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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
Fund Profiles
News Stories Archives - Since 1998
RayJay Welcomes a Three-KPA Team
Thrice's the charm. A 401(k) plan advisor (KPA) trio who oversaw more than $1.2 million in retirement plan assets recently joined a broker-dealer that suits their fancy...
401kWire.com - Friday, February 20, 2015 - Reader Rating: 3
Remember PlanSponsor's Last Backer?
A Texas venture capital firm is reportedly becoming a zombie...
401kWire.com - Friday, February 20, 2015 - Reader Rating: 3
Schlichter Lands a $62MM 401k Settlement
The news comes days before another Schlichter 401k suit goes before the highest court in the land...
401kWire.com - Friday, February 20, 2015 - Reader Rating: 5
Where Are They Now? Jim Fox
The former chief of Bisys Fund Services and First Data Investor Services Group joins a key RIA and B-D ally's board of directors...
MutualFundWire.com - Friday, February 20, 2015 Views
Mary Jo White Is Still Fixated On All of You
The SEC chair again targets asset managers in a speech, this time at the annual SEC Speaks conference...
MutualFundWire.com - Friday, February 20, 2015 Views
An SEC Commish Attacks the DoL's Fiduciary Redefinition
The pushback comes as the regulatory agency is reportedly about to file its reproposal with the OMB next week...
401kWire.com - Friday, February 20, 2015 - Reader Rating: 3
An NY KPA Shop Partners With PRI
A California shop that offers compliance consulting, training, and technology-based resources, just allied with a new 401(k) plan advisor (KPA) shop...
401kWire.com - Friday, February 20, 2015
An eRFP Platform Debuts Nationally
InHub technology officially available in all national markets. ..
401kWire.com - Friday, February 20, 2015 - Reader Rating: 3
After a DC I-O Switch, Illinois Searches For RKers
The state may take a new direction with its 457 plan...
401kWire.com - Friday, February 20, 2015
SPDRs' Other Father Dies
An 82-year-old ETF pioneer loses his battle with cancer...
MutualFundWire.com - Friday, February 20, 2015 Views
Help This National Publication to Help Clients Find You
A new player enters the advisor search business. And to take it to the next level, they want help from you...
401kWire.com - Thursday, February 20, 2014
A $2.7B 401k Keeps Flying With Schwab
The jumbo plan sponsor decided to stay with Schwab following the recordkeeper's decision to the merge away its legacy 401(k) Company platform. ..
401kWire.com - Thursday, February 20, 2014
Smead Hired Another Wholesaler
Firm may hire up to four more this year...
MutualFundWire.com - Thursday, February 20, 2014 Views
American Century Intros a Target-Date Collective Fund
The DC I-O announced a target-date version of the pooled bank product. ..
401kWire.com - Thursday, February 20, 2014
Fido Anoints O'Hanley's Successor
Charles Morrison has been named president of asset management...
MutualFundWire.com - Thursday, February 20, 2014 Views
Cohen's Global Marketing Chief Departs
Exec had been promoted to EVP in January...
MutualFundWire.com - Thursday, February 20, 2014 Views
Nationwide's Outsourced 3(38) Service Breaches $700MM
The service, offered in Nationwide plans through IRON Financial, recently topped $700 million in assets...
401kWire.com - Thursday, February 20, 2014 - Reader Rating: 3.67
Trust Builders Lassos a Sales VP
The 401k planning software firm hires a Great American vet. ..
401kWire.com - Thursday, February 20, 2014
From DC I-O to RIA: A Federated Wholesaler Switches Sides
A 401k vet in the Northeast joins a giant 401k advisory shop...
401kWire.com - Thursday, February 20, 2014 - Reader Rating: 4
Principal Fund: Getting a C Is Not So Bad
Got a C on your Morningstar Stewardship Grade? Relax, it's not the end of the world...
MutualFundWire.com - Thursday, February 20, 2014 Views
After Six Weeks, A Top ING Exec Leaves
Exec had been responsible for the institutional business of ING U.S. Investment Management...
MutualFundWire.com - Wednesday, February 20, 2013 Views
Charlie Nelson Strikes a Deal With Another Wirehouse
Great-West Retirement Services lands a key distribution partner in the advisor channel...
401kWire.com - Wednesday, February 20, 2013 - Reader Rating: 5
Three Things to Know from Financial Engines' Earnings
Senior management notes benefits from favorable demographics, expanded enrollment strategies and broadly adopted income products. ..
401kWire.com - Wednesday, February 20, 2013 - Reader Rating: 3.67
M* Takes on Fiduciary Role for Another RKer
It's a midwest connection for 457(b) plans...
401kWire.com - Wednesday, February 20, 2013 - Reader Rating: 3.6
A Thompson Fund Director Passes Away
The former competitive soccer player had served as a Deputy Assistant Secretary in the Department of Labor and sat on Academic Advisory Board of the Federal Reserve Bank of Chicago...
MutualFundWire.com - Wednesday, February 20, 2013 Views
Making a Strategic Move, a Consulting Shop Expands Beyond Health Care and Non-Profits
Updated | A Northeastern benefits shop extends its retirement plan reach...
401kWire.com - Wednesday, February 20, 2013 - Reader Rating: 2
Calamos Says Goodbye to a C-Level Executive
Just weeks after a new president is named, Calamos experiences a senior level departure...
MutualFundWire.com - Wednesday, February 20, 2013 Views
An RKer Selects a Fiduciary
Fiduciary services will be available to financial advisors, RIAs, and broker dealers...
401kWire.com - Wednesday, February 20, 2013 - Reader Rating: 4
Another Fund Shop Weighs In On Money Fund Reform
Reich & Tang sent a letter to the FSOC...
MutualFundWire.com - Wednesday, February 20, 2013 Views
Advisors and DC I-Os Will Konverge on NYC in June
A new defined industry conference is starting up this year, backed by 10 DC I-Os...
401kWire.com - Wednesday, February 20, 2013
Lincoln Wins a $410M Plan
The plan brings 12,000 new participants to the Radnor, Pennsylvania RKer...
401kWire.com - Wednesday, February 20, 2013 - Reader Rating: 2.33
Asset Manager Wants Wholesaler for New York
Exec would build relationships with financial professionals...
MutualFundWire.com - Wednesday, February 20, 2013 Views
Another Recordkeeper Starts Using Relius
SunGard has a new client...
401kWire.com - Wednesday, February 20, 2013
A Star Prognosticator Dies
The world says goodbye to a man who publicly predicted the stock market crash of 1987...
MutualFundWire.com - Wednesday, February 20, 2013 Views - Reader Rating: 5
Jaffe Weighs In On Money Fund Reform
As usual, there is no way to predict the future...
MutualFundWire.com - Wednesday, February 20, 2013 Views
IndexUniverse Talks With WisdomTree's CIO
Fundamental indexing is among the topics discussed...
MutualFundWire.com - Wednesday, February 20, 2013 Views
'Active Funds Have Clearly Become Less Active Through Time'
New research highlights the increasingly passive results generated by active managers...
MutualFundWire.com - Wednesday, February 20, 2013 Views
What Impact Will BlackRock Suit Have on Fees?
MarketWatch says suit may shine light on little-known aspects of these costs...
MutualFundWire.com - Wednesday, February 20, 2013 Views
Forbes Cuts Through the Chatter on ETFs
Columnist makes frank assessment of ETF euphoria...
MutualFundWire.com - Wednesday, February 20, 2013 Views
Franklin Exec Buys a Fund Legend's NYC Apartment
A Manhattan apartment that belonged to the late Gerald Tsai, Jr. is reportedly now in the hands of a Franklin exec...
MutualFundWire.com - Friday, February 20, 2009 Views
A Fido Vet Tweets a Retirement Income Tune
A marketing specialist launches one of the few retirement-industry-focused blogs...
MutualFundWire.com - Friday, February 20, 2009 Views
A Mutual Fund Spy Pens a Book
In his new book, Morningstar's director of mutual fund research gives the dish on 23 no-load and 10 broker-sold fund shops...
MutualFundWire.com - Friday, February 20, 2009 Views
Newkirk Cut Jobs, Salaries
Yet another retirement plan vendor feels the economic crunch...
401kWire.com - Friday, February 20, 2009
A State Revives Government-Run 401k Proposal
A centralized small business DC plan is back on the table. Head to the Northeast next week to share your feelings publicly...
401kWire.com - Friday, February 20, 2009
Yet Another Congressional Committee Hearing looms
Updated | A third Capitol Hill investigation into the woes of retirement plans is scheduled for next week...
401kWire.com - Friday, February 20, 2009
ASPPA to IRS: Don't Force Sponsors to Terminate Safe Harbor Plans
The industry trade group asks for a little relief as the wave of employer contribution cuts sweeps through retirement plans...
401kWire.com - Friday, February 20, 2009
Bogle, Munnell to Testify at Miller's Hearing
Vanguard's founder, along with the director of Boston College's Center for Retirement Research, are among those slated to testify at a 401k hearing next week. ..
401kWire.com - Friday, February 20, 2009
A DC Vet Departs AARP
A familiar face bids the giant lobbying group's financial arm adieu...
401kWire.com - Friday, February 20, 2009
Fund Mergers Trigger Head-Scratching
Morningstar's Katie Rushkewicz comments on fund reorganizations at two firms...
MutualFundWire.com - Friday, February 20, 2009 Views
Bond-Fund Managers Weigh in on the Stimulus Package
In Friday's WSJ Fund Track, Daisy Maxey obtained views from bond fund managers on the impact of the stimulus package...
MutualFundWire.com - Friday, February 20, 2009 Views
Fundsters, Take Heed: Khuzami Now Carries the SEC's Stick
The regulatory agency officially taps its new enforcement division chief...
MutualFundWire.com - Friday, February 20, 2009 Views
Morningstar Restructures Around Two Parts
Where did the fund research unit end up?..
MutualFundWire.com - Friday, February 20, 2009 Views
LPL Lures Smith Barney Exec
LPL Financial has recruited a 25-year Smith Barney/Citigroup vet as executive vice president of wealth management...
MutualFundWire.com - Wednesday, February 20, 2008 - Reader Rating: 3.33
FundQuest Inks Partnership with Another RIA
FundQuest has added another 80 financial advisors to its wealth management platform...
MutualFundWire.com - Wednesday, February 20, 2008
Ex-BlackRock DC-IO Exec Advises Manhattan Asset Manager
The former head of BlackRock's defined contribution investment-only efforts has joined the advisory board of a Manhattan-based investment shop...
401kWire.com - Wednesday, February 20, 2008
NEXT Names Biz Development Exec
The new hire will lead recruiting efforts and head up the sales team...
MutualFundWire.com - Wednesday, February 20, 2008
OppFunds Injects PPA into Pinnacle and Pro
The Manhattan-based provider has put together auto features in a package...
401kWire.com - Wednesday, February 20, 2008
Morton to Oversee Consultant Ties for Putnam
Putnam has promoted Jenny Morton to head its global consultant relations...
MutualFundWire.com - Wednesday, February 20, 2008 Views
Supreme Court Opens the Door to Participant Suits
The highest court in the land unanimously rules to permit lawsuits over individual account losses. ..
401kWire.com - Wednesday, February 20, 2008 - Reader Rating: 1
Wachovia Private-Labels ... For Itself
UPDATE| The provider launches a new product to tap into another arm of the giant bank: its reps. ..
401kWire.com - Wednesday, February 20, 2008 - Reader Rating: 5
WSJ Looks at Auction Issues in Some Leveraged Closed-Enders
Those following the developments in the closed-end world might find Wednesday's WSJ Fund Track column of interest...
MutualFundWire.com - Wednesday, February 20, 2008 Views
Product Development Steals the Spotlight at NICSA
Nothing is more essential to a fund company than the products it offers...
MutualFundWire.com - Wednesday, February 20, 2008 Views - Reader Rating: 5
Pimco Names Fisher to Product Dev Post
The fixed income giant has tapped the former head of global fixed income at Halbis Capital for the post...
MutualFundWire.com - Wednesday, February 20, 2008 Views
Pimco Takes Over the World (Bank)
The asset manager wins a $5 billion bond mandate from the World Bank...
MutualFundWire.com - Wednesday, February 20, 2008 Views - Reader Rating: 3.5
Fink Sees Opps in China
A new BlackRock and Bank of China venture gains Larry Fink ink in the Financial Times...
MutualFundWire.com - Wednesday, February 20, 2008 Views
Franklin Makes Global Moves
Franklin Templeton is tapping its local talent as stock pickers for its new Franklin India Growth Fund. The California-based firm has also snapped up a 49 percent stake in a Vietnamese investment management company...
MutualFundWire.com - Wednesday, February 20, 2008 Views - Reader Rating: 3
M&I Is Tops In Small Market
The Milwaukee-based firm is the number one recordkeeper in the small market in 401kExchange's 2006 Provider Ratings. ..
401kWire.com - Tuesday, February 20, 2007 - Reader Rating: 3.5
MassMutual To Make Small-Market Push
The Massachusetts-based provider, which saw sales jump 200 percent in the first 40 days of 2007, is preparing to launch a product aimed at the small market...
401kWire.com - Tuesday, February 20, 2007 - Reader Rating: 3
The Great DB Freeze Goes On
A financial services research firm also sees the DC contributions skyrocketing. ..
401kWire.com - Tuesday, February 20, 2007
Hoosier Hoopla Over MetLife 403b
Five teachers sue the provider for allegedly bribing its way to special treatment in their retirement plan. ..
401kWire.com - Tuesday, February 20, 2007 - Reader Rating: 5
Bucking the Target Date Trend
Age-based funds are sweeping through 401k plans as the trendy default option, but many advisors don't like them, and they're fighting back. ..
401kWire.com - Tuesday, February 20, 2007 - Reader Rating: 5
Can MetLife Execute a Turn Around?
The once dominant insurer has put together a script for a rebirth in the DC industry...
401kWire.com - Friday, February 20, 2004 - Reader Rating: 4
Bill Gross Claims Innocence in Letter to Clients
Top Pimco executives are taking their case in defense accusations that they allowed timing straight to their clients...
MutualFundWire.com - Friday, February 20, 2004 - Reader Rating: 5
Institutional Investors Lose Faith in Funds
Nearly two-thirds of the biggest investors believe the fund industry is rife with trading problems...
MutualFundWire.com - Friday, February 20, 2004 - Reader Rating: 4.5
Sponsors Realize Advice is Not Working
The number of plans offering Web based advice fell in 2003 according to Greenwich Associates...
401kWire.com - Friday, February 20, 2004 - Reader Rating: 4
New Head of Massachussets Pension Fund
The Massachusetts state pension fund lets bygones be bygones and taps Putnam for its new top executive...
MutualFundWire.com - Friday, February 20, 2004 Views
Scandals Cross Pacific as Alliance Singapore is Fined
A letter from the Singaporean Monetary Authority to fund managers follows the first case against late traders in the Far East...
MutualFundWire.com - Friday, February 20, 2004 - Reader Rating: 4
Putnam Lovell Splits Off Private Equity Arm
The private equity group at Putnam Lovell NBF is restructuring as an independent company to gain greater independance...
MutualFundWire.com - Friday, February 20, 2004 Views - Reader Rating: 2.33
Reuters Sells TowerGroup to MasterCard
No, they did not take Visa on this deal. Research consultant TowerGroup changes hands today...
MutualFundWire.com - Friday, February 20, 2004 Views
Duo Takes Another Advice Path
A pair of advice industry veterans are capitalizing on their experience and setting up shop...
401kWire.com - Thursday, February 20, 2003 - Reader Rating: 4.77
Day International Selects 401(k) Alliance
The Ohio sponsor picks an industry partnership, closing its $35 Million 401(k) recordkeeping RFP...
401kWire.com - Thursday, February 20, 2003 - Reader Rating: 2
Security Trust Not Effected By Sale
Ownership in the 401k custodian is not effected by a recent deal involving Convergent Capital...
401kWire.com - Thursday, February 20, 2003 - Reader Rating: 5
Wells Fargo Vet Has New Home
Heidi Ridley will head distribution for a rival fund firm...
MutualFundWire.com - Thursday, February 20, 2003 Views
NASD Names Breakpoint Task Force
The task force includes 22 members. A complete list...
MutualFundWire.com - Thursday, February 20, 2003 Views - Reader Rating: 3
Schwab Adds SMA Tool for Advisors
The broker adds manager data from Mobius for advisors...
MutualFundWire.com - Thursday, February 20, 2003 Views - Reader Rating: 3.5
PwC Names Fund Practice Head
A long-time veteran at the consulting firm will replace Philip Mannino who is retiring in June...
MutualFundWire.com - Thursday, February 20, 2003 Views
As Wachovia Buys US Bancorp Sells
Are brokerage firms valuable to banks or not. It depends on whom you ask...
MutualFundWire.com - Thursday, February 20, 2003 Views - Reader Rating: 2.75
Enter the Dragon
An American fund firm wins approval for a Chinese joint venture...
MutualFundWire.com - Thursday, February 20, 2003 Views
Law Firm Adds Target Funds
The 1,100 employee firm is the first to say it is using a new targeted fund family in its plan...
401kWire.com - Thursday, February 20, 2003 - Reader Rating: 2.5
DC-Like Tools for DB
Cigna is betting that its defined benefit clients will be happier if they have a DC-like toolkit...
401kWire.com - Thursday, February 20, 2003 - Reader Rating: 3.5
Mortenson Sub-Contracts 401k
The nation's largest contracting firm has a new vendor for its $42 million plan...
401kWire.com - Wednesday, February 20, 2002 - Reader Rating: 3
Pension News Wire Shutters
The publisher pulls the plug on original news to concentrate on its RFP and manager database products...
401kWire.com - Wednesday, February 20, 2002 - Reader Rating: 3
New Northwestern Baby
Northwestern Mutual is creating a new asset management company...
MutualFundWire.com - Wednesday, February 20, 2002 Views - Reader Rating: 3
NYC Carpenters Get 401k Tool Box
New York City carpenters are finally getting the tools they need to craft a well-built DC plan. ..
401kWire.com - Wednesday, February 20, 2002 - Reader Rating: 3
Changing of the Guard
USA Today Publisher Loosens 401k Ties ... PBGC Pushes Tool Maker into Chapter 11 ... Changing of the Guard ... Financial Execs React to Enron...
MutualFundWire.com - Wednesday, February 20, 2002 Views - Reader Rating: 3
USA Today Publisher Loosens 401k Ties
PBGC Pushes Tool Maker into Chapter 11 ... Changing of the Guard ... Financial Execs React to Enron. ..
401kWire.com - Wednesday, February 20, 2002 - Reader Rating: 3
Brinson Brand to be Phased Out
The new global rebranding initiative at UBS is eliminating regional brand names like Brinson and Phillips & Drew...
MutualFundWire.com - Wednesday, February 20, 2002 Views - Reader Rating: 3
Fund Honcho Returns From Dotcom
Mercantile Bank landed ING Funds former chief from a struggling startup targeting hedge funds...
MutualFundWire.com - Wednesday, February 20, 2002 Views - Reader Rating: 3
UBS moves family
Brinson gives up internal plans to expand into the defined contribution. ..
MutualFundWire.com - Tuesday, February 20, 2001 - Reader Rating: 3
UBS moves family
Brinson gives up internal plans to expand into the defined contribution...
401kWire.com - Tuesday, February 20, 2001 - Reader Rating: 3
Delaware Names 401k Head
The firm has filled the shoes last worn by Mary Barnaby...
401kWire.com - Tuesday, February 20, 2001 - Reader Rating: 3
Vanguard Wipes Up at Quilted Northern
Merger of paper giants leaves 401k vendor $1.4 billion in the cold...
401kWire.com - Tuesday, February 20, 2001 - Reader Rating: 3
Mercer Bolsters Manager Analytics
OppFunds Taps Six Subadvisors ... American's Assets Less Than $10,000 ... ByAllAccounts Launches Aggregation ... Deutsche Says "No" to US ... Merrill Aggregates ... Mercer Bolsters Manager Analytics ... and more..
401kWire.com - Tuesday, February 20, 2001 - Reader Rating: 3
Deutsche Bank Abandons Plans to Buy US Fund Group
OppFunds Taps Six Subadvisors ... JP Morgan Chase Enters China Fund Market ... Deutsche Says "No" to US ... Merrill Aggregates ... Vignette Powers Funds .....
MutualFundWire.com - Tuesday, February 20, 2001 - Reader Rating: 3
Basket Trading Rumble
Schwab and Fidelity claim their new basket products are not really folios. Fidelity is set for a June launch...
MutualFundWire.com - Tuesday, February 20, 2001 - Reader Rating: 3
Bringing Advisors to Life
GE is putting together a wholesaler team and has funds on the drawing board...
MutualFundWire.com - Tuesday, February 20, 2001 - Reader Rating: 3
For Friday, February 20, 1998
The PSCA is forming an advisory committee made up of a representative sampling of providers of 401(k) plans in order to better learn how to demonstrate the value of 401(k)'s to business owners. The project is one of the first in which providers and plan sponsors are working together to further develop the 401(k) market...
401kWire.com - Friday, February 20, 1998 - Reader Rating: 3
Amoco to Open Mutual Fund Window
Chicago-based Amoco is considering adding a mutual fund window to its multi-billion dollar 401(k). Amoco official declined to comment on the search which was reported this week in Defined Contribution News. However, the story was confirmed to the 401kWire by officials involved in the search. The window will reportedly be limited to eight mutual fund options. State Street Global Advisors acts as recordkeeper for the plan...
401kWire.com - Friday, February 20, 1998 - Reader Rating: 3
Alcon Labs Reported to Consider Employee-Direction
Fort Worth-based Alcon Laboratories is considering letting employees direct assets in its $600 million, 5,000 participants 401(k) plan, according to a report in this week's Defined Contribution News. Officials at Alcon Labs refused to comment on the report as did officials at Towers Perrin, the reported consultant on the search...
401kWire.com - Friday, February 20, 1998 - Reader Rating: 3
Comcast Looks to Bundle
Philadelphia-based Comcast is looking for a bundled provider for its $122 million 401(k) plan, according to a report in Defined Contribution News. Comcast officials have not returned phone calls from the 401kWire to confirm the reports...
401kWire.com - Friday, February 20, 1998 - Reader Rating: 3
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401kWire.com - Friday, February 20, 1998 - Reader Rating: 3
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