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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
An Eight-Year-Old TPA Sells to a PE-Backed Firm
The acquirer is on the opposite coast of the acquiree...
401kWire.com - Wednesday, June 29, 2022
Fund Firms React to Roe v. Wade's Demise
Some big firms in the asset management business are offering a specific kind of employee support in the wake of SCOTUS' decision last Friday...
MutualFundWire.com - Wednesday, June 29, 2022
A Pru Alum Joins a KPA-Focused Marketplace
The new hire now serves as VP of regional sales...
401kWire.com - Wednesday, June 29, 2022
Active Inflows Fall 74 Percent
The M* team updates U.S. flows data for May 2021 for ETFs and long-term, opened mutual funds...
MutualFundWire.com - Tuesday, June 29, 2021 Views
26 Years In, a Fidelity 401k SVP Exits
The exec is a longtime leader in the Boston Behemoth's workplace investing business...
401kWire.com - Tuesday, June 29, 2021
Neveu Takes an Eight-Year BPAS Partnership Up a Notch
The RKer chief unveils a 360-degree integration with an HCM ally...
401kWire.com - Tuesday, June 29, 2021
A PEP-Focused RKer Raises $228MM
The seven-year-old startup entered the U.S. last year...
401kWire.com - Tuesday, June 29, 2021
Ark Is Still On Top YTD, But ...
The M* team updates U.S. flows data for May 2021 for ETFs and long-term, open-end mutual funds...
MutualFundWire.com - Tuesday, June 29, 2021 Views - Reader Rating: 4
Domingos' Move Is Official
As previously reported, the 28-year Pru vet is poised to take over distribution for another recordkeeper...
401kWire.com - Tuesday, June 29, 2021 - Reader Rating: 4
A $506B-AUM Giant Enters the ETF Dimension
A 2019 SEC rule played a part in their decision...
MutualFundWire.com - Monday, June 29, 2020 Views
FIS Shifts a Relius Conference Online
This will be the first virtual version of this event. ..
401kWire.com - Monday, June 29, 2020
Two Shops Team Up to Launch a TDF Builder
They promise to transform the target fund market...
401kWire.com - Monday, June 29, 2020
For Upwards of $1B, Empower Will Buy a Fintech Shop
Ed Murphy and his team line up a deal for a big cyborg advisor...
401kWire.com - Monday, June 29, 2020
Week In Preview, June 28 - July 5
This week, the teams at FIASI and Nasdaq are hosting events...
MutualFundWire.com - Monday, June 29, 2020 Views
Week In Preview, June 28 - July 5
This week, the teams at Congruent, EBRI, and Mutual of Omaha are all hosting virtual events...
401kWire.com - Monday, June 29, 2020
How Many More Plan Sponsors Might Change Or Cut Their Matches?
New research highlights how, with the continued COVID-19 crisis, plan sponsors are altering their retirement programs...
401kWire.com - Monday, June 29, 2020
Lincoln Shares a California Gov't Win
Lincoln boasts of a successful RFP deal. ..
401kWire.com - Friday, June 29, 2018
CUNA Mutual Hires in the Northeast
Christina Gregory at CUNA Mutual is expanding her team in the New York and Connecticut. ..
401kWire.com - Friday, June 29, 2018 - Reader Rating: 4.4
Is a 54,000-Plan RKer Going On the Block?
The owners are reportedly weighing selling a big retirement plan provider...
401kWire.com - Friday, June 29, 2018 - Reader Rating: 4
There's a New Reigning Champ Among Fund Firms
M* release its monthly flows report for May 2018...
MutualFundWire.com - Friday, June 29, 2018 Views
Happy 88, Ned
The retired Fidelity boss celebrates a big birthday today...
MutualFundWire.com - Friday, June 29, 2018 Views
Pru Hires an Implementation Director
Prudential Financial hires an ex- Lincoln financial implementation director...
401kWire.com - Friday, June 29, 2018 - Reader Rating: 2
KPAs are Texting Clients, Will This Be the New Norm?
Is texting your clients now kosher?..
401kWire.com - Thursday, June 29, 2017
This Exec Rebrands a New KPA Shop
An independent consulting shop rebrands...
401kWire.com - Thursday, June 29, 2017
Broadridge Expands Its IRA Offering
This new service allows wealth management, retirement, and financial services companies to cost-effectively support and expand services to IRAs. ..
401kWire.com - Thursday, June 29, 2017
The New Fund Fuss - June 29, 2017
The latest news on funds!..
MutualFundWire.com - Thursday, June 29, 2017 Views
Levinson Brings a Cohen and Steers Alum to Hartford
The new hire will be focused on growing and strengthening Hartford's B-D relationships.....
MutualFundWire.com - Thursday, June 29, 2017 Views
Community Bankers Association Endorses this Rker
This association is endorsing a recordkeeper because of its ability to meet the needs of its members with a full array of retirement product offerings, industry expertise, and bank-focused solutions...
401kWire.com - Thursday, June 29, 2017
Vanguard Retakes the Lead, and Schwab and Oakmark Also Rake It In
M* release fund flow data for May 2017...
MutualFundWire.com - Thursday, June 29, 2017 Views
The French Word for 'Your Actuary' Set to Help Participants
Nyhart has launched a financial wellness platform program.....
401kWire.com - Thursday, June 29, 2017 - Reader Rating: 5
Has Trump Picked Someone For That Final SEC Commish Spot?
A Columbia law professor is reportedly the "leading contender" for the open Democratic seat atop the regulatory agency...
MutualFundWire.com - Thursday, June 29, 2017 Views
Bingaman Refocuses Diamond Hill 100 Percent On Investment Management
The publicly-traded mutual fund shop is selling a unit to Foreside. Yet that unit "has not been material to the Company's overall financial results."..
MutualFundWire.com - Wednesday, June 29, 2016 Views
OneAmerica Picks Up a $55MM Medical Plan
A Tennessee medical center chooses OneAmerica for its recordkeeping services...
401kWire.com - Wednesday, June 29, 2016 - Reader Rating: 3.33
MFWire Introduces...The New Fund Fuss!
This brand-new column is designed to highlight the newest fund launches from across the industry! ..
MutualFundWire.com - Wednesday, June 29, 2016 Views
Nationwide Taps Two Execs to Lead Eastern Sales
Eric Stevenson, vice president of public-sector retirement plans at Nationwide, has tapped two industry veterans to lead its eastern sales division...
401kWire.com - Wednesday, June 29, 2016
RBG Adds Two KPAs in Irvine
Two 401(k) plan advisors (KPAs) join San Diego, California-based Retirement Benefits Group with a combined 78 years of experience...
401kWire.com - Wednesday, June 29, 2016
Lincoln Welcomes an LPL Retirement Vet
Michael Hall hires a regional 401(k) sales director on the West Coast...
401kWire.com - Wednesday, June 29, 2016
Katz Frowns On These Two Jefferies Favorites
The Citigroup analyst covering asset managers has a different take on two shops that Dan Fannon and Surinder Thind like...
MutualFundWire.com - Wednesday, June 29, 2016 Views
Sloane Pivots USAA's MF Distro to the Next Stage
The military-focused insurer's mutual fund arm sees third party assets nearly triple in 18 months, and it now reaches 44 platforms...
MutualFundWire.com - Monday, June 29, 2015 Views
2015 Morningstar Investment Conference in Pictures
Last week more than 2,000 FAs, fundsters, and others converged on the McCormick Place convention center in Chicago for Morningstar's 27th annual Investment Conference. Here's a visual look at the conference, which was also a celebration of the 75th anniversary of the modern mutual fund industry...
MutualFundWire.com - Monday, June 29, 2015 Views
The Issue Behind Americans' Retirement Optimism
Americans are more optimistic about their financial future, but here's the problem.....
401kWire.com - Monday, June 29, 2015
TD Ameritrade Tangos with Lionsgate in a Dirty Dancing Legal Battle
Nobody puts TD Ameritrade in a corner, apparently. ..
401kWire.com - Monday, June 29, 2015
NTSA Names Elite Advisor Award Winners
The National Tax-deferred Savings Association (NTSA) just announced its winners for the NTSA Elite Advisor Award!..
401kWire.com - Monday, June 29, 2015
When Hollywood and Retirement Comes Together...
The Enfield, Connecticut-based recordkeeper just launched a.....
401kWire.com - Monday, June 29, 2015 - Reader Rating: 4.33
Transamerica and Edward Jones Launch Partnership
Transamerica and Edward Jones team up.....
401kWire.com - Monday, June 29, 2015 - Reader Rating: 5
Cafaro Greenleaf Adds an Investment Analyst
The Red Bank, New Jersey-based 401(k) plan advisor shop (KPA) just names its new investment analyst. ..
401kWire.com - Monday, June 29, 2015
Arthur J. Gallagher Has a New ERISA Consultant
An insurance brokerage's retirement services unit just welcomed a new fiduciary specialist to the crew...
401kWire.com - Monday, June 29, 2015
Who Will Buy This Insurer's $14.6B Mutual Fund Shop?
Sources tell MFWire and Reuters that an East Coast-based insurance company has put its $20B asset manager on the block...
MutualFundWire.com - Monday, June 29, 2015 Views
MassMutual Sees Sales Shakeup
Three directors have left the RKer since end of May...
401kWire.com - Friday, June 29, 2012 - Reader Rating: 5
OpFunds Throws in the Towel on TDFs
The target-date funds had been suffering from low performance, prompting a tough decision...
401kWire.com - Friday, June 29, 2012
EPIC Advisors Announces New Hires
Two new industry veterans join recordkeeping firm in upstate New York...
401kWire.com - Friday, June 29, 2012 - Reader Rating: 2
Gatch Lost a Tough Crowd at M*
Being in front of 800 advisors is a big opportunity, but it can go either way...
MutualFundWire.com - Friday, June 29, 2012 Views - Reader Rating: 5
MainStay Adopts a $1.7B Fund
The New York Life subsidiary will add a five-star, bronze mutual fund to its lineup...
MutualFundWire.com - Friday, June 29, 2012 Views
PineBridge Names a CFO
The new chief financial officer steps into the shoes of Mark Kadzielawski...
MutualFundWire.com - Friday, June 29, 2012 Views
Thrivent Adds a Sub-Advisor to a $700MM Fund
The new subadvisor will manage the emerging markets equity portion of the Thrivent Partners Worldwide Allocation Fund. ..
MutualFundWire.com - Friday, June 29, 2012 Views
A New PM Joins the Bridge at Federated Kaufmann
PM Jonathan Gold leaves two funds, and a longtime PM picks up his duties..
MutualFundWire.com - Friday, June 29, 2012 Views
Kornitzer Stamps a Different Brand on a Buffalo Fund
The Science and Technology Fund has been renamed to more accurately outline its investment strategy...
MutualFundWire.com - Friday, June 29, 2012 Views
Benartzi Talks SMaRT at TED
Watch the influential behavioral economist from UCLA discuss ways plan officials can boost balances...
401kWire.com - Friday, June 29, 2012 - Reader Rating: 5
BMO Creates an RK Strategy Post
The recordkeeper has hired an industry vet and published author hired to fill new role. ..
401kWire.com - Friday, June 29, 2012 - Reader Rating: 2.5
Three Alts Execs Join Pimco as Their Star Wishes He Was Neither Bill Nor Gross
Pimco hires and Bill Gross releases his July 2012 investment outlook column a little early...
MutualFundWire.com - Friday, June 29, 2012 Views
Schapiro's Offer of Choice for Money Funds Is No Choice At All
Money fund sponsors will have a key choice to make if the SEC chair gets her way...
MutualFundWire.com - Friday, June 29, 2012 Views
Van Eck Decides NAV Matters for One of Its ETFs
The $9.6 million fund has lost three-quarters of its net asset value in the last year so its top brass have taken action...
MutualFundWire.com - Friday, June 29, 2012 Views
Columbia PM Barbaro To Retire from $1.6B Fund
Longtime manager Stephen Barbaro will be replaced by current co-PM Jeremy Javidi..
MutualFundWire.com - Friday, June 29, 2012 Views
A Penchecks Co-Founder Dies
A co-founder of the California-based provider of outsourced benefit distribution services has passed away...
401kWire.com - Wednesday, June 29, 2011
LPL Collects a Listing Fee from Fund Firms
The largest broker-dealer in the country added the fee earlier this year...
MutualFundWire.com - Wednesday, June 29, 2011 Views - Reader Rating: 4
Chetney Tailors a Service for LPL's Retirement Advisors
Updated | The godfather of indie B-Ds tweaks an offering for retirement advisors...
401kWire.com - Wednesday, June 29, 2011 - Reader Rating: 2.67
Standard Hires in the South
The Portland-based plan provider taps a Hartford alum for a sales post...
401kWire.com - Wednesday, June 29, 2011
A Minnesota Advisor Joins SageView
Randy Long and his team recruit a former chief investment analyst in the North Star State...
401kWire.com - Wednesday, June 29, 2011 - Reader Rating: 5
Meeder Flexes its Distribution Muscle
The Ohio-based firm grows its sales force...
MutualFundWire.com - Wednesday, June 29, 2011 Views
Institutional Shares Grab More 401k Market Share
The ICI examines the economics of 401k plans...
401kWire.com - Wednesday, June 29, 2011 - Reader Rating: 4
Gabelli Preps to Launch a New B-D This Summer
The new b-d will focus solely on distributing the company's mutual fund products...
MutualFundWire.com - Wednesday, June 29, 2011 Views
Mid-Market Plan Sponsors, Not Advisors, Make the Decision to Switch
A consulting firm releases a new report on how and why mid-market plan sponsors change providers...
401kWire.com - Wednesday, June 29, 2011 - Reader Rating: 5
Will Fidelity Sell its Marlborough Campus?
The Boston Behemoth hires a real estate agency...
MutualFundWire.com - Wednesday, June 29, 2011 Views
BlackRock and Pimco Win a Settlement from BofA
The bank is paying $8.5 billion to settle claims by 22 investors, including BlackRock and Pimco...
MutualFundWire.com - Wednesday, June 29, 2011 Views - Reader Rating: 4
Fink Yearns to Stake It All On Equities
The BlackRock chief talks about offers his thoughts on the current investing and economic market...
MutualFundWire.com - Wednesday, June 29, 2011 Views - Reader Rating: 5
A New Mutual Fund Player Hires a Sales Chief
Thesis Fund Management, which launched its debut mutual fund in March, has brought on board an exec who will lead its team of five wholesalers...
MutualFundWire.com - Tuesday, June 29, 2010 Views - Reader Rating: 5
RiverPark Taps a New Sales Head, Plots its Mutual Fund Foray
The New York asset manager names its new sales head and files to launch six mutual funds...
MutualFundWire.com - Tuesday, June 29, 2010 Views
BlackRock Reviews a DC Product Brand
BlackRock officials are looking into whether to retain a product offering's name...
401kWire.com - Tuesday, June 29, 2010
Pru's Outsourcing Move Spares its DC Unit
Updated | Change is coming to part of the retirement services business at the provider...
401kWire.com - Tuesday, June 29, 2010 - Reader Rating: 5
Nationwide Says There is Strong Demand for Income Guarantees within 401ks
Nationwide finds strong participant appetite for retirement income features within 401k plans...
401kWire.com - Tuesday, June 29, 2010
Novick Discusses Stable Value's 'Near-Death' Experience
BlackRock's Barbara Novick talked about the stable value industry's near-death experience and expressed optimism about the outcome of a SEC and CFTC study...
401kWire.com - Tuesday, June 29, 2010 - Reader Rating: 5
S&P Gains Distribution Via an Expert RKer
The firm cements a partnership for its online document ordering system...
401kWire.com - Tuesday, June 29, 2010
'Aggressive' Claymore Takes Steps to Boost Distribution
The Guggenheim Partners-owned firm makes a slew of hires...
MutualFundWire.com - Tuesday, June 29, 2010 Views - Reader Rating: 3
Echo Goes to First Mercantile
The Hartford alum takes a sales post at the MassMutual subsidiary...
401kWire.com - Tuesday, June 29, 2010 - Reader Rating: 5
Finding Unintended Consequences Drives Reynolds' Putnam Strategy
Putnam CEO has spent his first two years making over the storied Boston firm in order to exploit opportunities created by the changing environment...
MutualFundWire.com - Tuesday, June 29, 2010 Views - Reader Rating: 3
A B-D Family Hands the Marketing Reins to a Fido and Pershing Alum
The 5,000-advisor network now has a new head of marketing and communications...
MutualFundWire.com - Tuesday, June 29, 2010 Views
NRP Gives a Provider Access
The SoCal-based network of retirement plan advisors adds an open architecture offering to its platform...
401kWire.com - Tuesday, June 29, 2010 - Reader Rating: 5
Kremlinology at Fidelity
The Boston Globe takes an in-depth look at Fidelity chairman Ned Johnson's passions and energies. ..
MutualFundWire.com - Tuesday, June 29, 2010 Views - Reader Rating: 3
T. Rowe Makes Saving for College Cheaper
The Maryland-based mutual fund firm reduces two fees for its 529 offering...
MutualFundWire.com - Tuesday, June 29, 2010 Views
U.S. Mutual Fund Growth May Lag Asia and Europe
A new report sees more fertile mutual fund soil overseas...
MutualFundWire.com - Tuesday, June 29, 2010 Views
Target Date Fundsters Should Keep an Eye on Senator Kohl
A retirement-plan-focused advisor uses his regular column to attack asset allocation...
MutualFundWire.com - Tuesday, June 29, 2010 Views
Ford Preps its 401k Model 2010
The car-making giant prepares to move its DC plan away from Fidelity...
401kWire.com - Monday, June 29, 2009 - Reader Rating: 4.33
ING Unwraps a Service for Large and Mega Plans
ING has rolled out a service that seeks to assist plan participants in transition...
401kWire.com - Monday, June 29, 2009 - Reader Rating: 3.5
Munder's New President Eyes M&A Deals
Munder Capital Management drew from its own ranks to fill the newly created post of president...
MutualFundWire.com - Monday, June 29, 2009 Views
SEC Slaps State Street with a Wells Notice
The SEC sends State Street a Wells notice regarding SSgA's management of fixed income strategies in 2007...
MutualFundWire.com - Monday, June 29, 2009 Views
MainStay Revamps its Fund Lineup
New York Life's MainStay Funds is making a host of changes in its stock and bond funds. ..
MutualFundWire.com - Monday, June 29, 2009 Views
New York Life Lassoes a MassMutual Manager
The plan provider fills the post of executive relationship manager for the Mid-Atlantic...
401kWire.com - Monday, June 29, 2009 - Reader Rating: 4.5
Great-West Goes After Start-Up Plans
The Greenwood, Colorado-based plan provider has a product out for businesses with at least five employees...
401kWire.com - Monday, June 29, 2009 - Reader Rating: 4
Hancock Primes a New Proposal
John Hancock unveils a new proposal featuring new content and packaging...
401kWire.com - Monday, June 29, 2009 - Reader Rating: 2
WSJ Reviews Reynolds' First Year on the Job at Putnam
The Journal takes a look at Bob Reynolds first year as Putnam CEO...
MutualFundWire.com - Monday, June 29, 2009 Views - Reader Rating: 3
Watson Wyatt Airs its Stable Value Concerns
The large plan consultants worry about a DC investment niche...
401kWire.com - Monday, June 29, 2009 - Reader Rating: 1
Fee Fairness Hits Dow Jones
Are the frugal indexers freeloading on active fund investors, or are the active investors being fleeced by their co-workers? The publisher of the Wall Street Journal tackles the issue...
401kWire.com - Monday, June 29, 2009
Fido, Federated and Vanguard React to Money Fund Proposals
Fidelity, Federated and Vanguard officials share their thoughts on the proposals with Dow Jones' Daisy Maxey...
MutualFundWire.com - Monday, June 29, 2009 Views - Reader Rating: 5
BofA's Sale of U.S. Trust Leads a $499 Million Plan to Switch Fiduciaries
A large plan sponsor now has a new independent DC fiduciary...
401kWire.com - Monday, June 29, 2009 - Reader Rating: 3
Legg is Leaving Legg Mason
The top executive at Legg Mason Capital Management is reportedly stepping down from her post...
MutualFundWire.com - Monday, June 29, 2009 Views - Reader Rating: 4
Wells Fargo Expands Target-Date Lineup
The San Francisco-headquartered firm has made five additions to the roster...
401kWire.com - Friday, June 29, 2007
UPDATE 1| IXIS Makes A Buy
Not one to be left out after the big Rydex deal, IXIS just made an asset manager purchase of its own...
MutualFundWire.com - Friday, June 29, 2007 Views - Reader Rating: 3
Banker Says Bisys is Not for Sale
Despite rumors to the contrary, J.C. Flowers' David Schamis says he is set to grow Bisys, not flip it...
401kWire.com - Friday, June 29, 2007
Rating Services Splits on Security Benefit's Rydex Deal
Will the acquisition bend the buyer's ratings? ..
401kWire.com - Friday, June 29, 2007
Fido Makes the Switch to DST
Fidelity Investments, formerly the backer of the AdvisorCentral portal, has decided to join DST Systems' Vision platform...
MutualFundWire.com - Friday, June 29, 2007 Views - Reader Rating: 2
Penny Quoting Pilot Program Pans Out
The SEC has announced the preliminary results from the Penny Quoting Pilot...
MutualFundWire.com - Friday, June 29, 2007
BoNY Scores High Marks in ISF Survey
The Bank of New York has been named the best overall tri-party repo provider in International Securities Finance (ISF) magazine's annual survey...
MutualFundWire.com - Friday, June 29, 2007
Rothenberg True to Lovelace Legacy
Capital Group Chairman James Rothenberg gave the expected answer to a trendy question at Morningstar. Or, why we don't expect American Funds to ever offer an ETF...
MutualFundWire.com - Friday, June 29, 2007 Views - Reader Rating: 5
Participants in One Schlichter Suit Get Class Action Status
After a minor setback, one of the Show Me State law firm's 401(k) fee lawsuits moves forward...
401kWire.com - Friday, June 29, 2007 - Reader Rating: 5
Mutual Fund Giants Looking for New Recruits
This week we head back to New York for a look at jobs with the heavy hitters in the fund world...
MutualFundWire.com - Friday, June 29, 2007 Views - Reader Rating: 2.5
Keystone State Provider Scouts for Product Chief
The company is in the midst of a search for a product head...
401kWire.com - Friday, June 29, 2007 - Reader Rating: 5
Fido's Plan Draws Fire
Fidelity's plan to reduce its ranks of private shareholders in order to take advantage of a tax loophole has some tax policy advocates and a Massachusetts union official expressing their displeasure...
MutualFundWire.com - Friday, June 29, 2007 Views - Reader Rating: 2.5
Security Benefit Lawyers Spotlight Themselves
A Big Apple law firm is advising Security Benefit in their purchase of Rydex Investments...
MutualFundWire.com - Friday, June 29, 2007 Views - Reader Rating: 3.17
Rothenberg: No ETFs for American Funds
The CapGroup chairman makes a rare public appearance at Morningstar...
MutualFundWire.com - Friday, June 29, 2007 Views
New Securian Prez Got His Start Selling 401ks
A former sales vice president rises through the ranks of the Midwestern provider. ..
401kWire.com - Friday, June 29, 2007
Buffett Decides to Sell His 401k Stake
The Oracle of Omaha is one of the investors selling his stake in the coming Symetra IPO. Don't panic, the selloff is part of a long-planned strategy...
401kWire.com - Friday, June 29, 2007
Merrill Lynch's Retirement Strategy
The new head of distribution for retirement products describes what the company is trying to do...
401kWire.com - Thursday, June 29, 2006
Wolverine State SMA Advisor Teams With Matrix
More than 20,000 plans now have access to the company's managed account program...
401kWire.com - Thursday, June 29, 2006
Do You Know What an RSS Feed Can Do For You?
Forward-looking mutual fund wholesalers will soon be able to tout a web-based communication product that could replace old school methods of communication between fund firms, advisors and clients...
MutualFundWire.com - Thursday, June 29, 2006 Views - Reader Rating: 3
Genworth Buys Fund Firm to Build Up AM Arm
Insurance holding company Genworth Financial has taken one big step in expanding its separate accounts business, tripling its assets under management in the fee-based managed money space with the acquisition of an investment management firm...
MutualFundWire.com - Thursday, June 29, 2006 Views - Reader Rating: 3
Get Your Terror-Free Indexing Here
No, this concept has nothing to do with overcoming your anxieties about stock performance. But if you're worried your investments might be going to companies with possible links to terrorism, State Street Global Advisors may have a product for you...
MutualFundWire.com - Thursday, June 29, 2006 Views
Firm Gets New Management to Match New Business
Legg Mason has "realigned" its senior management team to accommodate the acquisition of Citigroup Asset Management, Legg announced Wednesday...
MutualFundWire.com - Thursday, June 29, 2006 Views - Reader Rating: 3
T. Rowe Doubles Down Out West
Colorado Springs, look out -- your investment management trouble is about to double...
MutualFundWire.com - Thursday, June 29, 2006 Views
No Hard Feelings in Janus Succession
Tensions often hang in the air when an executive leaves a company, but in occasional cases you can imagine the parties still playing golf together. The amicable scenario seems to apply in the departure of Janus's treasurer...
MutualFundWire.com - Thursday, June 29, 2006 Views - Reader Rating: 4
T. Rowe To Expand Colorado Operations
T. Rowe Price is smitten with Colorado Springs. The Baltimore-based investment management firm said Wednesday it plans to construct a second facility at its Colorado Springs campus amid the continued growth of its retirement plan and retail businesses...
401kWire.com - Thursday, June 29, 2006
Fund Flow Struggles Are Ongoing for Some
This week it emerged that May saw the most meager fund inflows of the past two years, as tumbling markets drove investors away. But the same Financial Research Corporation figures show some scandal-burned firms have suffered significant outflows for five years now...
MutualFundWire.com - Thursday, June 29, 2006 Views
Jury Deliberating in Trial of Ex-Pimco Exec
The jury in the civil fraud trial of former PIMCO Advisors Distributors chief executive Stephen Treadway was sent into deliberations Wednesday afternoon, charged with determining whether he acted "negligently" or "recklessly" in relation to PEA Capital's relationship with hedge fund Canary Capital Partners and its managing principal, Edward Stern...
MutualFundWire.com - Thursday, June 29, 2006 Views
Will Amcore Stay with Fleeing Funds?
The bank sells its in-house funds to Federated. Does that mean the funds will stay in the company 401k plan?..
401kWire.com - Wednesday, June 29, 2005 - Reader Rating: 2
TPA Chooses Communication Vendor
The Midwest TPA cites the vendor's Spanish language capabilities as one of the reasons behind the change...
401kWire.com - Wednesday, June 29, 2005 - Reader Rating: 4.82
Did the SEC Do Enough?
The agency voted 3-2 to bolster its fund governance rule, but will the work pass muster with another court?..
MutualFundWire.com - Wednesday, June 29, 2005 - Reader Rating: 5
Donaldson Holds Ground on Fund Governance
Chairman William Donaldson addresses the Court of Appeals' ruling on the Chamber of Commerce case challenging the SEC's independent chairman and independent director rule .....
MutualFundWire.com - Wednesday, June 29, 2005 Views
Paychex Boosts RK Client Stable
The payroll provider counts 33,000 total 401k recordkeeping clients...
401kWire.com - Wednesday, June 29, 2005 - Reader Rating: 3
Why Are the Johnsons Being Investigated?
If news that the upright Johnsons were being investigated in the SEC's gift probe at Fidelity caught you by surprise yesterday, you probably weren't the only one .....
MutualFundWire.com - Wednesday, June 29, 2005 - Reader Rating: 5
SEC's Cutler Joins D.C. Firm
Stephen Cutler, the former Director of Enforcement at the SEC, will join the Washington D.C office of Wilmer Cutler Pickering Hale and Dorr, the law firm he was a partner at before joining the SEC in 1999...
MutualFundWire.com - Wednesday, June 29, 2005 Views
Wellington Hired to Subadvise New SRI Fund
The new fund from Domini Social Investments will invest in European mid- to large-cap equities that pass Domini's screening process...
MutualFundWire.com - Wednesday, June 29, 2005 Views
Putnam Carves Out DC Unit
The fund firm is handing off its 401k-administration business to the newly created Mercer HR Outsourcing...
401kWire.com - Tuesday, June 29, 2004 - Reader Rating: 4.4
Top Job Opens at Schwab Corporate Services
Walt Bettinger takes a promotion and moves to the retail side of Schwab. No replacement yet named...
401kWire.com - Tuesday, June 29, 2004 - Reader Rating: 5
Just in Time, Bank One Settles for $90 Million
Banc One Investment Advisors finally reaches an agreement with the SEC and the NYAG...
MutualFundWire.com - Tuesday, June 29, 2004 - Reader Rating: 4
Fido Closes Mid-Cap Fund, New Fund to Follow
Fidelity will close an advisor-distributed fund at the end of July...
MutualFundWire.com - Tuesday, June 29, 2004 Views
AUL Names Replacement for Tindall
The insurer has tapped a new head for its bundled 401k plan business after a six month search...
401kWire.com - Tuesday, June 29, 2004 - Reader Rating: 1.5
Fred Alger Hires BNY Analyst
The asset manager finds a new vice president and analyst...
MutualFundWire.com - Tuesday, June 29, 2004 Views
American Funds: Too Popular for Their Own Good?
The unabated asset growth of the fund family is attracting more investors, regulators, critics and commentators.....
MutualFundWire.com - Tuesday, June 29, 2004 Views - Reader Rating: 5
401k Checkup Maker Raises Venture Funds
RiskMetrics, creator of the 401k Checkup raises $122 million in new cash...
401kWire.com - Tuesday, June 29, 2004
Integrity Hires Regional Marketers
The North Dakota-based fund firm finds two regional directors for fund sales in the Midwest and Arizona...
MutualFundWire.com - Tuesday, June 29, 2004 Views - Reader Rating: 2
Seeger Pleads Not Guilty
A subdued Grant Seeger appeared in a lower Manhattan courthouse Tuesday to enter his plea...
401kWire.com - Tuesday, June 29, 2004 - Reader Rating: 5
AIM Founder Leaves Behind Legacy of Growth, Philanthropy
A fund industry trailblazer succumbs to illness...
MutualFundWire.com - Tuesday, June 29, 2004 Views - Reader Rating: 5
Lights Out for Kobrick Funds
The bear market has claimed another fund industry victim. This time it is famed stock manager Fred Kobrick losing his family...
MutualFundWire.com - Friday, June 29, 2001 Views - Reader Rating: 3
It's Bid Day for Zurich Scudder
Bidders are reportedly readying their offers for the investment management arm of Zurich Scudder...
MutualFundWire.com - Friday, June 29, 2001 Views - Reader Rating: 3
It's Bid Day for Zurich Scudder
Bidders are reportedly readying their offers for the investment management arm of Zurich Scudder. ..
401kWire.com - Friday, June 29, 2001 - Reader Rating: 3
Fidelity Names FMTC Head
There's a new top dog over at the Boston Behemoth. He reports to Employer Services honcho Smail. ..
401kWire.com - Friday, June 29, 2001 - Reader Rating: 3
American Century Adds Web Redemptions
With four out of five customer contacts coming through the Web, the Kansas City firm is planning enhancements through 2002. It is one of the first fund firms to allow online redemptions. ..
MutualFundWire.com - Friday, June 29, 2001 Views - Reader Rating: 3
American Century Adds Web Redemptions
With four out of five customer contacts coming through the Web, the Kansas City firm is planning enhancements through 2002. ..
401kWire.com - Friday, June 29, 2001 - Reader Rating: 3
SunAmerica Cuts Back on Venture Funds
The firm is the latest to take a step back from the venture capital arena. ..
MutualFundWire.com - Friday, June 29, 2001 Views - Reader Rating: 3
Morningstar Habla Espanol
Oak adds five funds ... Delaware changes fund name ... ICI says flows up 1.2% ... Fidelity names president ... SEI wins $90 million DB plan ... Merrill and Citi may make more layoffs ... Neuberger prices secondary ... Morningstar is targeting Spain and Germany now ... Pulaski gets new CFO. ..
401kWire.com - Friday, June 29, 2001 - Reader Rating: 3
Morningstar Habla Espanol
Oak adds five funds ... Delaware changes fund name ... ICI says flows up 1.2% ... Fidelity names president ... SEI wins $90 million DB plan ... Merrill and Citi may make more layoffs ... Neuberger prices secondary ... Morningstar is targeting Spain and Germany now ... Pulaski gets new CFO...
MutualFundWire.com - Friday, June 29, 2001 Views - Reader Rating: 3
Berger Funds Targets e401k Platform
The Denver fund firm an Janus sibling is putting distributing through a e401k platform. ..
MutualFundWire.com - Friday, June 29, 2001 - Reader Rating: 3
GoldK Adds More Funds
The latest fund firm on the platform is Berger Funds...
401kWire.com - Friday, June 29, 2001 - Reader Rating: 3
Small Bytes: ACI, Turner Launch Funds
American Century and Turner Funds both kick off the July Fourth Weekend by adding new funds to their growing families...
MutualFundWire.com - Thursday, June 29, 2000 Views - Reader Rating: 3
AERS Adds Web Loans
American Express is now offering Web-based loans to participants in plans that it administers...
401kWire.com - Thursday, June 29, 2000 - Reader Rating: 3
Planner Network Gets Round One Funding
1-800-adviser.com -- a site designed to act as a network for financial planners have received its first round funding...
MutualFundWire.com - Thursday, June 29, 2000 Views - Reader Rating: 3
X-Ray Your Funds
Are the funds you recommend to clients as broadly diversified as you think? Morningstar's Sue Stevens X-Ray's a basket of popular funds and discovers their holdings may not differ by as much as you would think...
MutualFundWire.com - Thursday, June 29, 2000 - Reader Rating: 3
How Diverse Are Your Plan Funds Really?
Morningstar's Sue Stevens compares the portfolios of the nation's most used 401k funds. Surprise! They are not as diverse as you may think...
401kWire.com - Thursday, June 29, 2000 - Reader Rating: 3
June 29, 2000
Ops snafu leaves Deutsche retail investors behind ... More on BofA-Marsico ... FPA petitions SEC for more disclosure ... European Fund Markets ... Conseco Taps GE's Wendt...
401kWire.com - Thursday, June 29, 2000 - Reader Rating: 3
June 29, 2000
Ops snafu leaves Deutsche retail investors behind ... More on BofA-Marsico ... FPA petitions SEC for more disclosure ... European Fund Markets ... Conseco Taps GE's Wendt...
MutualFundWire.com - Thursday, June 29, 2000 - Reader Rating: 3
Monument Fund Drooling over Jacob's Departure
The Monument Internet Fund now accepts coupons from any other store on the block! The Bethesda-based fund family has made an offer to holders of shares in all other existing Internet or technology funds to transfer shares free of charge...
MutualFundWire.com - Tuesday, June 29, 1999 - Reader Rating: 3
AERS Lets Non-Qualified Participants onto 401k Website
In yet another sign that 401(k)'s are a key component in the benefits administration business, American Express Retirement Services (AERS) has decided to allow participants in non-qualified plans to access their accounts and change deferral percentages. Generally, this will apply to highly compensated employees who wish to save more than their 401(k) plans allow...
401kWire.com - Tuesday, June 29, 1999 - Reader Rating: 3
Fund Company Stock Prices
Follow this link to get the delayed stock quotes on publically traded fund companies. To suggest an addition to this list send an email to Staff@MFWire.com

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MutualFundWire.com - Tuesday, June 29, 1999 Views - Reader Rating: 3
Word on the Wire: Americans are Not Saving
Despite the best efforts of the federal government, Americans are not saving enough, according to an article in The Wall Street Journal. Also, divesting at PricewaterhouseCoopers and lay-offs at Scudder...
401kWire.com - Tuesday, June 29, 1999 - Reader Rating: 3
Fido Shakes with Lehman Brothers
401(k) participants in the Fidelity Investments system just received a new service today thanks to the firm's new alliance with Lehman Brothers. Customers of the Boston Behemoth will have access to Lehman's equity and debt products, a spokesperson with Fidelity told the 401kWire.com...
401kWire.com - Tuesday, June 29, 1999 - Reader Rating: 3
Waddell & Reed Buys Texas Firm
Fund manager Waddell & Reed has agreed to acquire a San Antonio investment management firm, specializing in separate account and pension management...
MutualFundWire.com - Tuesday, June 29, 1999 - Reader Rating: 3
Odd Lots, June 29, 1999
Scudder closes offices; turns to Web ... Sales stall with Summer heat ... Amerindo shareholders face cap gains surprise ... ICI rules could cost Lynch board seat ... The NYSE wines and dines Colombian Marxists ... More on Fidelity/Lehman...
MutualFundWire.com - Tuesday, June 29, 1999 - Reader Rating: 3
Calvert Lures Berger Wholesaler
The Calvert Group has hired Steven D. Himber as regional vice president for institutional sales. He will join the fund company's wholesale force and be responsible for marketing the Calvert Funds to the 401(k), 403(b), 457 and variable annuity markets on the West Coast. Himber was previously regional vice president of institutional marketing at the Berger Funds...
401kWire.com - Monday, June 29, 1998 - Reader Rating: 3
Missouri Company Seeking Services
Bridgeton, MO-based Tapco, Inc., a privately held manufacturing company of elevator buckets and bolts, is seeking new services for its 401(k) plan, Brad Weisner, controller, told the 401kWire. The plan has approximately $2 million in assets with 40 employees...
401kWire.com - Monday, June 29, 1998 - Reader Rating: 3
An Interview with Gail Weiss
With the 401(k) market’s attention now focused on bringing daily-valued plans to the smaller end of the market, it is not surprising that the National Securities Clearing Corporation’s (NSCC) Defined Contribution Clearance and Settlement service is receiving close attention. The services promises to let third party administrators (TPA’s) and recordkeepers bring state-of-the-art daily services to plan sponsors. ..
401kWire.com - Monday, June 29, 1998 - Reader Rating: 3
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