 14...
401kWire.com -
Monday, August 11, 2008
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Reader Rating: 3.5
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Liquidnet Plans for an IPO
The company has set the process in motion...
MutualFundWire.com -
Monday, August 11, 2008
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Active ETFs Are Not Off to a Smashing Start, Study Says
State Street Global Advisors has released its first half report on the state of the ETF market...
MutualFundWire.com -
Monday, August 11, 2008
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MassMutual Trumpets the Success of Wireless Enrollment
MassMutual executives say that their wireless technology
is driving up enrollment rates...
401kWire.com -
Monday, August 11, 2008
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Reader Rating: 5
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Plan Sponsors Cite Economic Woes as Top 401k Challenge
A Schwab survey shows that plan sponsors deem the economy as their main challenge when offering a 401k plan...
401kWire.com -
Monday, August 11, 2008
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Reader Rating: 3
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MStar Picks Up a Software Provider
Morningstar is adding to the Principia line of products...
MutualFundWire.com -
Monday, August 11, 2008
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Vanguard Tweaks a Fund's Mandate
Vanguard has switched up the investment policies of its Total International Stock Index Fund...
MutualFundWire.com -
Monday, August 11, 2008
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Allianz Switches Subadvisers for its Value Fund
Allianz has tapped a replacement for Oppenheimer Capital for the fund...
MutualFundWire.com -
Monday, August 11, 2008
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Fund Track Revisits Barclay's 529 Plans
Monday's column covers some familiar ground...
MutualFundWire.com -
Monday, August 11, 2008
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Deal May Bring New Competitor Into Large Plan Arena
Fidelity, Hewitt, JPMorgan and the rest of the competitors in the large plan market could be seeing a new face in their final presentations if a rumored deal comes off...
401kWire.com -
Friday, August 11, 2006
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Reader Rating: 3.71
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DIA: Endgame for End-Date Funds?
A senior exec at the Empire State provider says their new product beats target funds, hands down...
401kWire.com -
Friday, August 11, 2006
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Is FirstMercantile on the Block?
Speculation that its bank parent might be bought out is fanning the flames of its stock...
401kWire.com -
Friday, August 11, 2006
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Reader Rating: 2
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Sprint Nextel Settles for $29 Million
The telecoms giant is the latest plan sponsor to get hit by employees for its use of company stock in its DC plan, despite an increase in that stock's value...
401kWire.com -
Friday, August 11, 2006
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CPI Opens Virginia Beach Office
The Great Bend, Kansas-headquartered TPA has opened its 13th regional office...
401kWire.com -
Friday, August 11, 2006
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Reader Rating: 5
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Did ACS Fiduciaries Commit ERISA Breach?
A new twist has emerged in the controversy surrounding the stock option practices of Affiliated Computer Services, the technology outsourcing firm which bought Mellon's HR consulting and outsourcing businesses last year...
401kWire.com -
Friday, August 11, 2006
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DWS Scudder Bond Pros Pack for the Big Apple
Deutsche Bank is moving its fund managers from an old Scudder office in Philadelphia. The portfolio management team from three DWS Scudder fixed income funds are being relocated to New York City as part of an ongoing consolidation of its fund business. The move will cover twenty employees...
MutualFundWire.com -
Friday, August 11, 2006
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NASD Cracks Down on CDSC Waiver Ploy at Citi
Up to 100 brokers at Citigroup Global Markets may have been ripping off mutual funds by claiming that their clients qualified for disability waivers on CDSC charges when they did not...
MutualFundWire.com -
Friday, August 11, 2006
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NASD Cracks Down on CDSC Waiver Ploy at Citi
Up to 100 brokers at Citigroup Global Markets may have been ripping off mutual funds by claiming that their clients qualified for disability waivers on CDSC charges when they did not...
MutualFundWire.com -
Friday, August 11, 2006
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Recruiter Plans Podcast for Brokers and Reps
Have an iPod? A broker recruiter plans an online radio show discussing BD trends and news that he will make downloadable to the trendy players from Apple...
MutualFundWire.com -
Friday, August 11, 2006
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PhoenixFunds Exec to Woo BDs
The Connecticut-based fund group has signed on an executive from its latest acquisition target to build its relationships with BDs...
MutualFundWire.com -
Friday, August 11, 2006
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PhoenixFunds Exec to Woo BDs
Phoenix Investment Partners has tapped an executive from the Harris Insight Funds to head manage its existing relationships with broker-dealers for its PhoenixFunds family. Bernard A. Whalen takes the title of senior vice president, national accounts and will report to Steve Gresham, executive vice president of Phoenix Investment Partners. The post is newly created...
MutualFundWire.com -
Friday, August 11, 2006
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FPA Gets Day in Appeals Court
The Financial Planning Association (FPA) will gets it day in court to say why the SEC's rules exempting brokers from registering as advisors should not stand...
MutualFundWire.com -
Friday, August 11, 2006
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Bank Provider Finds New Exec
A former Wells Fargo executive joins up with a California bank...
401kWire.com -
Thursday, August 11, 2005
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Ceridian Adds Retirement Planning Tools
The recordkeeper is going the holistic route with its retirement planning tools...
401kWire.com -
Thursday, August 11, 2005
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Reader Rating: 2.17
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Sales Pro Heads to State Street
A public market specialist jumps ship...
401kWire.com -
Thursday, August 11, 2005
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Reader Rating: 2
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Unintended Consequences of Auto-Enrollment
Automatic enrollment and auto-pilot plans have been touted as the cure all for 401ks, but what if they actually reduce plan assets?..
401kWire.com -
Thursday, August 11, 2005
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Manager Swaps: Pru, OppenheimerFunds
Prudential Investments adds two subadvisors to a small-cap fund, while Oppenheimer retools its portfolio manager lineup .....
MutualFundWire.com -
Thursday, August 11, 2005
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Appeals Court Stays Indy Rule
Trade organization the U.S. Chamber of Commerce has once again scored a win in the courtroom over the independent director issue .....
MutualFundWire.com -
Thursday, August 11, 2005
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Fidelity-Courting Trader Was Given $1.5 MM Expense Account
Kevin Quinn, a former trader at Jeffries Group, was specifically hired to woo Fidelity's business and armed with a $1.5 million annual entertainment expense account to do so .....
MutualFundWire.com -
Thursday, August 11, 2005
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Sihpol Retrial Pushed Back
The retrial will not begin in August, as previously scheduled...
MutualFundWire.com -
Thursday, August 11, 2005
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Putnam Trains Focus on Advisors with Ad Campaign
Look for advisor-targeted ads during this half of the year...
MutualFundWire.com -
Wednesday, August 11, 2004
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BISYS Execs Weigh In On Retirement Services Margins UPDATE
UPDATED Margins for the area shrank this quarter, but executives say that a turnaround is already under way...
401kWire.com -
Wednesday, August 11, 2004
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Reader Rating: 5
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Utah Finds $25K More in Missing College Assets
An ex-director of the plan improperly moved a total of $85,000 into personal accounts...
MutualFundWire.com -
Wednesday, August 11, 2004
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Reader Rating: 5
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Spectrum Names Compliance Director
The first-ever full-time director comes from Nuveen...
MutualFundWire.com -
Wednesday, August 11, 2004
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National TPA Opens New CA Office
The former head of the benefits consulting department will be the San Diego consultant...
401kWire.com -
Wednesday, August 11, 2004
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Reader Rating: 4.6
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New Client Takes Off With The 401(k) Company
The Austin, Texas based provider picked up an $850 million plan...
401kWire.com -
Wednesday, August 11, 2004
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Reader Rating: 5
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Galvin Goes After Morgan Stanley
The firm is in more trouble with state regulators. This time over a sales contest...
MutualFundWire.com -
Monday, August 11, 2003
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Principal Re-ups with PFPC
The fund arm of the insurer sticks with its remote transfer agent...
MutualFundWire.com -
Monday, August 11, 2003
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Bisys Wins SEC Exemption for Fund Clients
The back office specialist gets an ok from the SEC for its fund clients to collect fees from investments in affiliated money market funds...
MutualFundWire.com -
Monday, August 11, 2003
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Insurer Sends 401k Portfolio to Rival
Some eleven hundred plan sponsors learned today that they will have a new 401(k) plan provider come November. The deal covers 50,000 participants...
401kWire.com -
Monday, August 11, 2003
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Reader Rating: 2.8
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Happy Customers Abound
A new survey finds that plan sponsors are more satisfied with their provider than they were a year ago. And that is not all of the good news...
401kWire.com -
Monday, August 11, 2003
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Reader Rating: 3
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Product Wraps All Savings Plans in One Package
Mid-market plan sponsors get one-stop shopping for their 401k, 529, Non-qual and overseas savings plans from a California provider...
401kWire.com -
Monday, August 11, 2003
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Reader Rating: 4
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Week of August 7, 2000
The Week in Searches
The 401kWire.com takes its weekly look at searches reported elsewhere...
401kWire.com -
Friday, August 11, 2000
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Reader Rating: 3
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Small Bytes for Aug. 7 to Aug. 11: Fund Openings and Closings
AIM will close its large cap market neutral fund. Liberty adds to its tax-managed offerings...
MutualFundWire.com -
Friday, August 11, 2000
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Reader Rating: 3
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Alliance Promises to Simplify the Info Flow
Advent and SunGard have joined forces to enable advisors and asset managers consolidate information from multiple accounts in one place. The deal will let advisors using Axys and Moxy trade through SunGard...
MutualFundWire.com -
Friday, August 11, 2000
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Reader Rating: 3
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ByAllAcounts Takes Schwab Sales Exec for CEO
The "aggregator's" business model is providing portfolio management tools for financial services firm Web sites. Among the firms looking at the service is Scudder Kemper...
MutualFundWire.com -
Friday, August 11, 2000
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Reader Rating: 3
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Gardner Takes CEO Slot at Startup
ByAllAccounts snags Schwab's former sales head for SchwabPlan. The "aggregator's" business model is providing portfolio management tools for financial services firm Web sites...
401kWire.com -
Friday, August 11, 2000
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Reader Rating: 3
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Web Marketplace Names Advisory Board.
The rush to build out Web-based marketplaces for the distribution of 401(k) plans continues. For this startup the box checked is its advisory board...
401kWire.com -
Friday, August 11, 2000
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Reader Rating: 3
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Stable Value Rates for Aug. 11, 2000
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401kWire.com -
Friday, August 11, 2000
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Reader Rating: 3
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August 11, 2000
What new funds will Janus offer? ... Internet funds fall to back of the pack ... Funds target youthful investors...
401kWire.com -
Friday, August 11, 2000
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Reader Rating: 3
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August 11, 2000
What new funds will Janus offer? ... Internet funds fall to back of the pack ... Funds target youthful investors...
MutualFundWire.com -
Friday, August 11, 2000
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Reader Rating: 3
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Hitching a Lift on Route 401k
The Internet continues to grow in importance for the 401(k) plan industry. There had been some concerned that web offerings concentrated too much on participants and not enough on sponsors. But recently, sponsors appear to be getting more online offerings at their disposal. One firm to be entering the fray is Hopkinton, Massachusetts-based Hilger Associates, Inc. ..
401kWire.com -
Wednesday, August 11, 1999
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Reader Rating: 3
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Odd Lots, August 11, 1999
Fidelity Select funds change managers ... The Internet replaces phone centers ... Investors remain calm despite market downturn ... Funds see recycled cash ... Janus' cover boy...
MutualFundWire.com -
Wednesday, August 11, 1999
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Reader Rating: 3
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Fidelity To Offer Asset Allocation For Rollover Market
Fidelity will offer on-line asset allocation education to investors in the upcoming months...
MutualFundWire.com -
Wednesday, August 11, 1999
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Reader Rating: 3
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BankBoston Fund Head Resigns
Allen Croessmann -- head of BankBoston's (NYSE: BKB) mutual fund, brokerage, and 401(k) units -- has resigned his post at the Boston bank. He cited personal reasons for stepping down after his six year incumbency. No replacement was named...
401kWire.com -
Tuesday, August 11, 1998
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Reader Rating: 3
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TAG On: Amending Matches
When, and how, can a plan sponsor amend the plan’s matching formula?..
401kWire.com -
Tuesday, August 11, 1998
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Reader Rating: 3
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