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News Stories Archives - Since 1998
A $2.8B-AUM, Derivatives-Focused AM Debuts Its 1st ETF, And ... The folks at a 16-year-old, institutional asset manager in the Beehive State are starting to roll out a suite of six exchange-traded funds... MutualFundWire.com - Tuesday, November 4, 2025
Presberg Will Continue to Grow and Manage His TPA Post-Sale The acquirer's chief corporate development officer talks about the firm's latest acquisition, its fourth in California... 401kWire.com - Tuesday, November 4, 2025
Mannino Welcomes a 26Y Industry Vet In OH The new Standard hire most recently spent five years with Principal... 401kWire.com - Tuesday, November 4, 2025 - Reader Rating: 5
Dash Will Help Steer a Retirement-Focused Fintech The former Matrix chief is joining an IRA rollover specialist's board of directors... 401kWire.com - Tuesday, November 4, 2025
Selenski Hires a Gotham Research Vet The new hire joined DCIIA's RRC team yesterday... 401kWire.com - Tuesday, November 4, 2025
28Y, $100B, and Counting A DMV fund firm's team celebrates a big milestone... MutualFundWire.com - Tuesday, November 4, 2025
A $130B-AUMA RKer's Outflows Rise, But ... The team at a publicly traded insurer and retirement plan provider releases their Q3 2025 earnings report... 401kWire.com - Tuesday, November 4, 2025
Two Gotham Shops Partner For a PE ETF Quest The Tidal team is supporting a new, actively managed ETF that combines equity investing with a derivatives strategy... MutualFundWire.com - Monday, November 4, 2024
Wagner Hires a 12-Year Hancock Vet The new will lead the ERISA law firm's new cybersecurity team... 401kWire.com - Monday, November 4, 2024
Stout Takes Over an Aggregator's KPA Arm The OneDigital alumna will serve as president of the Midwestern firm's retirement plan consulting business... 401kWire.com - Monday, November 4, 2024
Rouse Reflects On ERISA's Golden Milestone The Spark chief welcomes more than 450 retirement plan industry insiders to South Florida for the trade group's annual conference... 401kWire.com - Monday, November 4, 2024 - Reader Rating: 5
Week In Preview, November 4 - November 10 This week, the teams at ASPPA, Broadridge, Corebridge, Equitable, PlanAdviser, PSCA, Spark, Voya, and WIPN are hosting events... 401kWire.com - Monday, November 4, 2024
Week In Preview, November 4 - November 10 This week, the teams at AMG, Diamond Hill, Franklin Templeton, MFDF, Voya, and WE are hosting events... MutualFundWire.com - Monday, November 4, 2024
Conduent's Larson Hires a DC Vet In FL "We're building an expert team," the sales VP explains... 401kWire.com - Friday, November 4, 2022
A Nine-Year MassMutual Vet Leaves an RKer The industry veteran managed internal wholesalers... 401kWire.com - Friday, November 4, 2022
MissionSquare, Principal, and T. Rowe Win Big In NYC Updated \| Two retirement plan providers and a host of fund firms win awards for their efforts to communicate with, and educate, retirement plan participants, plan sponsors, and KPAs... 401kWire.com - Friday, November 4, 2022
Musk and Baron Talk Twitter, Zombies, and More A tech billionaire shows up as a surprise CEO guest to chat with the fundster chief... MutualFundWire.com - Friday, November 4, 2022
A One-Week, 26-Fold Inflows Increase The Refinitiv Lipper folks reveal the latest weekly U.S. fund flows data... MutualFundWire.com - Friday, November 4, 2022
Small Plan Inflows Double At an $84B-AUA RKer The team at a retirement plan provider's publicly traded insurer parent releases their Q3 2022 results... 401kWire.com - Friday, November 4, 2022
Tips For Boosting Your LinkedIn Presence My colleague Andrew offers some tips that go beyond just treating the site as your online resume... 401kWire.com - Thursday, November 4, 2021
Steers Passes the Reins A familiar face is taking over the Gotham fund firm, though both founders are still involved... MutualFundWire.com - Thursday, November 4, 2021
A 15-Year Hancock Vet Retires, And ... A new hire is stepping up to fill the departing exec's shoes... 401kWire.com - Thursday, November 4, 2021 - Reader Rating: 5
A Publicly Traded Provider Adds an App In Spanish The launch adds to the recordkeeper's educational and financial wellness offerings for the Hispanic community... 401kWire.com - Thursday, November 4, 2021
Two Join a 401k Startup's Board The move comes after the firm recently raised another $200 million in capital... 401kWire.com - Thursday, November 4, 2021
The Four Best Fund Firms For Women A career community company for women recognizes ten firms in finance, including several mutual fund industry titans... MutualFundWire.com - Thursday, November 4, 2021
Wagner Hires an L.A. ERISA Attorney The new addition specializes in the Taft-Hartley side of the business... 401kWire.com - Thursday, November 4, 2021
An Ex-OpFunds C-Suiter Joins Apollo The fundster now serves as a managing director at the alternative asset manager... MutualFundWire.com - Wednesday, November 4, 2020
After 15 Years, a TIAA Director Moves On A market research veteran leaves the retirement plan provider... 401kWire.com - Wednesday, November 4, 2020
Lombardi Resurfaces, Focused on Subadvisory The veteran DC I-O exec joins a multinational asset manager's North American arm... 401kWire.com - Wednesday, November 4, 2020
Jenny Johnson Predicts More DC Customization The new Franklin chief talks to DC industry insiders in the opening general session at the virtual Spark Forum... 401kWire.com - Wednesday, November 4, 2020
A $358B-AUM Firm Adds an ESG Chief The new hire will join early next year in the multinational, publicly traded asset manager's HQ... MutualFundWire.com - Wednesday, November 4, 2020 - Reader Rating: 4
Participant Stress and Openness to Advice Both Rise A publicly traded insurer's retirement plan recordkeeping team releases new research drawn from its own participants... 401kWire.com - Wednesday, November 4, 2020
A PA AM Reaches a Record $527.2B In AUM Executives at the firm talk about their Q3 2019 earnings... MutualFundWire.com - Monday, November 4, 2019
Schafer Extends a Midwestern Pentegra Exec's Reach As one regional director departs, another adds that territory... 401kWire.com - Monday, November 4, 2019
A Big RKer's Sales Rise 73 Percent It's participant count also rose four percent year-over-year... 401kWire.com - Monday, November 4, 2019 - Reader Rating: 1
After Eight Years, a Neuberger DC I-O Exec Exits He worked for a recordkeeper before joining the asset manager in 2011... 401kWire.com - Monday, November 4, 2019
Week In Preview, November 4-10 This week the teams at the Active Investment Company Alliance, BofA, ICI, JPMAM, MFDF, Pictet, Schwab, and the SEC are hosting events, and several mutual fund firms' parents are releasing earnings... MutualFundWire.com - Monday, November 4, 2019
Week In Preview, November 4-10 This week, the teams at FIS, OneAmerica, P&I, Spark, and That401kSite.com are hosting events, and several providers' parents are releasing earnings... 401kWire.com - Monday, November 4, 2019
Eye for Earnings - November 4, 2016 The latest earnings releases are here! .. MutualFundWire.com - Friday, November 4, 2016
Baron's 25th Conference Has an X-Factor The 25th Annual Baron's Investment Conference Has Commenced!.. MutualFundWire.com - Friday, November 4, 2016
Two More B-D's Alert on DoL Rule Compliance These independent broker-dealers will allow advisers to retain commissions. .. 401kWire.com - Friday, November 4, 2016 - Reader Rating: 3.33
New Tool For Firms to Comply With DOL Rule The fiduciary framework initiative is supported by new research. .. 401kWire.com - Friday, November 4, 2016 - Reader Rating: 4
ERISA Advisory Council to Provide Recommendations The ERISA Advisory Council is headed to the DoL's headquarters... 401kWire.com - Friday, November 4, 2016
Will TCW Take This Crown? The SoCal bond fund shop could soon surpass a famous rival... MutualFundWire.com - Friday, November 4, 2016
NAPA Net Opens Voting for the Top Women Advisors Vote for the Top Women Retirement Advisors of 2016. .. 401kWire.com - Friday, November 4, 2016
Voya Rebrands a $125MM Fund The publicly-traded, U.S.-based, former ING arm changes the name of a large cap mutual fund... MutualFundWire.com - Wednesday, November 4, 2015
A $1.2 Billion County Plan Switches RKers A Long Island County switches providers..... 401kWire.com - Wednesday, November 4, 2015 - Reader Rating: 5
Spark Asks For More The trade group is on the rise ... figuratively... 401kWire.com - Wednesday, November 4, 2015
AB Puts On Fiduciary Hat AB will assume fiduciary for its annuities service..... 401kWire.com - Wednesday, November 4, 2015
MainStay's Gundersen Hires Two to Target RIAs and Private Banks The New York Life unit's institutional intermediary chief welcomes a pair of execs to his team... MutualFundWire.com - Wednesday, November 4, 2015
PSCA's McHugh Talks Fiduciary Rule Developments Can the GOP stop it? .. 401kWire.com - Wednesday, November 4, 2015
Flanagan Makes Top Invesco Changes On Both Sides of the Pond One top exec is retiring, a second is crossing the Atlantic to succeed the first, and a third is taking over a top North American post held by the second... MutualFundWire.com - Wednesday, November 4, 2015 - Reader Rating: 3
Targeting the U.S. Insti Market, Kranefuss Still Wants to Look at Good Acquisitions, Too The iShares founder is helping bring a global ETF giant to the U.S. He recently chatted with MFWire about his growth strategy, both organic and otherwise... MutualFundWire.com - Tuesday, November 4, 2014
This State Has the Highest 401k Participation Rate ...according to 401(k) intelligence provider... 401kWire.com - Tuesday, November 4, 2014
AMG's Healey Truly Seals a Deal Sean Healey and his team unwrap a Halloween treat overseas... MutualFundWire.com - Tuesday, November 4, 2014
Donna Ross Fills Sales Post The VMS subsidiary announces a new hire..... 401kWire.com - Tuesday, November 4, 2014 - Reader Rating: 4
MEPs Have the Real Juice in Congress A top industry voice in Washington sees good news for defined contribution industry insiders in the multiple employer plan business... 401kWire.com - Tuesday, November 4, 2014 - Reader Rating: 5
DiCenso Hires a Merrill Lynch Alum Mike DiCenso, managing director of Chicago, Illinois-based independent third party consultant just hired a Merrill Lynch alum... .. 401kWire.com - Tuesday, November 4, 2014 - Reader Rating: 2
What's In An Alt? The broad "miscellaneous" category is not universally defined... MutualFundWire.com - Tuesday, November 4, 2014
M* Awards More Medals Who were the five small funds that garnered kudos?.. MutualFundWire.com - Monday, November 4, 2013
Gross Loses a Title to Vanguard Vanguard steals nabs a noteworthy milestone from Mr. Gross... MutualFundWire.com - Monday, November 4, 2013
A Subadvisor Completes the Adoption Process Shop renames fund and launches new brand... MutualFundWire.com - Monday, November 4, 2013
With Three Alts in Its Cap, Firm is Hungry for More Firm that aims to double its assets in three years is searching for more subadvisors... MutualFundWire.com - Monday, November 4, 2013
ADP Wants Sponsors to Get SMART ADP's SMARTSync tool helps plan sponsors avoid fines due to regulatory noncompliance. .. 401kWire.com - Monday, November 4, 2013 - Reader Rating: 5
A Star Indexer Takes Helm of $750B Former Morningstar top 10 fund manager, and recent transplant to Australia, will assume leadership of fund giant's bond arm as predecessor plans 2014 retirement... MutualFundWire.com - Monday, November 4, 2013
Allianz Wins Over an Aspire Sales Exec Forrest Wilson is now national sales manager, DCI-O & VA Advisor Markets at Allianz... 401kWire.com - Monday, November 4, 2013 - Reader Rating: 5
DiCenso Makes His Move Gallagher's former retirement chief will lead a mid-market provider's push to expand its large-market presence... 401kWire.com - Monday, November 4, 2013 - Reader Rating: 4.5
Hayes and Ready Lead the 401k Charge at Spark The two 401k industry vets open the formal sessions for this year's Spark Forum... 401kWire.com - Monday, November 4, 2013
A Tech Firm Unveils a New Recordkeeping Platform Technology solutions firm Sapiens has introduced a recordkeeping system, set to hit the market in 2014... 401kWire.com - Monday, November 4, 2013
Jaffe Says Funds Aren't Like Aretha Franklin Columnist writes that when fundsters sing about "natural persons," they're off key... MutualFundWire.com - Monday, November 4, 2013
Two Firms Are Bringing Hedgers to '40 Act Country WSJ looks at two alt firms with an appetite for hedge talent. Story has been covered by MFWire for over a year... MutualFundWire.com - Monday, November 4, 2013
Gross Evokes Scrooge McDuck Yet again, the Pimco executive turns to cartoons... MutualFundWire.com - Monday, November 4, 2013
Rekenthaler Writes: Managed Futures Are a Triple-Threat Mess The products have "done it all wrong.".. MutualFundWire.com - Monday, November 4, 2013
Gorman Pops Finks' Bubbles Morgan Stanley CEO says BlackRock CEO is wrong. .. MutualFundWire.com - Monday, November 4, 2013
TheStreet Smites Virtus The pub lowers its rating of the mutual fund firm after its earnings release... MutualFundWire.com - Friday, November 4, 2011
Pimco Reups With State Street The Beantown custodian reveals a contract renewal... MutualFundWire.com - Friday, November 4, 2011
DST Adds 100,000 Participants The back-office specialists release its latest earnings report... 401kWire.com - Friday, November 4, 2011 - Reader Rating: 5
Ron Baron Take the Stage Baron Capital's chief entertains the crowd in New York City... MutualFundWire.com - Friday, November 4, 2011
Paychex's New Hire Targets Advisors The payroll plan provider is beefing up its sales team along the East Coast... 401kWire.com - Friday, November 4, 2011 - Reader Rating: 4.4
William Blair Launches New Funds, Large and Small The Chitown mutual fund firm unveils a pair of new offerings... MutualFundWire.com - Friday, November 4, 2011
Hugh Jackman Saves the Day for Baron The Baron conference did not get off to a good start for some investors today... MutualFundWire.com - Friday, November 4, 2011 - Reader Rating: 5
Fidelity Names New Fixed Income Chiefs The Boston Behemoth highlights four investing appointments... MutualFundWire.com - Friday, November 4, 2011
Retirement Plans Boom at the Hartford The insurer reveals its Q3 earnings results... 401kWire.com - Friday, November 4, 2011 - Reader Rating: 5
American Century Closes an Equity Fund The fund's bets on convertibles likely played a part in its closing, according to Morningstar... MutualFundWire.com - Friday, November 4, 2011
Hartford Suffers Fund Outflows The insurer releases its third quarter results... MutualFundWire.com - Friday, November 4, 2011
Bill Gross Redeems Himself The Pimco Total Return Bond Fund, which is having its worst run this year since at least 1995, regained its spot among top bond funds last month, according to Bloomberg Businessweek... MutualFundWire.com - Friday, November 4, 2011
BofA Merrill's Scorecard Reveals a More Positive Outlook The attitude of participants to save more is happening, according to Kevin Crain... 401kWire.com - Friday, November 4, 2011
Office Depot Shelves Vanguard for Another RKer The Florida-based plan sponsor switches vendors... 401kWire.com - Thursday, November 4, 2010
A Big Four Brokerage is Looking for a New Fund Gatekeeper The exec who currently holds the keys to the wirehouse's fund platform is moving on early next year... MutualFundWire.com - Thursday, November 4, 2010 - Reader Rating: 5
Hancock Rings Up $2.3 Billion in Fund Sales The Boston-based fund firm is on pace for a record sales year... MutualFundWire.com - Thursday, November 4, 2010
Full-Service Deposits and Sales are Up at Pru The New Jersey-based firm reveals third quarter results. .. 401kWire.com - Thursday, November 4, 2010 - Reader Rating: 3.22
The Sun Shines on MFS The Boston-based mutual fund firm posts a 35-percent jump in third-quarter earnings... MutualFundWire.com - Thursday, November 4, 2010 - Reader Rating: 4
Old Mutual Chats with CEO Wannabes The search continues for Tom Turpin's replacement... MutualFundWire.com - Thursday, November 4, 2010
Aston Thinks Small with its New Product The Chicago-based AMG affiliate rolls out a small-cap growth offering... MutualFundWire.com - Thursday, November 4, 2010
Hancock Reports Lower New Plan Sales Officials at the Boston-based plan provider say the drop reflects the continuing sluggish recovery of the economy... 401kWire.com - Thursday, November 4, 2010 - Reader Rating: 3
Spark Institute Says 12b-1 Proposal Will Hurt More Than It Will Help The institute says the proposal will impose significant burdens and costs on retirement plan intermediaries and adversely impact plan sponsors and participants... 401kWire.com - Thursday, November 4, 2010 - Reader Rating: 5
Morgan Stanley is in No Hurry to Own All of MSSB James Gorman reportedly tells investors that Morgan Stanley has the flexibility to delay part of the purchase... MutualFundWire.com - Thursday, November 4, 2010 - Reader Rating: 5
Merrill Lynch Will Continue to Sell BlackRock's Products The wirehouse and BlackRock intend to enter into an amended agreement in connection with Bank of America's plan to shrink its stake in BlackRock... MutualFundWire.com - Thursday, November 4, 2010 - Reader Rating: 5
LPL Eyes as Much as $515 Million in its IPO The nation's biggest independent brokerage-dealer has a number in mind for its IPO. .. MutualFundWire.com - Thursday, November 4, 2010
Value Line to Settle SEC Charges for $45 Million Value Line, its CEO, former CCO and affiliated broker-dealer will settle charges brought by the SEC that they defrauded the Value Line mutual funds. .. MutualFundWire.com - Wednesday, November 4, 2009 - Reader Rating: 3
Which Fund Firms Excel at Connecting with Advisors? Cogent releases the findings of its Advisor Touchpoints report... MutualFundWire.com - Wednesday, November 4, 2009 - Reader Rating: 4
An ETF Manager Gains Two New Siblings A pair of deals expand the reach of the parent of a niche asset manager and bring in a new leader... MutualFundWire.com - Wednesday, November 4, 2009
Pimco Grabs a Goldman Alum Updated \| The bond giant has brought on board a former co-head of Goldman Sachs Asset Management's high yield group... MutualFundWire.com - Wednesday, November 4, 2009
Hancock Hopes that Changes Will Lead to $3 Billion of I-O Sales Executives hope that changes over the summer, including the simplification of the share class structure and a Web site revamp, will boost sales... 401kWire.com - Wednesday, November 4, 2009
Seven New Vanguard ETFs Are Still Coming Soon Vanguard is on the verge on launching seven new exchange traded funds... MutualFundWire.com - Wednesday, November 4, 2009
Hewitt: Plan Sponsors Are Growing More Cost-Conscious Trends show employers want to reduce plan costs... 401kWire.com - Wednesday, November 4, 2009
VALIC Finds a New EVP Within VALIC taps a senior vice president to replace an executive vice president who moved to TIAA-CREF... 401kWire.com - Wednesday, November 4, 2009 - Reader Rating: 1
Virtus Posts Higher Operating Income AUM increases from Q2 09, but decreases from Q3 08... MutualFundWire.com - Wednesday, November 4, 2009
Will Mutual Funds Gain Access to the Federal Thrift Savings Plan? Lawmakers and witnesses debate adding a new option to the giant government retirement plan... MutualFundWire.com - Wednesday, November 4, 2009
Treasury Funds Trumped Stock Funds Over the Past Decade The low-risk Treasury funds have outperformed domestic and international stock funds over the past 10 years, Sam Mamudi notes in the Wednesday issue of WSJ Fund Track... MutualFundWire.com - Wednesday, November 4, 2009 - Reader Rating: 5
Hartford's Retirement Assets Keep Steady Year-Over-Year Hartford's retirement plan assets climbed between Q2 and Q3, and its quarterly loss in the unit dropped from 2008... 401kWire.com - Wednesday, November 4, 2009
Q3 Net Sales are Down 4 Percent at Hartford The Connecticut-based insurer posts net mutual fund sales of $779 million in the third quarter... MutualFundWire.com - Wednesday, November 4, 2009
Newport Fills Two More Regional Director Slots Veterans from the advisor and provider side of the business join the open architecture provider... 401kWire.com - Tuesday, November 4, 2008 - Reader Rating: 2
Two Vanguard Muni Bond Funds Meld The giant low-cost asset manager reveals plans to combine a pair of funds... MutualFundWire.com - Tuesday, November 4, 2008
Brennan Leads Money Market Examination An industry trade group taps the Vanguard chairman to lead a new group... MutualFundWire.com - Tuesday, November 4, 2008
Down Markets Bite Another Asset Manager A wirehouse analyst takes a fund firm down a notch... MutualFundWire.com - Tuesday, November 4, 2008
Provider Taps Fido Vet as Gatekeeper Fund firms looking to join one DC insurance platform will have to talk to a new face... 401kWire.com - Tuesday, November 4, 2008 - Reader Rating: 5
Private Equity Doubles Down on TPA Acquirer The bankruptcy of Lehman Brothers leads another lender to up its stake in a DC-focused firm... 401kWire.com - Tuesday, November 4, 2008
JPMorgan Retirement Kisses Cash Balance Plans Adieu The banking giant sells its hybrid plan business to a big name in the niche... 401kWire.com - Tuesday, November 4, 2008 - Reader Rating: 5
Two Ex-Putnam DC Execs Must Pay Up Out of six executives initially charged, one case still remains undecided... 401kWire.com - Tuesday, November 4, 2008 - Reader Rating: 2
An Oakmark Fund Re-Opens After more than four years, new investors can again buy into a thirteen-year-old fund... MutualFundWire.com - Tuesday, November 4, 2008
WSJ Zooms in on Fido's Brokerages The Journal sees trades rise and assets fall at three units of the Boston Behemoth... MutualFundWire.com - Tuesday, November 4, 2008
Plumb Sees Growth Ahead for New Employer The former US Bancorp and Search401k executive has a new mandate... 401kWire.com - Friday, November 4, 2005
Philippines Works on 401k Adaption 401k plan providers may get an opportunity to take their skills to the Phillippines... 401kWire.com - Friday, November 4, 2005
Wachovia's Probe Disclosure Covers Old Ground Wachovia Corp.'s just-released SEC filing is again causing news agencies to report on probes into the mutual fund sales practices at Evergreen Investment Services. .. MutualFundWire.com - Friday, November 4, 2005 - Reader Rating: 1
GM Names Asset Management Chief The automaker has found a successor to Allen Reed who will retire at the end of next year... 401kWire.com - Friday, November 4, 2005
PSCA Prez Shoots Back at Time The magazine's article on the retirement industry was a grossly inaccurate and misleading attack on the retirement system, says PSCA chief David Wray... 401kWire.com - Friday, November 4, 2005 - Reader Rating: 5
Madison River Enhancing 401k after DB Freeze A sponsor of a $3 million 401k plan in North Carolina joins the wave of employers freezing DB plans in favor of a DC plan... 401kWire.com - Friday, November 4, 2005
"Fido" Dwarf in Demand Remember the Fidelity Dwarf? An Lazard or SG Cowen executive might according to Dow Jones Newswires. For those who have forgotten, Danny Black (aka the dwarf) was hired by a brokerage firm as part of the entertainment at a bachelor party thrown for then Fidelity trader Thomas Bruderman... MutualFundWire.com - Friday, November 4, 2005
Will Ned Pick Abby, or Ellyn or Bob? There is nothing else like a succession fight that can get the speculative ink flowing from the pens of reporters and the Johnsons saga at Fidelity is no exception. The latest news outlet to jump on the story touched off by Bob Stansky's resignation from Magellan is BusinessWeek... MutualFundWire.com - Friday, November 4, 2005
Pope Decamps From SSgA Christopher Pope is out at State Street Global Advisors. The head of sales and client services at the Boston-based fund manager was asked to resign, according to a report... MutualFundWire.com - Friday, November 4, 2005
Wilmington Trust Lends Support to Administrators Seeking Open Plans The company is offering plan administrators an easier path to offering open-architecture plans... 401kWire.com - Thursday, November 4, 2004 - Reader Rating: 4
AEFA Joins Indy-K Club Another plan provider is rolling out an individual 401(k) product for sole proprietors... 401kWire.com - Thursday, November 4, 2004 - Reader Rating: 2
AMG-Owned Fremont Settles Money manager Fremont Investment Advisors has settled with the SEC and the New York State Attorney General, clearing the way for a previously announced sale to Affiliated Managers Group... MutualFundWire.com - Thursday, November 4, 2004
Class Action Targets BoA Cash Balance Plan ERISA class action lawyers may be mounting a different attack on employer-sponsored retirement plans... 401kWire.com - Thursday, November 4, 2004
Bulk of ETF Inflows Go to BGI While it may be common knowledge that Barclays Global Investors is the biggest exchange-traded fund player out there, what may not be clear is by how much the front runner is gaining... MutualFundWire.com - Thursday, November 4, 2004
Oppenheimer Responds to Regulatory Inquiries Oppenheimer Holdings is continuing to respond to inquiries from the SEC, the New York State Attorney General and other regulators, the company disclosed in a filing. Although the company previously disclosed that it had responded to document requests, officials stated in the filing that it had also received and responded to subpoenas and that several of Oppenheimer personnel have participated in "on-the-record interviews" regarding the company's broker dealer and clearing operations... MutualFundWire.com - Thursday, November 4, 2004
American Funds Staffs Phoenix Service Center The American Funds group is on track to staffing its new service center in the Phoenix-area. The fund company has already hired 50 employees and plans to hire 150 more within a year for the new office... MutualFundWire.com - Thursday, November 4, 2004
What is the Fate of the SEC? The embattled watchdog's critics are weighing in heavily. Will the organization be able to withstand the pressure?.. MutualFundWire.com - Tuesday, November 4, 2003 - Reader Rating: 5
Emplanet CEO Starts Fresh At TD Waterhouse His first order of business is to find someone to run the company's k-plan efforts... 401kWire.com - Tuesday, November 4, 2003
Security Trust Downsizes A slew of people get the door, including two presidents... 401kWire.com - Tuesday, November 4, 2003 - Reader Rating: 4.2
Five Prudential Brokers Busted Massachusetts regulators aim to charge company with neglect.. MutualFundWire.com - Tuesday, November 4, 2003 - Reader Rating: 5
Security Trust in Sights of Spitzer The attorney general is preparing charges against the 401k trust and clearing firm... 401kWire.com - Tuesday, November 4, 2003 - Reader Rating: 5
SunGard Makes it Official The firm confirms its purchase of Mid Atlantic. Outlines its intentions... 401kWire.com - Monday, November 4, 2002 - Reader Rating: 2
New Tech Lets Advisor Focus on Basics How a boutique money management jumped into the participant advice business and may offer a glimpse at the future of the industry... 401kWire.com - Monday, November 4, 2002
Insurer Fund Family Jumps into SMAs The insurer taps to money management affiliates and will distribute the offering through five platforms... MutualFundWire.com - Monday, November 4, 2002 - Reader Rating: 4
Gabelli Wraps Up Another Buy The fund firm announces its second purchase in as many weeks... MutualFundWire.com - Monday, November 4, 2002
An SRI Fund Pulls The Plug On its Manager The news is not surprising as the value fund ranks at the bottom of its Morningstar peer group and is down 40 percent this year alone... MutualFundWire.com - Monday, November 4, 2002 - Reader Rating: 3
New Tool Promises Edge in Winning IRA Rollovers Many vendors are counting on capturing rollovers to ensure profits, but so far none have found a solution. Now a software provider is offering an innovative tool... 401kWire.com - Monday, November 4, 2002 - Reader Rating: 4
ICI Starts Tracking Closed-End Funds The fund industry trade group released the first set of stats from its new quarterly survey of closed-end funds... MutualFundWire.com - Monday, November 4, 2002 - Reader Rating: 3
Federated Opens Institutional Fund The new high-yield fund sports a redemption fee... MutualFundWire.com - Monday, November 4, 2002 - Reader Rating: 2.5
So Happy Together The Schwabies and their flock of advisors have gone home to rest after the frenetic four days of Schwab Institutional's !MPACT 1999 conference. Here's.. MutualFundWire.com - Thursday, November 4, 1999 - Reader Rating: 3
Driehaus Adds Channel Sales Head Driehaus has just hired an ex-Safeco employee to head retirement and intermediary distribution for its sales department... MutualFundWire.com - Thursday, November 4, 1999 - Reader Rating: 3
AOL Signs Up For Advice AOL has signed with an advice provider, with portfolio risk analysis, free investment forecasts and more available to its millions of newbies... MutualFundWire.com - Thursday, November 4, 1999 - Reader Rating: 3
AOL Signs Up For Advice America Online (NYSE: AOL) today said it has signed a two-year agreement to provide Financial Engines' portfolio forecasting and personalized online investment advice to AOL's Personal Finance Channel and Netscape Netcenter's Personal Finance Channel. According to AOL, there are 19 million members of AOL and 20 million registrants with Netscape... 401kWire.com - Thursday, November 4, 1999 - Reader Rating: 3
Will Schwab Offer an Internet Only 401k? Will the Internet-only 401(k) market be getting more crowded? Charles Schwab Retirement Services may be the next firm to throw its hat into the online ring. If it were to follow this path, Schwab's web-based 401(k) product would compete directly with Fidelity's e401k... 401kWire.com - Thursday, November 4, 1999 - Reader Rating: 3
Kelmoore Gets an "A" Kelmoore Investment Co. is adding a new class of shares, adding a distribution platform and in the middle of registering a new product... MutualFundWire.com - Thursday, November 4, 1999 - Reader Rating: 3
Odd Lots, November 4, 1999 Internet funds multiply�at warp speed ... Funds have modest inflows ... Getting more objective ... Health care funds ailing ... Nasdaq is hot, hot, hot... MutualFundWire.com - Thursday, November 4, 1999 - Reader Rating: 3
Sanchez Computer Taps New Provider Malvern, Pennyslvania-located Sanchez Computer Associates, a software developer for the banking industry, has chosen New York Life Benefit Services, Inc. to be the bundled provider for the sponsor's 401(k) plan, Anne Novak, vice president of human resources, told the 401kWire.com. The plan has 250 participants and $6 million in assets... 401kWire.com - Wednesday, November 4, 1998 - Reader Rating: 3
Retirement is Chief Concern of Employees The International Society of Certified Employee Benefit Specialists (ISCEBS) and the Employee Benefit Group of Deloitte Touche LLP have released a new survey on the top priorities in the benefits field for 1999. There were 401 respondents to the national survey, all of whom are certified employee benefit specialists. Four of the five issues center on retirement planning. Those polled also noted the importance of improving communications with employees through the use of new technologies in the coming year... 401kWire.com - Wednesday, November 4, 1998 - Reader Rating: 3
Word on the Wire The 401kWire.com takes a look at a couple of stories it has been following for some time and reports on the new developments... 401kWire.com - Wednesday, November 4, 1998 - Reader Rating: 3

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2007:	Q4	Q3	Q2	Q1
2006:	Q4	Q3	Q2	Q1
2005:	Q4	Q3	Q2	Q1
2004:	Q4	Q3	Q2	Q1
2003:	Q4	Q3	Q2	Q1
2002:	Q4	Q3	Q2	Q1

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