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Charles Schwab Investment Management [view profile ]
211 Main Street  San Francisco  CA  94105  ph: 800-648-5300 

http://www.schwab.com  -  SEC Filings
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61. Joe Ready (2013) 62. Jeff Maggioncalda (2013) 63. Hugh O'Toole (2013)
64. Bob Wuelfing (2013) 65. John Moody (2013) 66. Judy Mares (2013)
67. Charlie Epstein (2013) 68. Jack VanDerhei (2013) 69. Rick Mason (2013)
70. Ron Bush (2013)

News Stories Archives - Since 1998
Morgan Stanley Asks More of Its 401k Allies
Beginning in the new year, the wirehouse will introduce revenue sharing...
401kWire.com - Friday, December 16, 2016 - Reader Rating: 5
Morgan Stanley Plans End-of-Year Fund Cuts
The wirehouse plans to make cuts to its fund offerings by January 1...
MutualFundWire.com - Friday, December 16, 2016 Views
The New Fund Fuss - December 16, 2016
The newest funds that are ready to make their debut!..
MutualFundWire.com - Friday, December 16, 2016 Views
Filings for Fundsters - December 16, 2016
A compilation of the latest SEC filings!..
MutualFundWire.com - Friday, December 16, 2016 Views
ERIC Issues Comment on Impending IRS Reg
In ERIC's comments, the organization highlighted key steps that could help plan sponsors comply with the upcoming tax qualification changes. ..
401kWire.com - Friday, December 16, 2016
ERISA Lawsuit is Certified as a Class Action
A lawsuit brought against Putnam by its employees has been certified as a class action case. ..
401kWire.com - Friday, December 16, 2016
Ascensus Buys Another TPA
Continuing to grow its business, Ascensus makes another acquisition. ..
401kWire.com - Friday, December 16, 2016 - Reader Rating: 4.33
Virtus Buys a PE-Backed Multi-Boutique For $513MM
The publicly-traded, Connecticut-based firm is acquiring another mutual fund shop...
MutualFundWire.com - Friday, December 16, 2016 Views
Nashville Firm Aligns With GRPAA
Avondale decides to team up with GRP Advisor Alliance. ..
401kWire.com - Friday, December 16, 2016 - Reader Rating: 5
Did Russia Meddle In the Great Financial Services Hack Case?
The lawyer for one of the accused conspirators claims that Putin's government offered the conspirator an alternative to returning to the U.S. to face charges...
MutualFundWire.com - Friday, December 16, 2016 Views
One DC I-O Wholesaler Rises as Pru Hunts For Another
The promotion and search come after two wholesalers moved on to another fund firm...
401kWire.com - Friday, December 16, 2016 - Reader Rating: 5
A $160MM Pair of College Plans Retain Their RKer
Who will recordkeep these two retirement plans?..
401kWire.com - Wednesday, December 16, 2015
The USAA Team Welcomes Their First DC I-O Chief
Keith Sloane has hired a retirement plan industry veteran to help the asset manager dive deeper into the space...
401kWire.com - Wednesday, December 16, 2015
M*: Vanguard and iShares Have Dominated This Year
The Chitown mutual fund ratings giant releases its fund flows estimates for November 2015...
MutualFundWire.com - Wednesday, December 16, 2015 Views
Pioneer's Orvin Hires an Exec Targeting Indie Advisors
She previously held a key job at Sentinel Investments...
MutualFundWire.com - Wednesday, December 16, 2015 Views
Post-Acquisition, Yoerger Realigns OneAmerica's Sales Structure
The move comes after OneAmerica bought BMO's retirement services business...
401kWire.com - Wednesday, December 16, 2015 - Reader Rating: 2.57
How Fast is the Rollover Market Growing?
An analysis by the LIMRA predicts a rollover spike over the next 10 years...
401kWire.com - Wednesday, December 16, 2015
Was Last Week Just the Latest Straw For Third Avenue?
Bloomberg paints a picture of a rough decade for the value fund shop. Meanwhile, at least two law firms are following regulators' lead in digging into what went down...
MutualFundWire.com - Wednesday, December 16, 2015 Views
$752MM and Counting: a Third PM Joins a Young Dreyfus Fund
The addition comes just ten months after the BNY Mellon arm launched the mutual fund...
MutualFundWire.com - Wednesday, December 16, 2015 Views
This KPA in the Golden State Says Yes to NFP
A 401(k) plan advisor (KPA) in southern California is now licensed with NFP Advisor Services as his new broker-dealer, following FTI deal...
401kWire.com - Tuesday, December 16, 2014
SSgA Replaces a Voice
One spokesperson departs and another joins at the bank's asset management arm...
MutualFundWire.com - Tuesday, December 16, 2014 Views
In Minnesota, a 401k RIA Aligns With Pensionmark
Troy Hamond and his team welcomes with open arms their newest affiliate based in Minnesota...
401kWire.com - Tuesday, December 16, 2014
27 Percent of 403b Plan Sponsors Believe They Have a Responsibility To Encourage Savings
...according to new research conducted by PSCA...
401kWire.com - Tuesday, December 16, 2014
SunGard Unveils Social Security Optimization Tool
SunGard debuts a new tool to help advisors…..
401kWire.com - Tuesday, December 16, 2014 - Reader Rating: 2
Rekenthaler Has Some Tips For Folks Across the Pond
The M* guru worries about what the SEC's European counterpart is up to...
MutualFundWire.com - Tuesday, December 16, 2014 Views
Meet Your Newest Enemy
Fundsters face another critic, this one an academic working with a TAMP who just published a book...
MutualFundWire.com - Tuesday, December 16, 2014 Views - Reader Rating: 5
Schlichter Wins Class Action Status From the Supreme Court
...for Lockheed Martin participants. ..
401kWire.com - Monday, December 16, 2013
A Firm Named Cohen Hires a DC I-O Chief
New hire comes from Fidelity and previously worked at MFS...
MutualFundWire.com - Monday, December 16, 2013 Views
Another Firm, Also Named Cohen, Promotes 26
Among the promotions are eight to partner, seven to manager, and eleven to senior staff accountant...
MutualFundWire.com - Monday, December 16, 2013 Views
Vanguard Wins Annual Flows Race, Again
Index giant kicks it third year in a row. Dimensional is second. Meanwhile, passive funds beat active funds silly...
MutualFundWire.com - Monday, December 16, 2013 Views
GAO Looks Internationally for 401k Help
Other countries give insight into retirement savings spend-down. ..
401kWire.com - Monday, December 16, 2013
While a Vanguard Manager Steps Back
The co-founder and chairman of a subadvisor hands off his PM duties...
MutualFundWire.com - Monday, December 16, 2013 Views - Reader Rating: 5
A Global Asset Manager is Homing in on DC With a New Executive Hire
Matt Gannon has joined the firm as senior vice president. ..
401kWire.com - Monday, December 16, 2013 - Reader Rating: 3
Nybo's Book Wins Over the Judges
His book, "Transform Tomorrow: Awakening the Super Saver in Pursuit of Retirement Readiness," won two 2013 USA Best Book Awards...
401kWire.com - Monday, December 16, 2013 - Reader Rating: 5
PSCA: 403b Sponsors Say They're in Trouble
A survey conducted by the PSCA lays out challenges 403b sponsors think they'll face in the coming years. ..
401kWire.com - Monday, December 16, 2013
What's Motorola's New Year's Resolution? No More Company Stock
The jumbo plan sponsor will eliminate company stock from its 401k in the New Year. ..
401kWire.com - Monday, December 16, 2013
BNY Mellon Wants to Sell Wall Street HQ
Bloomberg reports that firm plans to sell off its iconic 52-story headquarters, 1 Wall Street, to find cheaper digs elsewhere...
MutualFundWire.com - Monday, December 16, 2013 Views
California Retirement System Hires New DC Head
The California State Teachers' Retirement System brought Sandy Blair on board. ..
401kWire.com - Monday, December 16, 2013
Rekenthaler Writes on Market's Emerging Perils
Morningstar columnist argues that the emerging market sector may be facing danger again...
MutualFundWire.com - Monday, December 16, 2013 Views
Jaffe Crowns This Year's Dumb Dumbs
Nine firms got the dreaded Lump of Coal award for 2013. Were you one of them?..
MutualFundWire.com - Monday, December 16, 2013 Views
Seven Fundsters Push to Go Off-Radar
Reuters reports that the non-transparent ETF movement is gaining momentum...
MutualFundWire.com - Monday, December 16, 2013 Views
Fido's "Block on Congress" Goes on the Block
Boston Business Journal reports that will sell four buildings in Boston's Financial district, including it's old HQ...
MutualFundWire.com - Monday, December 16, 2013 Views
Harvard Business Review Examines Saint Jack's Legacy
Writer says one key to Bogle's success was recognizing that it's not all about you...
MutualFundWire.com - Monday, December 16, 2013 Views
MFS Lures Barron Back to DC I-O
A DC vet in the New York area joins the mutual fund firm team...
401kWire.com - Friday, December 16, 2011
New Player: Granite Readies its Mutual Fund Debut
Granite Investment Advisors plans to launch a value mutual fund...
MutualFundWire.com - Friday, December 16, 2011 Views
Payden & Rygel Goes East
The Los Angeles-based fund shop has made a key hire to boost it business on the East Coast...
MutualFundWire.com - Friday, December 16, 2011 Views
Fee Chats Are Critical for Dalbar Awards
Six mutual fund firms take home Dalbar hardware for the holidays...
MutualFundWire.com - Friday, December 16, 2011 Views
Gallagher Turns a Page in Florida
A Fidelity alum says goodbye to the insurance brokerage...
401kWire.com - Friday, December 16, 2011 - Reader Rating: 1
An ACS Exec Gets a Promotion
It's a newly created position...
401kWire.com - Friday, December 16, 2011 - Reader Rating: 5
Russell Seeks DC-IO Specialist
The manager of managers is looking to ramp up its DC I-O practice with a new hire...
401kWire.com - Friday, December 16, 2011
A Rochester 401k RIA is Hiring
A retirement plan advisory firm looks for someone to work on both business development and relationship management...
401kWire.com - Friday, December 16, 2011 - Reader Rating: 2
How Many Billions is Deutsche's Fund Unit Worth?
Morgan Stanley analysts say the German bank's non-core asset management businesses could be worth more than some expected. ..
MutualFundWire.com - Friday, December 16, 2011 Views
Gross' Mea Culpa Fails to Stem Outflows
Another half billion goes out the door. ..
MutualFundWire.com - Friday, December 16, 2011 Views
The Next Star PMs? The Street Makes a List
All of the talk about stars going out across the industry does not mean that there are no equity fund PMs beating the market...
MutualFundWire.com - Friday, December 16, 2011 Views
Wells Fargo to Soft Close a $7 Billion Fund
The fund's net assets grew from $2.5 billion at the start of 2011 to $7.2 billion...
MutualFundWire.com - Friday, December 16, 2011 Views
Morgan Stanley Plans 1,600 Job Cuts
The broker-dealer is planning a global layoff. No word on..
MutualFundWire.com - Friday, December 16, 2011 Views
Manulife Makes an Acquisition in the Midwest
Manulife Asset Management (formerly known as MFC Global Investment Management) is acquiring a Milwaukee firm's investment management business...
MutualFundWire.com - Thursday, December 16, 2010 Views - Reader Rating: 4
A Fidelity Vet Joins DST Retirement
A long-time Fidelity executive has left the Boston Behemoth for a RKer technology provider...
401kWire.com - Thursday, December 16, 2010 - Reader Rating: 1.6
Calamos Plans to Pull the Plug on a $15.8 Million Fund
The Naperville, Illinois-based company plans to liquidate one of its funds early next year...
MutualFundWire.com - Thursday, December 16, 2010 Views
Ascensus to Axe One-Time Fees for New Clients
The Dresher, Pennsylvania-based plan provider unveils enhancements to its retirement platform...
401kWire.com - Thursday, December 16, 2010 - Reader Rating: 3
Great-West Hires a Hancock Sales Vet
The Colorado-based plan provider is moving into the Louisiana territory. ..
401kWire.com - Thursday, December 16, 2010 - Reader Rating: 5
Will Participants Defer More Next Year?
A new survey reveals that saving has become a high priority for many workers. ..
401kWire.com - Thursday, December 16, 2010
A British Firm Enters the U.S. Mutual Fund Market
The firm has launched a family of five mutual funds...
MutualFundWire.com - Thursday, December 16, 2010 Views
Morningstar Gives Props to FBR and Hancock
Morningstar recognizes outperforming funds of the past two years. ..
MutualFundWire.com - Thursday, December 16, 2010 Views - Reader Rating: 5
WSJ Looks at a Mutual Fund Newcomer
The mutual fund rookie plans a formal launch of his debut product next month...
MutualFundWire.com - Thursday, December 16, 2010 Views
Gross Makes $17M Bet on Pimco Funds
Pimco's co-CIO is putting some of his own skin in the game...
MutualFundWire.com - Thursday, December 16, 2010 Views - Reader Rating: 5
Pioneer Taps Hancock, Ameriprise Alums for a Renamed Group
The Boston-based fund firm recently changed the name of its relationship management and strategic alliances group...
MutualFundWire.com - Wednesday, December 16, 2009 Views
Putnam Hires Another Ex-Fidelity Exec
The Fidelity alum takes on a newly created role at Putnam...
MutualFundWire.com - Wednesday, December 16, 2009 Views
JennisonDryden is Rebranding
Prudential plans to phase out the JennisonDryden brand next year...
MutualFundWire.com - Wednesday, December 16, 2009 Views - Reader Rating: 5
TCW's Loss is Pimco's Gain
Pimco has emerged as a beneficiary of the fallout stemming from Jeff Gundlach's ouster from TCW...
MutualFundWire.com - Wednesday, December 16, 2009 Views
ING's Rollover Unit Reports to a New Chief
The New York City-based firm reveals who will take the reigns in January as chief executive officer of financial solutions, as the company preps to roll out a 'transformed' annuity and rollover business...
401kWire.com - Wednesday, December 16, 2009
Principal Helps Answer the 'DB or DC' Question
The Iowa-based provider ponders a retirement plan offering...
401kWire.com - Wednesday, December 16, 2009 - Reader Rating: 3
Putnam Trumpets a Milestone
Executives at the Boston firm said the absolute return mutual funds launched in January have passed the $1 billion mark...
MutualFundWire.com - Wednesday, December 16, 2009 Views
Kohl Inserts the F Word into the Target Date Debate
The Wisconsin Democrat prepares a new, DC-focused bill...
401kWire.com - Wednesday, December 16, 2009 - Reader Rating: 3
An RKer Takes a Tailored Approach to Participants
A New England-based provider plans to debut a new participant engagement platform in Q2 of 2010, in an effort to enhance participant education efforts...
401kWire.com - Wednesday, December 16, 2009
JPMorgan Retirement is Moving
The plan provider will bid adieu to its Missouri headquarters in 2011 and move to another state...
401kWire.com - Wednesday, December 16, 2009 - Reader Rating: 2
Pioneer Names I-O Sales Head
The Boston fund firm has also renamed its relationship management and strategic alliances group...
401kWire.com - Wednesday, December 16, 2009
A Fund Supermarket Chief Shares 2010 Plans
The director of mutual funds and ETFs at an online brokerage plans to increase staff...
MutualFundWire.com - Wednesday, December 16, 2009 Views
OppFunds Dishes Out $67.3 Million to Settle a 529 Probe
The New York City-based fund firm reaches a settlement with New Mexico on Monday in an investigation into the management of the state's 529 programs...
MutualFundWire.com - Wednesday, December 16, 2009 Views - Reader Rating: 5
Bloomberg Hunts for Junk Inside Target Date Funds
High-yield corporate bonds play a role inside many 2010 target date fund portfolios...
MutualFundWire.com - Wednesday, December 16, 2009 Views - Reader Rating: 5
Faith-Based ETFs Catch The Journal's Attention
Wednesday's Fund Track focuses on FaithShares' new offerings...
MutualFundWire.com - Wednesday, December 16, 2009 Views
Stevens Weighs in on the Financial Reform Bill
ICI chief Paul Schott Stevens warns that the bill that passed the House on Friday could subject mutual funds to bank-like regulations...
MutualFundWire.com - Wednesday, December 16, 2009 Views
Vanguard Shuts New Plans Out of Two Funds
The low-cost fund giant limits institutional access to two of its offerings...
401kWire.com - Tuesday, December 16, 2008
Wayne Hummer Unveils a Small Cap Fund
The Chicago firm has landed distribution with Schwab and Fidelity for the small cap offering...
MutualFundWire.com - Tuesday, December 16, 2008 Views
A Janus Sub Anoints a Co-CEO
The Florida-based firm will have a co-CEO and a co-CIO starting next month...
MutualFundWire.com - Tuesday, December 16, 2008 Views
PlanSponsor Finds a New Sponsor
The retirement-focused publishing firm that Charlie Ruffel built is changing hands...
401kWire.com - Tuesday, December 16, 2008
DC Advisors Look to Weather the Storm
Retirement plan specialists gather in the midst of economic turmoil to compare notes and improve their own business models...
401kWire.com - Tuesday, December 16, 2008 - Reader Rating: 4.25
An Asset Management Recruiter Switches Firms
A Boston-based recruiter recently joined the financial services practice of Slayton Search Partners...
MutualFundWire.com - Tuesday, December 16, 2008 Views
Great-West Fills Sales Posts in the Northeast and Northwest
The plan provider appoints Hancock and Symetra alums to its sales team...
401kWire.com - Tuesday, December 16, 2008
Calvert Rolls Out a Trio of Funds
The consolidation of Calvert and its sister company has resulted in the addition of three funds to the Bethesda, Maryland-based investment manager's lineup...
MutualFundWire.com - Tuesday, December 16, 2008 Views - Reader Rating: 5
Did Another Reserve Fund Break the Buck in September?
The Manhattan money fund specialists reportedly hire a forensic accounting firm to take a look at another money market offering...
MutualFundWire.com - Tuesday, December 16, 2008 Views
A Fund Reopening Catches the WSJ's Eye
Daisy Maxey devotes Tuesday's Fund Track to the reopening of a Hartford fund that had been closed for four years...
MutualFundWire.com - Tuesday, December 16, 2008 Views
OppFunds CorePlus Chief Resigns
A senior vice president bids the MassMutual subsidiary adieu...
MutualFundWire.com - Tuesday, December 16, 2008 Views
Morgan Stanley Names Asset Management Chief
Morgan Stanley has made Owen Thomas’ interim promotion permanent. The Wall Street brokerage firm had tapped Thomas as interim chief for its asset management division in September after John Mack’s return last June...
MutualFundWire.com - Friday, December 16, 2005 Views
SEC Clears Pacific Capital Funds
For the first time the SEC has acknowledged dropping a mutual fund trading investigation after finding no wrongdoing. The fund group cleared was the Bank of Hawaii's Pacific Capital Funds...
MutualFundWire.com - Friday, December 16, 2005
Amvescap Stock Climbs on Grim News
A few months back analysts cited takeover rumors as the reason for Amvescap’s rising stock price. Now they are pointing to the fund manager's plans to cut operating costs. Amvescap shares jumped 3.7 percent on the London Exchange Friday after Morgan Stanley raised its outlook on the stock...
MutualFundWire.com - Friday, December 16, 2005 Views
College Savings Shakeout is Already Starting
The number of players in the 529 plan industry is already starting to contract. Like pimples on a teenage face, contraction in the financial services industry is an obvious sign of coming maturity. Unfortunately, for the fund firms that flocked to the college savings plan market in hopes that the were getting in on the next 401(k) plan boom while it was on the ground floor, 529 plans are not yet half a decade old...
MutualFundWire.com - Friday, December 16, 2005 Views - Reader Rating: 5
Pension Rule Changes Not Home Safe Yet
The White House is threatening to veto the pension rule unless Congress toughens it up. Meanwhile, House members seek to add to the exceptions that are causing the White House's concerns...
401kWire.com - Friday, December 16, 2005
Most Advisors Don't Favor A Totally Open Architecture Platform
Advisors want help from the providers they work with, not unlimited choice...
401kWire.com - Friday, December 16, 2005 - Reader Rating: 5
Gov't Employers Mull Shift to DC
Was the Governator just ahead of his time? Study says more governments will consider DC plans...
401kWire.com - Friday, December 16, 2005
Great-West To Unveil Roth Feature
Fascore will rollout out support for Roth 401ks soon...
401kWire.com - Friday, December 16, 2005
Will a Towers-EDS Deal Create a 401(k) Opp?
The human resources consulting firm is reportedly in talks with a computer outsourcer...
401kWire.com - Thursday, December 16, 2004
Principal Inks Payroll Alliance in Midwest
The bundled plan provider has an ally on the payroll front lined up for clients in two midwestern states...
401kWire.com - Thursday, December 16, 2004
S&P Advises on New 401k Managed Accounts
Affiliates Travelers and Tower Square Securities are targeting the 401(k) market with a new managed account product...
401kWire.com - Thursday, December 16, 2004 - Reader Rating: 3
Ameritrade Going on the Block?
The discount broker may be on the auction block next year. In an article on the extension of CEO Joseph Moglia employment contract through next September, the Wall Street Journal drops a bomb about a possible sale of the $5.6 billion broker...
MutualFundWire.com - Thursday, December 16, 2004 Views
Ameritrade Going on the Block?
The discount broker may be on the auction block next year. In an article on the extension of CEO Joseph Moglia  employment contract through next September, the Wall Street Journal drops a bomb about a possible sale of the $5.6 billion broker...
401kWire.com - Thursday, December 16, 2004
Many are Leaving SSRM in Wake of Sale
Nearly a third of staffers at State Street Research are expected to be gone when the asset manager is absorbed into BlackRock...
MutualFundWire.com - Thursday, December 16, 2004 Views
TIAA-CREF Taps Advice Partner
The education provider teams has teamed up with a Chicago-based player in the advice and managed accounts arena...
401kWire.com - Thursday, December 16, 2004 - Reader Rating: 3
What Can You Buy for $281.2 Million?
Baltimore, Maryland-based Legg Mason raised $281.2 million in a public offering of four million shares of its stock priced at $70.30 per share. The money is earmarked for general corporate purposes as well as potential acquisitions. Legg Mason Wood Walker, Goldman Sachs and Merrill Lynch managed the offering...
MutualFundWire.com - Thursday, December 16, 2004 Views
No Marsh Settlement in 2004 Likely
Don’t expect Marsh & McLennan Cos. to settle with New York State Attorney General before the end of the year. The Wall Street Journal reported Thurdsay that Marsh will miss its year-end target for a settlement in the case involving its insurance brokerage business. Unidentified sources told the paper that Spitzer's office is continuing to investigate and is therefore not ready to settle. ..
MutualFundWire.com - Thursday, December 16, 2004
JPMorgan Expands Managed Account Ops
JPMorgan Investor Services is bringing on two executives for new roles in its managed account operations group. Steve Boyle joins the firm as director of managed account operations and will be based in Brooklyn, New York. Boyle was previously a director of operations for Bear Stearns’ managed account program. Working with Boyle will be Brett Rainey, newly hired vice president of managed account operations...
MutualFundWire.com - Thursday, December 16, 2004 Views - Reader Rating: 2.33
Spitzer Looks Into Morningstar 401k Picking
The New York Attorney General may be running for governor, but the campaign will apparently not stop his investigators...
MutualFundWire.com - Thursday, December 16, 2004 Views
Principal Settles Timing Suit
The insurer settles with an employee it accused of timing inside of his 401k account...
MutualFundWire.com - Tuesday, December 16, 2003 - Reader Rating: 1
Putnam Fires Another Nine for Timing
The embattled fund firm faces another round of scrutiny after acknowledging more timers in its midst...
MutualFundWire.com - Tuesday, December 16, 2003 - Reader Rating: 4
Wells Fargo Sets Its Sights On The Small K Market
The Bank is scheduled to formally roll out its newest 401k product next year...
401kWire.com - Tuesday, December 16, 2003
Small B-Ds Fight ICI Research Proposal
The ICI did not win any friends when it proposed reforming soft dollars on Monday...
MutualFundWire.com - Tuesday, December 16, 2003 Views
Schwab: The Match is Back
The brokerage firm is once again contributing to worker 401k accounts...
401kWire.com - Tuesday, December 16, 2003
Lord Abbett Readies International Fund
The fund firm taps a team of new portfolio managers for the job...
MutualFundWire.com - Tuesday, December 16, 2003 Views
Fund Firm Names New Manager
Industry vet joins Minneapolis-based fund firm...
MutualFundWire.com - Tuesday, December 16, 2003 Views
Sungard Pumps Up Recordkeeping Platform
Jacksonville, Florida-based recordkeeper makes its system more efficient and simpler to use...
401kWire.com - Tuesday, December 16, 2003 - Reader Rating: 2
Tennessee Sponsor Delays 401k Implementation
The sponsor is reportedly uncomfortable with the RFP finalist...
401kWire.com - Tuesday, December 16, 2003 - Reader Rating: 1
Vanguard Helps Parts Take a Step
The bundled provider is rolling out a program designed to maximize the use of plans by participants in January...
401kWire.com - Tuesday, December 16, 2003 - Reader Rating: 3
Calpers Hesitates to Pull Trigger on Alliance
Harrington says Alliance actively swiftly and decisively to confront its issues...
401kWire.com - Tuesday, December 16, 2003
Who Was Manager of the Year?
Morningstar makes it 2004 nominations...
MutualFundWire.com - Tuesday, December 16, 2003 Views
12b-1 Fees Are Next
The SEC plans to leave no fee unturned...
MutualFundWire.com - Tuesday, December 16, 2003 - Reader Rating: 3
Alliance Agrees to Accept Fee Cut
The embattled fund firm plans a 20 percent fee reduction over the next five years as it prepares to enter into a landmark settlement...
MutualFundWire.com - Tuesday, December 16, 2003 Views
Ohio Fund Family to Add R Shares
The move is intended to make the firm more competitive in the advisor-sold market segment...
401kWire.com - Monday, December 16, 2002 - Reader Rating: 4
State Street Contests Stock Sale Prohibition
Bankruptcy law is clashing with ERISA as the UAL bankruptcy works its way through the courts...
401kWire.com - Monday, December 16, 2002 - Reader Rating: 5
Janus Will Lose Mandate
The decision by a fund family to merge two offerings will cost Janus a $100 million mandate. The decision is said to be based on cost cutting, not performance...
MutualFundWire.com - Monday, December 16, 2002 Views - Reader Rating: 3.33
State Street Lands Toronto Ops Deal
The Boston bank wins a mandate for fund accounting, custody and transfer agency duties from a Toronto-based fund family...
MutualFundWire.com - Monday, December 16, 2002 Views
ManuLife Affiliate Swaps Subadvisors
PCJ Investment Counsel has lost one of its two mandates with the Canadian fund firm...
MutualFundWire.com - Monday, December 16, 2002 Views
Nationwide Plans VA with Advisory Tools
The insurer will offer reps online advisory tools to help them find the right fit for VA investors. The product will roll out in 2003...
MutualFundWire.com - Monday, December 16, 2002 Views - Reader Rating: 3
Snuffed Out in the Crib
UBS is hopes to merge a three-year-old fund out of existence...
MutualFundWire.com - Monday, December 16, 2002 Views - Reader Rating: 4
GoldK Hires Marketer
The firm has tapped a Putnam veteran to oversee its strategic product marketing...
401kWire.com - Monday, December 16, 2002 - Reader Rating: 4.67
DoL Makes Example of Wisconsin Sponsor
The DoL is publicizing its prosecutions along with how sponsors can enroll in its VFPC...
401kWire.com - Monday, December 16, 2002 - Reader Rating: 4.2
Mason Street Reshuffles Managers
The unit of Northwestern Mutual names to portfolio managers for its Growth StockFund...
MutualFundWire.com - Monday, December 16, 2002 Views
Schwab Customers Continue To Embrace The Internet
Schwab's July survey showed their customers planned to use the Internet for trading; the October survey shows that 90% now do...
MutualFundWire.com - Thursday, December 16, 1999 - Reader Rating: 3
Let's Start the Second Half
We are getting close to the end of the first half in the investment advice game. First, to be clear, this is not a game that most in the retirement plan business have seen before. The first half in the new economy is to seed and build an idea. The best bet is an idea based on nothing tangible. Rather, the key component to these ideas is information and creating what are called "network effects" in large market spaces -- they are not based on the "old metrics" of bodies, widgets and book value. The new metric rests on minds and intellectual capital and the potential number of eyeballs...
401kWire.com - Thursday, December 16, 1999 - Reader Rating: 3
Nothing But Net
Houston-based Westcott Securities has launched its own fund family, starting with an Internet fund and planning to follow up with two more conservative funds early in 2000...
MutualFundWire.com - Thursday, December 16, 1999 - Reader Rating: 3
Deutsche Combines BT and Morgan Grenfell Funds
Deutsche Bank is combining its no-load mutual funds under the "Deutsche Asset Management" name. The new business combines the funds of BT Mutual Funds and Morgan Grenfell. ..
401kWire.com - Thursday, December 16, 1999 - Reader Rating: 3
Franklin Distributes Johnson's Position
Franklin Templeton's distribution arm is promoting two execs to take on Greg Johnson's responsibilities as he moves up to president of Franklin Resources...
MutualFundWire.com - Thursday, December 16, 1999 - Reader Rating: 3
Odd Lots, December 16, 1999
Lipper predicts flight to value ... IPO funds soar ... Telecom funds ring strong and clear. ..
MutualFundWire.com - Thursday, December 16, 1999 - Reader Rating: 3
Financial Engines Scores Big Time
*UPDATED* The Palo Alto advice firm has just netted $85 million in a recent round of financing. ..
MutualFundWire.com - Thursday, December 16, 1999 - Reader Rating: 3
Financial Engines Scores Big Time
Palo Alto, California-based Financial Engines, Inc., the third-party advice-giver, has just netted $85 million round in its E round of financing. Oak Hill Capital Partners led the investment round...
401kWire.com - Thursday, December 16, 1999 - Reader Rating: 3
NSCC Trading Platforms Ally
Stamford, Connecticut-headquartered Columbus Circle Trust Company and Gail Weiss & Associates of Baltimore, Maryland have announced that they are forming a joint marketing alliance...
401kWire.com - Wednesday, December 16, 1998 - Reader Rating: 3
1998: Good or Bad for Fido?
Fidelity Investments has announced that it has added 1,200 more clients to its 401(k) services. 700,000 more participants are now under the Boston Behemoth's umbrella than a year ago, and there are an addition $31 billion in assets under management. Yet, a report from Boston, Massachusetts-based Financial Research Corporation contends that 1998 was a bad year for Fidelity in general...
401kWire.com - Wednesday, December 16, 1998 - Reader Rating: 3
Putnam's DC Business to Report to New Head
Marketing staff for the defined contribution business of Boston-based Putnam Investments will report to Louise R. Kuo after January 15, according to the mutual fund company. Kuo, managing director, is joining Putnam from Prudential Investments where she spent nine years as senior vice president in charge of marketing and strategy...
401kWire.com - Wednesday, December 16, 1998 - Reader Rating: 3
WWW Site Shows Value of Social Security Privatization
The Cato Institute, a conservative think tank that is promoting the privatization of the Social Security system, has developed a payroll calculator to show workers how much more they would save if their payroll taxes were held in 401(k)-type accounts. The site can be found at http://socialsecurity.org...
401kWire.com - Tuesday, December 16, 1997 - Reader Rating: 3
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