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News Stories Archives - Since 1998
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Netting $33.619B, BlackRock Threepeats
The M* team updates U.S. flows data for July 2024 for ETFs and long-term, open-end mutual funds...
MutualFundWire.com -
Monday, August 26, 2024
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At an RKer Titan, WFH Will Soon Max Out At Half
About 1,200 employees applied for exceptions to the soon-to-be-updated policy. About half got the green light...
401kWire.com -
Monday, August 26, 2024
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Reader Rating: 1
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Near Hartford, a Biz Transform Chief Joins a DC Ally
The new hire most recently hails from Akura...
401kWire.com -
Monday, August 26, 2024
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Voya Wins a 1,251-Account CT Client
The other finalists for this RFP were MissionSquare and Corebridge...
401kWire.com -
Monday, August 26, 2024
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Reader Rating: 5
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Week In Preview, August 26 - September 2
This week, the teams at ERIC, ERISApedia, Spark, TPSU, and WIPN will host events...
401kWire.com -
Monday, August 26, 2024
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Reader Rating: 2
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Week In Preview, August 26 - September 2
This week, the teams at Echelon Partners, Nicsa, and WE are hosting events...
MutualFundWire.com -
Monday, August 26, 2024
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A $3.5B-AUM Shop Adds a Natural Resources Fund
The new, passively managed ETF's assets will be invested mainly in dividend-paying equities in industries like agriculture, chemicals, energy, metals, mining, paper, and timber...
MutualFundWire.com -
Friday, August 26, 2022
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RKers Prepare to Celebrate, Communicate, and Educate On 401k Day 2022
DC industry insiders share their plans for the annual holiday, which is coming up on the Friday after Labor Day, as per usual...
401kWire.com -
Friday, August 26, 2022
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A $1B-AUM RIA Hires a Veteran 401k Sales Leader
The Midwestern executive most recently held a sales role at a TPA...
401kWire.com -
Friday, August 26, 2022
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15 RKers Are Among the Best Employers For Women
A business publication honors 400 American employers, including more than a dozen in the retirement plan recordkeeping business...
401kWire.com -
Friday, August 26, 2022
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Long-Term Flows Fall $22B In a Week
The Refinitiv Lipper folks reveal the latest weekly U.S. fund flows data...
MutualFundWire.com -
Friday, August 26, 2022
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A CT Industry Vet Rises to RKer RM
She joined the recordkeeper four years ago as a retirement education consultant...
401kWire.com -
Friday, August 26, 2022
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An $18B-AUM Subadvised Fund Firm Celebrates the Big Two-Oh
Tomorrow, a faith-based mutual fund family will cross a big milestone...
MutualFundWire.com -
Thursday, August 26, 2021
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Reader Rating: 5
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A Distributions Specialist Expands In the Dakotas
An ally to DC providers is adding a second call center...
401kWire.com -
Thursday, August 26, 2021
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A 2MM-Participant RKer Debuts a Dashboard
The provider's new interactive, online guide was built with behavioral econ in mind...
401kWire.com -
Thursday, August 26, 2021
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CapTrust Buys Into Chi-Town
The PE-backed, $600-billion-AUA KPA RIA buys a foundations and endowments shop that also has a DC practice...
401kWire.com -
Thursday, August 26, 2021
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Dodge and Cox's Proportional Inflows Rise 18-Fold
The M* team updates U.S. flows data for July 2021 for ETFs and long-term, open-end mutual funds...
MutualFundWire.com -
Thursday, August 26, 2021
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For KPAs, a New Marketplace Expands Its Vendor Reach
More than 80 advisory firms now use the platform, which features 25 recordkeepers, plus some PEPs, managed account services, and one asset manager, so far...
401kWire.com -
Thursday, August 26, 2021
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After 35 Years, a Fund Firm Hits $3B
A team based in Colorado has tripled their AUM in less than six years...
MutualFundWire.com -
Wednesday, August 26, 2020
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Reader Rating: 4
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What About PEP Registration Timing, DoL?
Defined contribution industry insiders and ERISA legal eagles talk to 401kWire about last week's proposal...
401kWire.com -
Wednesday, August 26, 2020
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A Robo RKer's Team Completely Revamps Their Portal
A four year-old startup's team rolls out an online upgrade...
401kWire.com -
Wednesday, August 26, 2020
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This KPA Training Is Going Virtual
A 3-day program for advisors will go online this fall...
401kWire.com -
Wednesday, August 26, 2020
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The Rock Bets On a Robo
Fresh from the XFL deal, a pair of famous investors are investing in a roboadvisor firm already backed by BlackRock, Capital Group, and others...
MutualFundWire.com -
Wednesday, August 26, 2020
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A January 401(k) Conference Moves Online
The event is scheduled for January 21-22, 2021...
401kWire.com -
Wednesday, August 26, 2020
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An ESG Chief Resigns
After creating his position five years ago, a global head of ESG & sustainability is moving on. ..
MutualFundWire.com -
Monday, August 26, 2019
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CapTrust Buys a River City RIA With a Retirement Biz
The deal is expected to close next month...
401kWire.com -
Monday, August 26, 2019
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Mee Brings a Gallagher Alum to Standard
She makes the move from KPA to sales director...
401kWire.com -
Monday, August 26, 2019
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Week In Preview, August 26-September 2
This week the teams at BAM and Spectrum are hosting events...
401kWire.com -
Monday, August 26, 2019
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The Feds Sentence an Ex-Vanguard Vet
A federal judge sentences a former Vanguard crewmember who pled guilty to stealing more than $2.1 million from customers' accounts...
MutualFundWire.com -
Monday, August 26, 2019
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An American Century DC I-O Specialist Departs
After spending just shy of nine years with American Century, a vice president left the company...
401kWire.com -
Monday, August 26, 2019
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Reader Rating: 3.5
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A Midwestern ETF Strategist Tests the Waters With Its Own Mutual Fund
A 13-year-old shop teams up with Ultimus to enter the mutual fund business...
MutualFundWire.com -
Friday, August 26, 2016
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Reader Rating: 5
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Filings for Fundsters - August 26, 2016
A compilation of SEC filings...
MutualFundWire.com -
Friday, August 26, 2016
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A San Diego KPA on the B-D Move
This San Diego, California-based 401(k) plan advisor (KPA) has recently aligned with a new broker-dealer to better service his book of business...
401kWire.com -
Friday, August 26, 2016
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Industry Pioneer Ron Bush Dies at 69
The retirement industry veteran passed away following a brief illness. ..
401kWire.com -
Friday, August 26, 2016
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Reader Rating: 5
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A $3.4B Abbott Labs' Spinoff Changes Providers
The retirement plan has a new recordkeeper, custodian, and trustee. ..
401kWire.com -
Friday, August 26, 2016
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AARP Praises the DoL; Urges NYC to Join State-Run Plan Party
AARP, the organization representing millions of senior citizens, applauds the DoL for finalizing its rule for implementing state-run plans and more...
401kWire.com -
Friday, August 26, 2016
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Chandoha Launches Schwab's 4th Line of TDFs
Updated | The brokerage giant's asset management arm is pitching the new series as the cheapest mutual fund TDF series available to plan sponsors...
401kWire.com -
Friday, August 26, 2016
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SEC Smites 13 RIAs Who Used F-Squared's Products
The regulatory agency claims these shops "accepted and negligently relied upon" the fallen ETF strategist's "false claims ... about its flagship product." The RIAs were ordered to pay a combined $2.2 million in penalties...
MutualFundWire.com -
Friday, August 26, 2016
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What Are Reasonable Retirement Plan Fees?
A PSCA contributor and CFP examines the role of retirement plan fiduciaries. ..
401kWire.com -
Friday, August 26, 2016
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Reader Rating: 5
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401(k) Participants Want More from Politicians, Schwab Survey Says
Participants view their 401(k) as an essential workplace benefit, but can the government do more?..
401kWire.com -
Wednesday, August 26, 2015
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Larry Fink Catches Robo-Fever
Yes, the world's biggest asset manager is shelling out an undisclosed sum for the deal, which is slated to close next quarter...
MutualFundWire.com -
Wednesday, August 26, 2015
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Prudential Welcomes a New Head of Product for its Retirement Division
Prudential welcomes its newest member of the retirement division...
401kWire.com -
Wednesday, August 26, 2015
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Reader Rating: 4
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This Texas Advisor Now Affiliates with a New Super OSJ
As of June 2015, a Texas 401(k) plan advisor (KPA) now affiliates with a new super office of supervisory jurisdiction (OSJ)...
401kWire.com -
Wednesday, August 26, 2015
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A California City Switches Service Providers
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401kWire.com -
Wednesday, August 26, 2015
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Reader Rating: 5
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An Empire State Mutual Fund Shop Buys a Chitown Hedge Fund
The buyer will take over its target's SMA business and convert the hedge fund itself into a mutual fund...
MutualFundWire.com -
Wednesday, August 26, 2015
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This TPA Adds a Consultant and RVP
A pension consultant and a regional vice president join a TPA shop...
401kWire.com -
Wednesday, August 26, 2015
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Working For BlackRock Versus ... Spinning?
A high-flying young DJ points to a recruiting call from BlackRock as the moment he chose his career...
MutualFundWire.com -
Wednesday, August 26, 2015
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A Colorado KPA Changes B-Ds
Following the Financial Telesis deal, a Denver-based retirement plan advisory team switches broker-dealers...
401kWire.com -
Tuesday, August 26, 2014
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This Week in Fund Sales Hiring: Firms Trade-Up Talent
Recruiter George Wilbanks talks to MFWire on how fund firms are focusing like a laser beam on particular skill-sets, plus this week's job openings...
MutualFundWire.com -
Tuesday, August 26, 2014
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BrightScope Sees Law Firms' 401ks On Top, Again
The ratings and research specialists rank 23 industries by averages of the BrightScope ratings for each industry's large 401k plans...
401kWire.com -
Tuesday, August 26, 2014
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Reader Rating: 5
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Two KPA Units Combine Into a $10B Shop
The move follows the departure of a prominent KPA to launch her own shop...
401kWire.com -
Tuesday, August 26, 2014
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A Guggenheim Distro Honcho Rises in the East
Salesman has been promoted to handle the distribution for Rydex funds on all channels in the eastern half of the United States...
MutualFundWire.com -
Tuesday, August 26, 2014
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After 20 Years, a Buck Vet Joins Segal Rogerscasey
John DeMairo names an SVP and senior consultant who focuses on DB risk and asset liability management, as well as strategic DC plan consulting...
401kWire.com -
Tuesday, August 26, 2014
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Dalessio Confirms a $514MM Pru Win
A Utah-based plan sponsor switched over on July 1...
401kWire.com -
Tuesday, August 26, 2014
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Reader Rating: 3
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Three Participant-Focused Execs Join Lincoln
Updated | The bundled provider welcomes new hires in Arizona, Georgia and Texas...
401kWire.com -
Tuesday, August 26, 2014
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Reader Rating: 4
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Does Janus Need More Change, or Less?
A Morningstar analyst delves into the efforts by CEO Dick Weil and CIO Enrique Chang to right Janus' ship. The firm could use some stability, the analyst argues, sooner rather than later...
MutualFundWire.com -
Tuesday, August 26, 2014
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Garen Returns to 401k
The New York Life alum is building a retirement business...
401kWire.com -
Monday, August 26, 2013
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Reader Rating: 4.67
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Fidelity Offers 403b Tips
The Boston Behemoth releases a second edition of its report on the retirement plan business in the non-profit sector...
401kWire.com -
Monday, August 26, 2013
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McCrory Fills Two Wholesaling Posts at Lincoln
The Keystone State-based provider's advisor-focused 401k sales force welcomes a pair of regional sales directors...
401kWire.com -
Monday, August 26, 2013
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Reader Rating: 3
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What Will Happen If the 401k Savings Cap Passes?
The deadline is nearing; what if Obama administration’s proposal to cap tax-favored retirement savings plans gets passed? EBRI loosk at what could happen...
401kWire.com -
Monday, August 26, 2013
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Graziano Changes Touchstone's Compliance Leadership
Firm hires new chief compliance officer. Interim exec is able to go back and focus on compliance leadership for the parent company...
MutualFundWire.com -
Monday, August 26, 2013
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AMG Revises the TimeSquare Fund
Affiliated Managers Group [profile] has revised the TimeSquare Small Cap Growth Fund's prospectus section titled “Principal Investment Strategies.” [SEC Filing]...
MutualFundWire.com -
Monday, August 26, 2013
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Guggenheim Switches an Old Claymore ETF's Index
Claymore Exchange-Traded Fund Trust has filed a notice changing the investment policy of the Guggenheim BRIC ETF [profile]. Before, the fund sought investment results that correspond generally to the performance of an equity index called the BNY Mellon BRIC Select ADR Index. The fund's new policy is to seek investment results that correspond generally to the performance of an equity index called the BNY Mellon BRIC Select DR Index. [SEC Filing]...
MutualFundWire.com -
Monday, August 26, 2013
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J.P. Morgan Adjusts Distributions For an EM Fund
J.P. Morgan Funds [profile]
has decided that the JPMorgan Total Emerging Markets Fund will distribute net investment income at least quarterly. [SEC Filing]...
MutualFundWire.com -
Monday, August 26, 2013
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Private Capital Spins Off From Legg
Fundvantage Trust has filed a notice for a transaction regarding Private Capital Management, L.P. [profile], the investment advisor to the Private Capital Management Value Fund. The investment adviser is expected to complete a transaction to restructure its equity ownership as it spins off from Legg Mason [profile]. [SEC Filing]...
MutualFundWire.com -
Monday, August 26, 2013
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New Frontiers Plans to Liquidate a Fund
New Frontiers Trust has decided to liquidate the New Frontiers KC India Fund. The reasons cited were that the market conditions in India are difficult and the fund is small. The board has determined to close the Fund and redeem all remaining outstanding shares on September 26. [SEC Filing]...
MutualFundWire.com -
Monday, August 26, 2013
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A DoubleLine-Powered Fund Will Reopen
RiverNorth Funds [profile] has decided to reopen the RiverNorth/DoubleLine Strategic Income Fund to all investors. SEC Filing]...
MutualFundWire.com -
Monday, August 26, 2013
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SR: Direxion Nixes a Fee For 13 Funds
Rafferty's Direxion Funds [profile] has decided to remove the 25 basis-point shareholder servicing fee applicable to the Direxion Monthly S&P 500 Bull 2X Fund, Direxion Monthly S&P 500 Bear 2X Fund, Direxion Monthly NASDAQ 100 Bull 2X Fund, Direxion Monthly Small Cap Bull 2X Fund, Direxion Monthly Small Cap Bear 2X Fund, Direxion Monthly Emerging Markets Bull 2X Fund, Direxion Monthly Latin America Bull 2X Fund, Direxion Monthly China Bull 2X Fund, Direxion Monthly Commodity Bull 2X Fund, Direxion Monthly 7-10 Year Treasury Bull 2X Fund, Direxion Monthly 7-10 Year Treasury Bear 2X Fund, Dynamic HY Bond Fund and the U.S. Government Money Market Fund. [SEC Filing]...
MutualFundWire.com -
Monday, August 26, 2013
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Transamerica Adjust Seven Funds
Transamerica Asset Management [profile] has revised the management section of the Transamerica BNP Paribas Large Cap Growth VP and Transamerica Large Cap Growth. They have reduced the advisory fees for the Transamerica Multi-Managed Balanced VP, Transamerica Growth, Transamerica International Value Opportunities
, and Transamerica Multi-Managed Balanced funds. Finally, they have adjusted the investment strategies of the Transamerica Multi-Manager Alternative Strategies Portfolio. [SEC Filing I]. [SEC Filing II]...
MutualFundWire.com -
Monday, August 26, 2013
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Research Affiliates Tweaks the Indexes Behind Two PowerShares Funds
PowerShares [profile] has filed an update to the prospectuses of its PowerShares Fundamental High Yield Corporate Bond Portfolio and PowerShares Fundamental Investment Grade Corporate Bond Portfolio. Effective August 31, the respective underlying indexes, Research Affiliates' RAFI Bonds US High Yield 1-10 Index and the RAFI Bonds US Investment Grade 1-10 Index for the PowerShares Fundamental High Yield Corporate Bond Portfolio and the PowerShares Fundamental Investment Grade Corporate Bond Portfolio, are changing their investment methodologies. [SEC Filing]...
MutualFundWire.com -
Monday, August 26, 2013
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Touchstone Replaces Its CCO and Readjusts Fund Fees
Touchstone Investments [profile] has decided to adjust the expense limitation for institutional class shares for the Touchstone International Small Cap Fund. Touchstone Investments has also filed a notice of change regarding the Touchstone Value Fund. The board of the fund has approved of a reduction in the fund's advisory fees. Finally, Touchstone has replaced Michael R. Moser with Timothy S. Stearns as CCO. This change was effective August 23. [SEC Filing I]. [SEC Filing II]. [SEC Filing III]...
MutualFundWire.com -
Monday, August 26, 2013
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FPA Revises Paramount's PM List
FPA Funds [profile] has named Gregory A. Herr and Pierre O. Py as the sole PMs of the FPA Paramount Fund. The prospectus has been revised to reflect this change. [SEC Filing]...
MutualFundWire.com -
Monday, August 26, 2013
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Fido Adds a PM to an Energy Fund
Fidelity [profile] has edited the PM information for the Fidelity Energy Service Portfolio. They have added Ben Shuleva as PM to the fund, effective this month. [SEC Filing]...
MutualFundWire.com -
Monday, August 26, 2013
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J.P. Morgan Plans to Liquidate a Global Fund
J.P. Morgan [profile] plans to liquidate the JPMorgan Global Opportunities Fund on or about October 4. [SEC Filing]...
MutualFundWire.com -
Monday, August 26, 2013
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A Goldman Subadvisor Departs
The hedge shop had managed one sleeve in a four-month-old fund...
MutualFundWire.com -
Monday, August 26, 2013
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A Morgan Stanley Alum Takes Over Distribution For an Institutional Shop
The $6 billion asset manager sub-advises several mutual funds...
MutualFundWire.com -
Monday, August 26, 2013
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Three Things to Know About Principal's Q2 2013 Earnings
CORRECTED | Principal recently reported second quarter earnings, beating the estimate for earnings per share but missing on revenue. ..
401kWire.com -
Monday, August 26, 2013
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Chiricotti Smiles On Three TDF Families
...T. Rowe Price, American Funds, and TIAA CREFF...
401kWire.com -
Monday, August 26, 2013
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Three Things to Know About Principal's Q2 2013 Earnings
Principal Financial recently announced second quarter earnings that beat analyst estimates. ..
MutualFundWire.com -
Monday, August 26, 2013
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Three Things to Know About Columbia From Ameriprise's Q2 2013 Earnings
Ameriprise recently posted earnings that exceeded expectations. ..
MutualFundWire.com -
Monday, August 26, 2013
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Szilagyi Builds NY Presence With a Hire from Sentinel
CEO of Catalyst and USA Mutuals also plans to hire for at least three other regions. ..
MutualFundWire.com -
Monday, August 26, 2013
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Sears Faces a 401k Stock Drop Investigation
A class-action law firm looks into the retailer's $2.94 billion 401k plan...
401kWire.com -
Monday, August 26, 2013
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OpFunds Floats a New Fund
Oppenheimer is bringing a new fund to its 14-year-old Senior Floating Family. ..
MutualFundWire.com -
Monday, August 26, 2013
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An Eaton Vance Arm Changes Its C-Suite
A 16-year veteran COO retires at the end of this month. A a recent hire from BNY Mellon will assume his responsibilities...
MutualFundWire.com -
Monday, August 26, 2013
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T. Rowe Price Restricts 401k Trades of 1,300 Participants
Reuters covered T. Rowe's decision to ban more than a thousand employees from trading its funds. ..
MutualFundWire.com -
Monday, August 26, 2013
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iShares Tries to Capture Buffet's Magic
Morningstar's Samuel Lee covers a new iShares fund that attempts to replicate Warren Buffet's smart company picks. ..
MutualFundWire.com -
Monday, August 26, 2013
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Rekenthaler: Are DFA's Charts a Little Too Convenient?
Its easy to make charts say what you want them to say, Morningstar's John Rekenthaler writes...
MutualFundWire.com -
Monday, August 26, 2013
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IUniverse Hammers More Nails into Active Management's Coffin
IndexUniverse's Cinthia Murohy adds to the arguments challenging active manager relevance.
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MutualFundWire.com -
Monday, August 26, 2013
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Asset Managers Sound Off On Thursday's Nasdaq Glitch
The Nasdaq glitch has inspired many reactions from both Washington DC and the investing community. ..
MutualFundWire.com -
Monday, August 26, 2013
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Barron's Profiles an ETF-Happy CEO
Barrons' Richard Rescigno had a chat with Cumberland's David Kotok, who had a few things to say on investing in equity through ETFs vs. individual stocks. ..
MutualFundWire.com -
Monday, August 26, 2013
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RKers Prep for Irene's Impact
Recordkeepers talk about how they're preparing for the hurricane...
401kWire.com -
Friday, August 26, 2011
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Reader Rating: 3
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Montgomery Welcomes a Familiar Advisor
A top retirement plan consultant in the Southeast expands his team...
401kWire.com -
Friday, August 26, 2011
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Fund Firms Brace for Hurricane Irene
The MFWire checks in with fund firms on how they are preparing for Irene...
MutualFundWire.com -
Friday, August 26, 2011
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Securian Beefs Up its Web Portal for Plan Sponsors
Company officials say the redesigned portal features enhanced security and simplified navigation...
401kWire.com -
Friday, August 26, 2011
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Reader Rating: 3
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Ascensus Hires in Florida and California
The Drescher, Pennsylvania-based firm fills sales posts...
401kWire.com -
Friday, August 26, 2011
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Reader Rating: 2
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Becker Targets the Institutional Crowd
Becker Capital Management rolls out an Institutional share class for its large-cap value fund...
MutualFundWire.com -
Friday, August 26, 2011
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Did Gundlach Cost TCW $353M in Closed-End Fund Fees?
The chief of the mutual fund firm returns to testify yet again in the courtroom battle with the firm's ex-CIO...
MutualFundWire.com -
Friday, August 26, 2011
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Greer's Memorial Service Gathers Hundreds at a Fidelity Campus
A memorial service for Boyce Greer took place yesterday morning...
MutualFundWire.com -
Friday, August 26, 2011
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WSJ Calls Out Gross' 'Laggard' Performance
The Pimco star is humbled by his bets against Treasurys...
MutualFundWire.com -
Friday, August 26, 2011
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Reader Rating: 2
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More Mutual Funds May be on SouthernSun's Horizon
The Memphis firm, now majority employee-owned, is thinking of adding to its mutual fund menu...
MutualFundWire.com -
Thursday, August 26, 2010
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RKing Chiefs Will Talk Retirement Income With the DoL and IRS
The two regulators unveil the witness list for a two-day hearing scheduled for next month...
401kWire.com -
Thursday, August 26, 2010
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Reader Rating: 4
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MassMutual Awards Two Subadvisor Mandates
MFS and BlackRock are winners as the insurer makes changes in two of its funds...
MutualFundWire.com -
Thursday, August 26, 2010
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A Hall of Famer Closes for Superheroes at Matrix
The firm's annual conference again features a famous Yankee...
401kWire.com -
Thursday, August 26, 2010
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Reader Rating: 4.5
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Financial Engines' Retirement Income Offering is Almost Here
Jeff Maggioncalda talks to a trade pub about a soon-to-be launched offering...
401kWire.com -
Thursday, August 26, 2010
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Reader Rating: 5
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Caterpillar Plans a DB-to-DC Switch
The change will take place next year...
401kWire.com -
Thursday, August 26, 2010
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An Open Architecture RKer Directs a New Product at TPAs
A provider unveils its third defined contribution platform...
401kWire.com -
Thursday, August 26, 2010
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Reader Rating: 5
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How Will Legg Stand Up In Light of 12b-1 Reform?
Two analysts lower their price target for the publicly-traded mutual fund firm...
MutualFundWire.com -
Thursday, August 26, 2010
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Forbes Retracts a Vanguard Story 35 Years Later
The mag takes back what it wrote in 1975...
MutualFundWire.com -
Thursday, August 26, 2010
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SEC and Reserve Fail to Settle
The civil fraud suit stemming from the collapse of the Primary Fund is still unresolved...
MutualFundWire.com -
Thursday, August 26, 2010
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Reader Rating: 5
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Vanguard Hearts Social Media
SearchCIO.com takes a close look at Vanguard's social media and collaboration efforts...
MutualFundWire.com -
Thursday, August 26, 2010
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WSJ Spotlights Bosse's Strategy
Jon Bosse's strategy isn't based on macroeconomics or trends.
..
MutualFundWire.com -
Thursday, August 26, 2010
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JPMorgan Names a Replacement for a Bond-Picking Duo
JPMorgan Asset Management has appointed a new leader for its emerging-market debt team...
MutualFundWire.com -
Wednesday, August 26, 2009
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Judge OKs Settlement of Merrill Stock-Drop Suit
A federal judge in Manhattan gave the final approval to the $75 million settlement...
401kWire.com -
Wednesday, August 26, 2009
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The BGI Sale Single-Handedly Kept Fund M&A Alive in the First Half of 2009
Without the giant sale to BlackRock, the pace of mutual fund industry deals slowed substantially in Q1 and Q2...
MutualFundWire.com -
Wednesday, August 26, 2009
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Reader Rating: 5
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Fido Says its Bond Fund Assets are Up Nearly 17 Percent in the First Half
The Boston Behemoth unveils a fixed income guidance program for investors...
MutualFundWire.com -
Wednesday, August 26, 2009
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A Jersey TPA Names Sales Director
The firm promotes one of its own for the role...
401kWire.com -
Wednesday, August 26, 2009
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Reader Rating: 3
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M&I Hires a Former NFL Player
The Milwaukee-based firm names the new addition to its Taft-Hartley team...
401kWire.com -
Wednesday, August 26, 2009
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Reader Rating: 2
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Turner is Expanding its Sales Team
The Berwyn, Pennsylvania-based fund firm is looking to bring six external wholesalers on board by November...
MutualFundWire.com -
Wednesday, August 26, 2009
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A Trade Pub Editor Finds New Action at Pru
The managing editor of a trade publication focusing on the defined contribution and mutual fund industries has joined Prudential...
401kWire.com -
Wednesday, August 26, 2009
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Morgan Stanley Seeks a Stake If Invesco Bites
The biggest U.S. brokerage is in talks to secure a stake in the Atlanta-based asset management firm if it decides to buy its up-for-sale mutual-fund unit...
MutualFundWire.com -
Wednesday, August 26, 2009
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Reader Rating: 5
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Fidelity & Vanguard to SEC: Keep Money Fund NAVs Anchored!
Two of the largest money fund sponsors have weighed in against the SEC's proposed change to rule 2a-7. Meanwhile, one top Obama advisor is weighing in on the banks' side...
MutualFundWire.com -
Wednesday, August 26, 2009
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Reader Rating: 3
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Reserve Primary May Only be a Penny Short
One of the funds to break a buck a year ago could be on a path to repay nearly all investor monies...
MutualFundWire.com -
Wednesday, August 26, 2009
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Reader Rating: 3
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Fees in Zombie ETFs Bite Investors
That not all ETFs are created with equally low costs is a fact that may be about to sink in with financial reporters...
MutualFundWire.com -
Wednesday, August 26, 2009
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Wasatch Buys Bank Funds
Wasatch Advisors has inked a deal to acquire three mutual funds...
MutualFundWire.com -
Tuesday, August 26, 2008
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MassMutual Readies a Product for TPAs
The Springfield, Massachusetts-based plan provider is close to launching a registered product for the TPA channel...
401kWire.com -
Tuesday, August 26, 2008
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Private Equity Firms Peek at Lehman Unit's Financials
Lehman Brother's investment management arm reportedly has up to five suitors from the private equity world...
MutualFundWire.com -
Tuesday, August 26, 2008
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DAC Sees DC Potential in a New Steel Plant
A Giant European technology company taps the Alabama-based provider to recordkeep two brand new plans for a US venture...
401kWire.com -
Tuesday, August 26, 2008
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Reader Rating: 5
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RBC Brings in an A.G. Edwards Alum
RBC has hired a former A.G. Edwards branch manager...
MutualFundWire.com -
Tuesday, August 26, 2008
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Fee-Only Advisors Revamp Book On DC Fees
How much does a 500-participant defined contribution plans cost? A Maryland-based firm unveils the latest edition of a book with answers to that question and more...
401kWire.com -
Tuesday, August 26, 2008
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Reader Rating: 4
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Putnam Hopes to Convince Investors to Stay in the Market
With its new study, Putnam seeks to prevent investors from walking away from the market...
MutualFundWire.com -
Tuesday, August 26, 2008
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A Law Firm Files Another Claim Against Schwab
Another group of investors have filed an arbitration claim against Schwab for losses in its YieldPlus Fund...
MutualFundWire.com -
Tuesday, August 26, 2008
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Hancock Eyes a Bigger Fund Menu for its Guaranteed
Income Product
A senior exec says the provider is looking to have more investment options available within the product, which has so far attracted nearly 400 plan sponsors...
401kWire.com -
Tuesday, August 26, 2008
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Reader Rating: 5
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BATS Touts its New Exchange Status
Now that it has gained exchange status, BATS says that it expects to pass the NYSE in market share by yearend...
MutualFundWire.com -
Tuesday, August 26, 2008
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Russell Misses with Fund-of-Hedge Funds Adventure
A departure from its usually cautious style of investing with a foray into the hedge fund arena cost Russell Investments...
MutualFundWire.com -
Tuesday, August 26, 2008
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Plea Bargain Nears in TPA Embezzlement Case
A federal unveils a possible deal for the beleaguered former chief of a now-defunct third-party administrator...
401kWire.com -
Tuesday, August 26, 2008
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A New ETF Rides to Market
Invesco PowerShares plans to launch a Global Progressive Transportation Portfolio...
MutualFundWire.com -
Tuesday, August 26, 2008
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WSJ Looks at the Fund Industry Post-Scandal
Fundies who turn to the WSJ Fund Track Tuesday morning may find the content familiar...
MutualFundWire.com -
Tuesday, August 26, 2008
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Old Mutual Bets on Real Estate
Old Mutual has rolled out a new fund...
MutualFundWire.com -
Tuesday, August 26, 2008
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Federated Sells Recordkeeping Unit
The fund firm has pulled one foot out of the 401k business with the sale...
401kWire.com -
Friday, August 26, 2005
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Reader Rating: 3
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Relius Clients Get Revenue Sharing Help
SunGard is offering new tools for its TPA clients that run Relius.
..
401kWire.com -
Friday, August 26, 2005
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Reader Rating: 5
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Snack Food Maker May Shutter DB
The company hopes to terminate its pension plan in place of a 401k plan...
401kWire.com -
Friday, August 26, 2005
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Benefits Consultancy Makes DC Foray
The effort will be lead by an ex-Investmart exec...
401kWire.com -
Friday, August 26, 2005
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Head of Canada's Fund Industry Group Resigns Amid Probe
Michel Fragasso, chair of the Canadian-equivalent to the ICI, the Investment Funds Institute of Canada (IFIC), resigned on Friday after Canadian regulators announced an investigation into a company that he chairs .....
MutualFundWire.com -
Friday, August 26, 2005
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Second Pru Broker Admits Crimes
Two of three former Prudential brokers have now admitted they broke the law in helping clients market time mutual funds...
MutualFundWire.com -
Friday, August 26, 2005
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Reader Rating: 1
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Customization is Key for Niche Provider
A bank provider keeps on doing what it knows best...
401kWire.com -
Friday, August 26, 2005
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More Hedge Like Mutual Funds in the Offing
Is the demand for long\short mutual funds growing? The Friday Fund Track article in the Wall Street Journal suggests that it may be. The paper reports that two new funds are opening in coming weeks and that one now closed fund will reopen to new investors on Monday. The new products are coming as the performance of long\short has topped that of the stock market so far in 2005...
MutualFundWire.com -
Friday, August 26, 2005
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Reader Rating: 3
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Van Wagoner President Resigns Amid Fraud Charges
Van Wagoner Capital Management will pay $800,000 to settle fraud charges. As part of the settlement, the president will resign and be barred from holding office in the fund industry for seven years. Several at the firm will also pay fines...
MutualFundWire.com -
Thursday, August 26, 2004
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ABN Amro? What Does That Mean?
ABN Amro Asset Management has a foe, and its name is lack of recognition. The asset manager is promoting its brand in an effort to eradicate that question from the minds of potential clients...
MutualFundWire.com -
Thursday, August 26, 2004
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Changes Are Afoot at NIPA
The pension administrator trade group taps a new president to replace Robert Thurlow and adds three board members...
401kWire.com -
Thursday, August 26, 2004
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Nationwide Lands 34,000-Participant Plan
Los Angeles says goodbye to incumbent provider Great West...
401kWire.com -
Thursday, August 26, 2004
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Reader Rating: 5
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Grocer Coop Picks U.S. Bank for DC Plan
U.S. Bank will offer a fully bundled plan...
401kWire.com -
Thursday, August 26, 2004
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Spitzer Staff Reportedly Working at a Feverish Pace
Although its been one year since New York State Attorney General Eliot Spitzer came riding into town, Spitzer and his staff are still working feverishly on cases against fund companies...
MutualFundWire.com -
Thursday, August 26, 2004
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Former Broker Tells Merrill to Pay Up
Former Merrill Lynch broker Hydie Sumner, who is won $2.2 million in a discrimination suit against her former employer, is still waiting for $300,000 of her award. Merrill Lynch denies that the money is owed...
MutualFundWire.com -
Thursday, August 26, 2004
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A.G. Edwards Spends $60,000 to Educate Future Investors
A.G. Edwards and the Foundation for Investor Education are teaming to educate students and teachers about the capital markets. The two will donate $60,000 for outreach in the St. Louis and Denver areas.
..
MutualFundWire.com -
Thursday, August 26, 2004
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Franklin Faces Civil Charges in Revenue Sharing Case
The other shoe may be about to drop on the fund industry. While New York State Attorney General Eliot Spitzer appears to be content to wrap up the last of his settlements over late trading and market timing in mutual funds, another attorney general appears to be warming up in order to take center stage.
..
MutualFundWire.com -
Thursday, August 26, 2004
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TD Buys Majority Stake in New England Bank
Toronto-Dominion Bank, the second largest bank in Canada, will pay $3.8 billion for a 51 percent stake in BankNorth. T-D Bank also acquires a controlling share of the nearly $290 million BankNorth mutual fund family...
MutualFundWire.com -
Thursday, August 26, 2004
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The Price is Nice for BlackRock
The New York money manager gets its retail wish as BlackRock pulled the trigger to buy MetLife's State Street Research unit for $325 million in cash and $50 million in stock Thursday morning. The deal is set to close in early 2005...
MutualFundWire.com -
Thursday, August 26, 2004
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South Florida Rep Changes Affiliation
The wholesaler will cover the same South Florida region but represent a different insurer...
401kWire.com -
Tuesday, August 26, 2003
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Reader Rating: 3
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Golden State Plans Advisor 529 Program
The RFP for the new plan may be ready in just a few weeks...
MutualFundWire.com -
Tuesday, August 26, 2003
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Vision and Ark Families Finish Merging
... and together they were called the MTB Group...
MutualFundWire.com -
Tuesday, August 26, 2003
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Reader Rating: 5
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Eaton Vance Plans $300 Million CDO Issue
The asset manager is raising money backed by bank loans...
MutualFundWire.com -
Tuesday, August 26, 2003
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Analytics Firm Adds Marketing Services
The Chicago-based firm has formed a new arm to help asset managers out with their marketing efforts...
MutualFundWire.com -
Tuesday, August 26, 2003
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Reader Rating: 4.33
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Putnam Lovell Buys Stake in Advisor
The private equity specialist makes a bet on the fee-only advisory model...
MutualFundWire.com -
Tuesday, August 26, 2003
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Closed End Funds Seeks New Advisor
After a bitter proxy fight, Deutsche Asset Management and the SMALLCap Fund will part ways...
MutualFundWire.com -
Tuesday, August 26, 2003
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Janus Details Plans For DST Stake
The key to the deal will be the transfer of DST's printing and graphics division...
MutualFundWire.com -
Tuesday, August 26, 2003
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ICMA Names CEO Replacing Miller
After a quick hunt to replace Girard Miller the public plan provider has found its woman...
401kWire.com -
Tuesday, August 26, 2003
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Principal Hires Consultant Relations Pro
The new hire will focus on asset management distribution through consultants...
401kWire.com -
Tuesday, August 26, 2003
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Provider Adds MasteryPoint
Advisor, sponsor and participant Web tools are added to this eight-month-old product targeted at small plans...
401kWire.com -
Monday, August 26, 2002
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Course Changes for Vanguard
The Crew in Valley Forge files with the SEC. The long range plans might surprise you...
MutualFundWire.com -
Monday, August 26, 2002
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Reader Rating: 4
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Radio Ray
Financial advisor Ray Lucia offers some humorous songs about recent events in the financial services industry...
MutualFundWire.com -
Monday, August 26, 2002
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401k Got You Down? Lighten Up
A San Diego-based planner is using humor, and a good song parody, to ease some investor pain. We recommend it...
401kWire.com -
Monday, August 26, 2002
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PFPC Automates Accounting
The service firm has a new tool for the b/d community...
MutualFundWire.com -
Monday, August 26, 2002
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Williams Loosens Restrictions
The oil-pipeline company lets employees diversify matches...
401kWire.com -
Monday, August 26, 2002
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Fido Offers Solo-SDBA
The 401k Behemoth unveils an open platform solo-plan set for a September opening...
401kWire.com -
Monday, August 26, 2002
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July Stats
The data from last month is starting to roll in, and the picture is far from rosy...
MutualFundWire.com -
Monday, August 26, 2002
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Rivkin Returns
There is a new face at Neuberger Berman...
MutualFundWire.com -
Monday, August 26, 2002
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Closed-End Funds Widen Website
The Closed-End Fund Association is adding features to its education website and considering the possibility of advice in the future...
MutualFundWire.com -
Thursday, August 26, 1999
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Reader Rating: 3
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Safeco Restructures and Renames
Safeco is redesigning its marketing strategy by combining its life insurance, annuities, mutual funds, retirement plans and employee benefits all under the name, Safeco Life & Investments...
401kWire.com -
Thursday, August 26, 1999
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Reader Rating: 3
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Safeco Restructures and Renames
Safeco is redesigning its marketing strategy by combining its life insurance, annuities, mutual funds, retirement plans and employee benefits all under one name...
MutualFundWire.com -
Thursday, August 26, 1999
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Reader Rating: 3
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MetLife Confirms GenAmerica Buy
As expected, MetLife has confirmed that it will purchase GenAmerica, the parent company of troubled General American Life for $1.2 billion in cash...
401kWire.com -
Thursday, August 26, 1999
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Reader Rating: 3
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MetLife Confirms GenAmerica Buy
As expected, MetLife has confirmed that it will purchase GenAmerica, the parent company of troubled General American Life for $1.2 billion in cash...
MutualFundWire.com -
Thursday, August 26, 1999
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Reader Rating: 3
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Odd Lots, August 26, 1999
Investors fleeting loyalty ... Invesco does away with the dotted line ... Wired index fund launched in Hong Kong ... Euro boosts European small cap market...
MutualFundWire.com -
Thursday, August 26, 1999
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Reader Rating: 3
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Supermarket Restocks Shelf
The retail supermarket chain has opted for a new 401 k provider...
401kWire.com -
Thursday, August 26, 1999
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Reader Rating: 3
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Wilson Sporting Goods Taps Educator
Chicago, IL-based Wilson Sporting Good Company has chosen Northern Trust Retirement Consulting (Nasdaq: NTRS) to provide educational services for its employees in the company 401(k) plan. The plan has $49 million in assets with close to 2,000 participants...
401kWire.com -
Wednesday, August 26, 1998
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Reader Rating: 3
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Austin Diagnostic Taps New Recordkeeper
Austin, TX-located Austin Diagnostic Clinic and Medical Center has selected the 401(k) Company to be the recordkeeper for its 401(k) plan, Fred Hay, member of retirement plan committee, told the 401kWire. The plan has approximately $60 million in assets with 1200 participants...
401kWire.com -
Wednesday, August 26, 1998
-
Reader Rating: 3
|
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