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News Stories Archives - Since 1998
An Ex-AM Chief Retires From TIAA
Updated | The exec spent more than 14 years at the higher education-focused financial services provider...
MutualFundWire.com - Tuesday, April 13, 2021
A $5.5B-AUM RIA Upgrades Its Intern Program and More
The firm is also ramping up its support for its financial wellness service...
401kWire.com - Tuesday, April 13, 2021
A 20-Year Voya Vet Takes Over a New Territory
The move comes after a new hire joined earlier this year...
401kWire.com - Tuesday, April 13, 2021
Will BlackRock, DWS, Or SSGA Snap Up a $477B-AUM AM?
Word is that its public, multinational parent is doing a strategic review of the business...
MutualFundWire.com - Tuesday, April 13, 2021
Why Musto Picked This FuturePlan Chief, and What's Next
The Ascensus chief discusses the future of Ascensus' TPA arm, which has a new president...
401kWire.com - Tuesday, April 13, 2021 - Reader Rating: 3.67
An Ex-Funds Network Chief Shifts
The exec is taking a senior role at Fidelity Institutional...
MutualFundWire.com - Monday, April 13, 2020 Views
Mid-Coronavirus Crisis, an RKer Gathers Folks Online
A provider's team is hosting a new virtual conference this week...
401kWire.com - Monday, April 13, 2020 - Reader Rating: 1.27
From KPA, to Educator ... to Actor?
A high profile 401(k) plan advisor is trying to make money funny through a new one-man show...
401kWire.com - Monday, April 13, 2020 - Reader Rating: 5
Crane Promotes an Ascensus Vet In Oregon
The exec now serves as DVP at the open architecture recordkeeper...
401kWire.com - Monday, April 13, 2020 - Reader Rating: 5
A $1.8T-AUM Firm's Parent Promises Not to Trim
Management at another Wall Street giant that has an asset management arm is saying they won't make any layoffs this year...
MutualFundWire.com - Monday, April 13, 2020 Views
A Transportation Giant Suspends Its Match
The plan sponsor is one of many that is making 401(k) cuts during the ongoing coronavirus crisis...
401kWire.com - Monday, April 13, 2020
Two Industry Vets Join PCS' Board
Two former CEO's join the board of directors of the Philadelphia-based recordkeeper...
401kWire.com - Friday, April 13, 2018 - Reader Rating: 5
CLS and Gemini's PE-Backed Parent Buys a TAMP
This is the firm's first acquisition since a private equity giant bought in three years ago...
MutualFundWire.com - Friday, April 13, 2018 Views
A DC Chief Accuses an Asset Management Titan of Discrimination
The executive recently sued her employer, claiming she suffered sex discrimination, age discrimination, and retaliation for complaining about the discrimination...
401kWire.com - Friday, April 13, 2018 - Reader Rating: 5
A 20-Year Industry Vet Joins Beltz Ianni
The firm's new hire previously worked at a different Rochester-based firm...
401kWire.com - Friday, April 13, 2018
Gordon Passes the Hancock RPS Baton
The insurer's RKing CEO is retiring later this year...
401kWire.com - Friday, April 13, 2018
An Online DC Entrepreneur Returns, Focused on Referrals
He and his wife are bringing their new defined contribution industry startup to the national stage next month...
401kWire.com - Friday, April 13, 2018
For $351MM, Federated Buys an ESG Shop
Chris Donahue's publicly traded U.S. fund firm has agreed to take a 60-percent stake in an asset manager across the pond...
MutualFundWire.com - Friday, April 13, 2018 Views
United Airlines and the Fiduciary Paradox: Providing a margin of excellence
Governance informs us of what to do. Leadership and stewardship defines the quality of the outcomes. Don Trone, guest columnist for 401kWire this week, is the CEO and one of the co-founders of 3ethos, which conducts original research, assessments, and training in Behavioral Governance. ..
401kWire.com - Thursday, April 13, 2017
One Year Into a $6.5B Empire State Shop's Mutual Fund Journey
The 25-year-old firm has now more than $90 million in mutual fund AUM. ..
MutualFundWire.com - Thursday, April 13, 2017 Views - Reader Rating: 5
Mercer: Data Finds Growth in TDF Provider Assets
The largest provider increases its dominance despite rise in new providers...
401kWire.com - Thursday, April 13, 2017
The Industry's First KPA Passes Away
This woman is a legend for providing one of the first 401(k) plans in the retirement marketplace...
401kWire.com - Thursday, April 13, 2017 - Reader Rating: 2.33
The New Fund Fuss - April 13, 2017
The latest news on funds!..
MutualFundWire.com - Thursday, April 13, 2017 Views
Fido Sets Its Sights on Blockchain
Fidelity Investments is the first financial services firm to join the Initiative for CryptoCurrencies & Contracts...
MutualFundWire.com - Thursday, April 13, 2017 Views
Americans Have Retirement Anxiety
Stress is in the air when it comes to securing a successful retirement...
401kWire.com - Thursday, April 13, 2017
Lincoln Names a New Regional Director of Consultant Relations
Lincoln picks up an ex-TIAA senior director...
401kWire.com - Wednesday, April 13, 2016
A $676MM Great-West Fund Switches Subadvisors
The new subadvisor hails from the other side of the North Atlantic...
MutualFundWire.com - Wednesday, April 13, 2016 Views
A Georgia KPA Hires a Morgan Stanley KPA
With assets now reaching $470MM, this KPA is making staff expansions. ..
401kWire.com - Wednesday, April 13, 2016
Hillary Clinton Responds to the Fiduciary Reg
A general, not so subtle, shot at "Wall Street" is front and center in these comments. ..
401kWire.com - Wednesday, April 13, 2016 - Reader Rating: 3
This Summer, a Chitown Shop Will Enter the Mutual Fund Biz
They're prepping UITs, ETFs, and CEFs, too...
MutualFundWire.com - Wednesday, April 13, 2016 Views
Millenium Trust Builds Tool for Unclaimed Plan Assets
An Oak Brook, Illinois 401(k) rollover provider is finding unclaimed plan assets from IRA accounts...
401kWire.com - Wednesday, April 13, 2016
Fidelity Wins an 18,000-Participant Healthcare Org
Fidelity has been chosen to help improve the financial wellness and retirement readiness for employees of a health organization based out of Columbus, Ohio...
401kWire.com - Wednesday, April 13, 2016
Two Sales Execs Join CUNA Mutual in the East
One hails from Principal, and the other from MassMutual...
401kWire.com - Wednesday, April 13, 2016 - Reader Rating: 4.5
The Secret Sauce Behind a Shy, $100B Shop
Barron's profiles an extremely successful mutual fund firm and subadvisor that almost never speaks publicly...
MutualFundWire.com - Wednesday, April 13, 2016 Views - Reader Rating: 5
SEI's DC I-O Team Changes
An institutional defined contribution exec departs the manager of managers...
401kWire.com - Monday, April 13, 2015
TDFs' Growth Rate Slows Slightly
Morningstar releases its seventh annual target-date fund landscape, shows changing leaders and trends in target-date funds. ..
401kWire.com - Monday, April 13, 2015
Can SunGard Reinvent Mutual Fund Transfer Agency?
The software giant is still on the hunt for more deals in the space, too...
MutualFundWire.com - Monday, April 13, 2015 Views
An Indexer Charges Head-First Into ETF Territory
An iShares and Guggenheim alum will guide distribution for a "risk-first" asset manager's new ETF family...
MutualFundWire.com - Monday, April 13, 2015 Views
TIAA-CREF Scores a $144MM Plan
DePauw University consolidates with TIAA-CREF. ..
401kWire.com - Monday, April 13, 2015 - Reader Rating: 3.67
Broadridge Closes On Its Wilmington Deal
Post-acquisition, business is projected to handle approximately $300 billion in assets under administration. ..
401kWire.com - Monday, April 13, 2015 - Reader Rating: 4.33
One Gabelli, Two Gamcos?
The Westchester-based asset manager may soon split into two different companies...
MutualFundWire.com - Monday, April 13, 2015 Views
Sentinel Welcomes a KPA
Sentinel Benefits & Financial Group has a new 401(k) plan advisor (KPA) in their retirement circuit...
401kWire.com - Monday, April 13, 2015
"Has Any Fund Ever Grown Faster Than This One?"
The fund tracker's Q1 report also shows a rebound Fairholme. ..
MutualFundWire.com - Friday, April 13, 2012 Views
One of ASPPA's Chiefs Leaves
The trade group says goodbye to a 10-year vet. Whom will Brian Graff name to the post?..
401kWire.com - Friday, April 13, 2012 - Reader Rating: 2
Valic's Parent Reorgs Distribution
The bundled provider will be managed by a new SunAmerica division...
401kWire.com - Friday, April 13, 2012 - Reader Rating: 3
SaveDaily Raises $1.25MM
A fund platform operator has secured a new round of funding with the goal democratizing the mutual fund purchasing process...
MutualFundWire.com - Friday, April 13, 2012 Views
McInerney Talks About Bluff Point's $11.5M Deal
The niche private equity firm made an acquisition in the fall. What's next?..
401kWire.com - Friday, April 13, 2012 - Reader Rating: 1.67
O'Toole Adds Three Wholesalers at MassMutual
The company has brought on board three veterans sales directors...
401kWire.com - Friday, April 13, 2012 - Reader Rating: 4
SunAmerica Adds Two Top Execs and Reorgs
The AIG unit makes two high profile hires as part of a distribution reorg...
MutualFundWire.com - Friday, April 13, 2012 Views - Reader Rating: 4
Is Isolation Milwaukee's Mutual Fund Secret?
A wire service takes a look at mutual fund firms in the Wisconsin city...
MutualFundWire.com - Friday, April 13, 2012 Views - Reader Rating: 5
ETF Sponsors to Pay Market Makers
The Nasdaq and the NYSE both are working on ways to allow ETF providers to boost activity in new products...
MutualFundWire.com - Friday, April 13, 2012 Views
MassMutual Changes Up its Retirement Leadership Team
A long-time First Merc executive is retiring at the end of the month...
401kWire.com - Wednesday, April 13, 2011 - Reader Rating: 2
Dreyfus Combines Two Funds and Liquidates a Third
The BNY Mellon subsidiary prepares to say goodbye to two of its mutual funds...
MutualFundWire.com - Wednesday, April 13, 2011 Views
Huntington Plans July Debut for Its Active ETFs
The Midwestern mutual fund firm reveals the details of its proposed offerings...
MutualFundWire.com - Wednesday, April 13, 2011 Views
Two MSSB Retirement Execs Depart and One Climbs
Jim McCarthy and Ed O'Connor shake up the wirehouse's retirement plan unit yet again...
401kWire.com - Wednesday, April 13, 2011
Nationwide Ushers in a Pair of Wholesalers
The plan provider beefs up its sales team...
401kWire.com - Wednesday, April 13, 2011 - Reader Rating: 1
Plan Sponsors Step Up to the Plate
A new suvey says sponsors are looking for ways to improve their participants' experiences...
401kWire.com - Wednesday, April 13, 2011
BlackRock Floats a New iShares Idea
The ETF giant files for a new offering...
MutualFundWire.com - Wednesday, April 13, 2011 Views
Russell Hires a DC I-O Wholesaler
The firm targets the Southeast with a new wholesaler...
401kWire.com - Wednesday, April 13, 2011
DC Plans Continued to Grow in 2010
An ICI study finds that total U.S. retirement assets continued to grow last year...
401kWire.com - Wednesday, April 13, 2011
Global X Literally Stinks Up Its Portfolio
The ETF provider is throwing a big stink about its new offering...
MutualFundWire.com - Wednesday, April 13, 2011 Views
An SSgA Vet Forms a New ETF Quant Shop
A SSgA vet and a couple of his companions are striking out on their own with a new ETF shop...
MutualFundWire.com - Wednesday, April 13, 2011 Views - Reader Rating: 1
Transamerica Boosts Its MEP and Taft Hartley Sales Teams
The plan provider is adding a couple of new (and old) faces to its sales force...
401kWire.com - Wednesday, April 13, 2011 - Reader Rating: 4
Scout Finds a New Fixed Income Home
The UMB subsidiary disbands a unit in the wake of an acquisition and gets out of a niche business...
MutualFundWire.com - Wednesday, April 13, 2011 Views
Oakmark's Assets Grow But Fees Stay the Same
Morningstar points out that the fast-growing shop has shrunk its fees...
MutualFundWire.com - Wednesday, April 13, 2011 Views
A Portland Fund Shop Offers a Hedge-Like Fund
The fund bets on the fixed income market...
MutualFundWire.com - Wednesday, April 13, 2011 Views
American Century Adds Commodities to its TIPS
Investors who see inflation and a weak currency in the nation's future will get a new place to park their cash on April 30...
MutualFundWire.com - Tuesday, April 13, 2010 Views - Reader Rating: 4
Top 40 Advisor: Paul Grutzner
This Seattle-based NRP member lands in the top 40 DC advisors of 2009 as one of ten finalists in the mid-market...
401kWire.com - Tuesday, April 13, 2010 - Reader Rating: 2
Sentinel Makes a DC I-O Sales Hire
The Montpelier, Vermont-based fund firm expands its retirement and sub-advisory team...
401kWire.com - Tuesday, April 13, 2010
Most Plan Sponsors are Not Keen on Reversing Course
A new study from Xerox-owned Buck Consultants finds that a majority of DC plan sponsors do not plan to undo the changes they made in 2009...
401kWire.com - Tuesday, April 13, 2010
Nearly Half of Large Vanguard Clients Auto-Enroll
The auto-enrollment trend is helping drive the use of target-date funds offered by the Valley Forge-based bundled provider...
401kWire.com - Tuesday, April 13, 2010
Is American Funds Catchable?
A new study looks at which funds are used the most in retirement plans...
401kWire.com - Tuesday, April 13, 2010 - Reader Rating: 2
Reuters Retools Platform for Fund Managers
The news service says the new pricing system streamlines managers' auditing process..
MutualFundWire.com - Tuesday, April 13, 2010 Views
Fidelity Expands Its RIA Offering
The Behemoth debuts a new 401(k) platform..
401kWire.com - Tuesday, April 13, 2010
Schwab ETFs Cross the Billion-Dollar Mark
The company has reached the $1 billion AUM mark after only five months since making the jump into the ETF arena...
MutualFundWire.com - Tuesday, April 13, 2010 Views
Transamerica Teams Up for a New Growth Fund
Wellington will subadvise Transamerica's newest offering..
MutualFundWire.com - Tuesday, April 13, 2010 Views
Shapiro Eyes Leveraged ETFs
The Journal takes another stab at the SEC's current review of derivatives in mutual funds and ETFs..
MutualFundWire.com - Tuesday, April 13, 2010 Views
Legg Mason Unveils a New Comp Program for Wholesalers
The Baltimore fund firm kicks off its new fiscal year with a new compensation program for wholesalers...
MutualFundWire.com - Tuesday, April 13, 2010 Views
FRC Sounds the Alarm Over Active ETFs
The Boston-based research firm urges the fund industry to keep an eye on a new threat...
MutualFundWire.com - Monday, April 13, 2009 Views
Columbia is Hiring Wholesalers
Bank of America's investment management has two openings for wholesaler posts in the Northeast...
MutualFundWire.com - Monday, April 13, 2009 Views
Fund Directors' Pay Went Up Slightly in 2008
The slight rise continues a trend of slower growth...
MutualFundWire.com - Monday, April 13, 2009 Views
A New Player Tries ETFs in 401ks, But Without Unitization
A recordkeeping TPA launches a sister company with a bundled, niche DC product...
401kWire.com - Monday, April 13, 2009 - Reader Rating: 3
Pru Rolls Out a Guaranteed Income Feature in Target Dates
The New Jersey-based insurer is also in talks with other target-date fund providers to offer the guaranteed income feature...
401kWire.com - Monday, April 13, 2009 - Reader Rating: 4.71
A Money Fund Watcher Shares His Wisdom
A niche publisher and data provider unveils a new database offering...
MutualFundWire.com - Monday, April 13, 2009 Views
Hewitt Spells Out Plan Sponsors' Savings from Match Suspensions
Hewitt officials, however, were quick to point plan sponsors toward less drastic measures...
401kWire.com - Monday, April 13, 2009 - Reader Rating: 3
BenefitStreet Takes Its NextStep with Bramlett
The staff of the independent recordkeeper finds a new home...
401kWire.com - Monday, April 13, 2009 - Reader Rating: 3.33
Jaffe Wonders Where 12b-1 Reform Went
The MarketWatch columnist attacks the SEC over delayed fund fee reform...
MutualFundWire.com - Monday, April 13, 2009 Views
Whitman Chats with Forbes
Third Avenue Management's founder and co-chief investment officer granted an interview to Forbes editor-in-chief Forbes...
MutualFundWire.com - Monday, April 13, 2009 Views
Fabian Preps His Latest Fund Lemon List
Doug Fabian has released his Mutual Fund Lemon list for the first quarter for 2009...
MutualFundWire.com - Monday, April 13, 2009 Views
Bogle Talks Proxy Voting With the NYTimes
The Vanguard chief continues to draw press attention...
MutualFundWire.com - Monday, April 13, 2009 Views
A Legendary Fund Manager Talks about the Loss of a Key Mandate
A fund manager speaks to the New York Times and Bloomberg in the wake of the decision to remove him as manager of a $2.2 billion fund...
MutualFundWire.com - Monday, April 13, 2009 Views
Niche and SRI Fund Stock Pickers Gain WSJ Ink
Several very different mutual fund PMs talk shop...
MutualFundWire.com - Monday, April 13, 2009 Views
Gabelli Earned $45.9 Million in 2008
Mario Gabelli's compensation in 2008 was 34 percent down from 2007. ..
MutualFundWire.com - Monday, April 13, 2009 Views
Cox Gunning for 12b-1 Fees
The time has come to review the 12b-1 fee, SEC chairman Christopher Cox said today...
MutualFundWire.com - Friday, April 13, 2007 Views - Reader Rating: 3
Senior Exec Departs ExpertPlan
The New Jersey-based outsourced recordkeeper's EVP of business development has moved on...
401kWire.com - Friday, April 13, 2007 - Reader Rating: 1
Sales Opportunities Rising In Larger Markets
Spark sees an increase in turnover activity among larger plans and a decline among smaller ones...
401kWire.com - Friday, April 13, 2007
Morgan Stanley Keeps Tabs on Risky Brokers
Morgan Stanley has been agressively recruiting high revenue brokers from other firms, but that doesn't mean that they going to let their own brokers go that easily...
MutualFundWire.com - Friday, April 13, 2007
Goldman Outed as ABN Amro Banker
The Wall Street Journal outed Goldman Sachs this morning as an adviser to ABN Amro. Goldman, never one to be excluded from a deal of this magnitude, may just be playing it safe by lining up with the target company, the party that's most likely to be on one side of any deal, concludes the WSJ...
MutualFundWire.com - Friday, April 13, 2007 Views
Sun Life Goes High-Tech in Marketing Blitz
Sun Life is betting that multi-media presentations will be the key to marketing its latest variable annuity...
MutualFundWire.com - Friday, April 13, 2007
UBS Loses Compliance Head
Gerard Citera, the leader of the regulatory control group at UBS Securities, has left the firm...
MutualFundWire.com - Friday, April 13, 2007 - Reader Rating: 3
Broadridge Appoints New President to Go With New Status
John Hogan has been appointed to the position of President at Broadridge Financial Solutions. This title will be added to the one he currently holds as Chief Operating Officer at the company. Hogan was formerly Co-President of the Brokerage Services Group of Automatic Data Processing, Inc. , the business that was spun off by ADP last month to create Broadridge...
MutualFundWire.com - Friday, April 13, 2007 Views - Reader Rating: 3.18
Vices Can Be Good, One Fund Finds
Religious-based funds may be booming, but so is their antithesis, the vice fund. The fund, run by Charles Norton, is raking in cash from its investments in Las Vegas casinos, tobacco firms, hard liquor and, defense companies. The Street.com reports that Norton says the only problem with the fund right now is an "embarassment of riches." Apparently, when it comes to money, being bad can be good fo the bottom line...
MutualFundWire.com - Friday, April 13, 2007 Views
Piper Jaffray to Purchase Asset Manager
Piper Jaffray Cos. is making its foray into the asset management business. The Minneapolis-based firm on Friday said it will acquire Fiduciary Asset Management LLC for $66 million in cash, plus additional cash based on future performance...
MutualFundWire.com - Friday, April 13, 2007 Views - Reader Rating: 3
New Faces at the Janus Flexible Bond Fund
The $757 million Janus Flexible Bond Fund will be now be co-managed by Gibson Smith - one of two chief investment officers at Janus - and Darrell Watters...
MutualFundWire.com - Friday, April 13, 2007 Views
Two Sue Pru
A one-time managing director and a former senior portfolio manager at Prudential Investment Management have filed suit against the firm...
MutualFundWire.com - Friday, April 13, 2007 Views
Longfritz Building Hancock's Master Plan
It's only been two months into David Longfritz's tenure at John Hancock, but he's already planning the company's next move...
MutualFundWire.com - Friday, April 13, 2007
Assets at Quaker Strategic Fund Move Past $1B
Quaker Funds Inc. said assets under management at its flagship fund, the Quaker Strategic Fund, have breached the $1 billion mark...
MutualFundWire.com - Thursday, April 13, 2006 Views - Reader Rating: 3
Indices, Active Funds Ran Neck-and-Neck in First Quarter
Actively-managed value and large-cap funds may be the focus of a few marketing pushes over the coming weeks. Standard and Poor's released its quarterly Indices Versus Active (SPIVA) funds scorecard on Thursday, and the figures show that several categories of actively managed funds have turned in unusually strong performances...
MutualFundWire.com - Thursday, April 13, 2006 Views
NFP Makes a Retirement Partnership
National Financial Partners is teaming up with a startup supporting advisors specializing in the retirement and healthcare markets...
401kWire.com - Thursday, April 13, 2006 - Reader Rating: 1
Fidelity To Close Two More Funds
The Boston Behemoth is shutting their doors on two of its funds at the end of the month. The Growth Company Fund and Mid-Cap Stock Fund will close to new accounts on April 28, the Boston-based fund giant said on Thursday...
MutualFundWire.com - Thursday, April 13, 2006 Views
UNIFI Names VP For Retirement Plans
The merger of Ameritas Acacia Cos and Union Central Life creates a new executive post for the combined retirement plans division...
401kWire.com - Thursday, April 13, 2006
Advisor Focused Firm Hunts for a B-D
National Retirement Partners' founder hopes to wrap up a deal within the next few months...
401kWire.com - Thursday, April 13, 2006 - Reader Rating: 5
Advisor on the Move From UBS
An L.A.-based senior vp focused on the retirement market moves from one wirehouse broker-dealer to another. ..
401kWire.com - Thursday, April 13, 2006
SEC Taps PWC Exec For Northeast Office
The Securities and Exchange Commission has tapped Thomas Biolsi as associate regional director for examinations in its Northeast Regional Office. Biosli, who will take on the post in mid-June, will be tasked with directing a staff of accountants and examiners responsible for the inspection of investment advisers and investment companies in the region...
MutualFundWire.com - Thursday, April 13, 2006 Views
West Coast Bundler May Outsource
Another bundled vendor is weighing the pros and cons of outsourcing its back-office 401k work...
401kWire.com - Wednesday, April 13, 2005 - Reader Rating: 3.5
Investment Advice From ... Advisors?
A broker has created a system that puts 401(k) advice into the hands of advisors...
401kWire.com - Wednesday, April 13, 2005 - Reader Rating: 2
Genworth Creates 401k Push
GE's financial services unit is making another stab at the 401(k) market with an investment-only product...
401kWire.com - Wednesday, April 13, 2005 - Reader Rating: 3
Are Hedge Funds Better Than Forty Act Funds?
Why do just 3 percent of funds charge performance based fees? Those in the industry understand the effects of regulations on the fees fund advisors charge, but those reporters covering them may not. In today's Wall Street Journal, reporter Jesse Eisinger provides an interesting tale of how one new fund advisor set its fees, though he seems to miss the larger issue...
MutualFundWire.com - Wednesday, April 13, 2005 Views
A.G. Edwards Hit with Class Action
Plaintiffs target the brokerage's revenue sharing practices...
MutualFundWire.com - Wednesday, April 13, 2005 - Reader Rating: 3
Cohen & Steers Hires Neuberger CFO
Matthew S. Stadler will join New York-based Cohen & Steers as its new chief financial officer on May 2. He will also become an executive vice president of the company...
MutualFundWire.com - Wednesday, April 13, 2005 Views
Funds' Proxy Voting Under More Scrutiny
Mutual funds' votes on global warming and executive compensation are not the only ones that are receiving scrutiny. In a recent report, Common Cause calls on funds to take a more active role in advocating the disclosure of political contributions .....
MutualFundWire.com - Wednesday, April 13, 2005 Views
Columbia Updates Newport Tiger Prospectus
The prospectus of the previously scandal-prone Columbia Fund was updated with new language on market timing...
MutualFundWire.com - Tuesday, April 13, 2004 Views
Channel Managers Stand in for Janus Exec on Leave
Four channel managers take over responsibilities for Lars Soderberg...
401kWire.com - Tuesday, April 13, 2004 - Reader Rating: 3.5
Bank Bids for Higher Profile With New Ads
ABN AMRO has tapped a Chicago ad firm to create a campaign to raise its profile in the DC market...
401kWire.com - Tuesday, April 13, 2004
NYLIM Adding to Sales Ranks
The bundled plan provider has added to its sales team in recent weeks. It seeks a sales pro for the west coast...
401kWire.com - Tuesday, April 13, 2004 - Reader Rating: 4
Top MSIM DC Exec Joins Invesco
Ruth Hughes-Guden has taken a new job at Invesco working with defined benefit clients...
401kWire.com - Tuesday, April 13, 2004
Is Interest in Strong Fizzling?
The list of bidders for Strong Financial Group is down to two and the price has dwindled to less than a reported $500 million...
MutualFundWire.com - Tuesday, April 13, 2004 Views - Reader Rating: 4
One C-Suite Filled, Two to Go at ICMA-RC
The public plan specialist finds a new COO and is still on the hunt for a CIO and CFO...
401kWire.com - Tuesday, April 13, 2004
Auditor Resigns from Sara Lee 401k
Crowe Chizek steps in as the new plan auditor after Grant Thornton resigns...
401kWire.com - Tuesday, April 13, 2004
SEC Mulls Over POS Disclosure Regs
Industry professionals and individual investors weighed in on the SEC proposal for new distribution cost disclosure requirements...
MutualFundWire.com - Tuesday, April 13, 2004 Views
Bay State Reopens Doors to Putnam
The Massachusetts pension plan allows Putnam to bid, says Putnam has changed its ways...
MutualFundWire.com - Tuesday, April 13, 2004 - Reader Rating: 4
Morningstar Okays MFS
The Chicago investment research firm reverses its recommendation on MFS funds, citing improvements in policies and procedures...
MutualFundWire.com - Tuesday, April 13, 2004 - Reader Rating: 5
ETF Extravaganza
Deborah Fuhr of Morgan Stanley delivers the news about Exchange Traded Funds...
MutualFundWire.com - Thursday, April 13, 2000 - Reader Rating: 3
Penn Bundled Provider on Buying Binge
A Pennsylvania bundled provider is snatching up recordkeeping and consulting firms to become a national player...
401kWire.com - Thursday, April 13, 2000 - Reader Rating: 3
Guerillas In The Midst
MAXfunds recommends alternative techniques for marketing on the Web...
MutualFundWire.com - Thursday, April 13, 2000 - Reader Rating: 3
New Biz Development Head at Security Trust
This Pheonix, Ariz., firm has a new business dvelopment head...
401kWire.com - Thursday, April 13, 2000 - Reader Rating: 3
Americans' Tax Pain on Funds Increases
Americans paid almost 15% more in taxes on their mutual funds, according to figures from the Liberty Funds Group...
MutualFundWire.com - Thursday, April 13, 2000 - Reader Rating: 3
Goin' Mobile
Looks like wireless 401(k) access is on the rise. Another firm is seeking vendors to use its service...
401kWire.com - Thursday, April 13, 2000 - Reader Rating: 3
Odd Lots, April 13, 2000
Going My Way? ... Socially Responsible Boomers... CalPERS Protests Salary Package...
401kWire.com - Thursday, April 13, 2000 - Reader Rating: 3
Odd Lots, April 13, 2000
Going My Way? ... Socially Responsible Boomers... CalPERS Protests Salary Package...
MutualFundWire.com - Thursday, April 13, 2000 - Reader Rating: 3
April EDGAR Fund Filings
April Fund Filings


Date Form* Fund Company
Apr 16 1999 N-1A DAVIS VARIABLE ACCOUNT FUND INC
Apr 16 1999 N-1A/A MERCURY ASSET MANAGEMENT V I FUNDS INC
Apr 15 1999 N-1A/A COMMUNITY REINVESTMENT ACT QUALIFIED INVESTMENT FUND
Apr 15 1999 N-1A PUTNAM TAX MANAGED FUNDS TRUST
Apr 14 1999 N-1A BEARGUARD FUNDS INC
Apr 14 1999 N-1A/A PIONEER STRATEGIC INCOME FUND
Apr 12 1999 N-1A MERLIN FUNDS GROUP
Apr 9 1999 N-1A/A EMERGING GERMANY FUND INC
Apr 9 1999 N-1A/A NEW WORLD FUND INC /CA
Apr 9 1999 N-1A/A ALLEGIANCE INVESTMENT TRUST
Apr 8 1999 N-1A/A OPPENHEIMER STABLE VALUE FUND
Apr 8 1999 N-1A/A PIONEER STRATEGIC INCOME FUND
Apr 8 1999 N-1A/A OTI TRUST
Apr 7 1999 N-1A HILLIARD LYONS INVESTMENT TRUST
Apr 6 1999 N-1A/A SELECT TEN PLUS FUND LLC
Apr 6 1999 N-1A/A KELMOORE STRATEGIC TRUST

*Filings are available on Edgar-Online.com. Edgar-Online is not affiliated with the MutualFundWire.com and requires a separate subscription.

..

MutualFundWire.com - Tuesday, April 13, 1999 - Reader Rating: 3
Golden State Company in Vendor Search
"Do you know the way to San Jose?" goes the song. If you're a 401(k) vendor, the answer will hopefully be "yes". Under the heading of low-hanging fruit, the 401kWire.com has heard that San Jose, California-based HPL, Inc., a privately owned firm that tests equipment for electronic and electric measurement, is searching for a vendor for a 401(k) plan...
401kWire.com - Tuesday, April 13, 1999 - Reader Rating: 3
First Funds Expands Distribution
The First Tennessee funds are growing beyond their southern roots and expanding into all 50 states. To assist in the expansion, three new wholesalers have been hired...
MutualFundWire.com - Tuesday, April 13, 1999 Views - Reader Rating: 3
Arnerich Massena Taps New Exec
Arnerich Massena of Portland, Oregon has selected Jay Dyer to head up the marketing efforts for the firm on the West Coast, a spokesperson told the 401kWire.com. It is possible that he will be expanding his geographic area at a later date...
401kWire.com - Tuesday, April 13, 1999 - Reader Rating: 3
Firms Make Investment Executive Moves
MLAM continues its management moves with a new chief operating officer. Mellon's Boston Company has a new domestic equity head for its fund unit. Also, Invesco hires a new fund manager. *Updated*..
MutualFundWire.com - Tuesday, April 13, 1999 Views - Reader Rating: 3
New Advisors at North American Funds
The North American funds have hired Morgan Stanley fund star Barton Biggs to subadvise one fund and given the management reins of another fund to an affiliate...
MutualFundWire.com - Tuesday, April 13, 1999 - Reader Rating: 3
TAG On: Distribution at 55
My client has a participant who terminated employment on February 27, 1998. She received her distribution after the March 31 valuation was completed, around May 6 or so. When we issued the 1099-R for this distribution, we used code 1 in box 7 (early distribution, no known exception)...
401kWire.com - Tuesday, April 13, 1999 - Reader Rating: 3
Odd Lots, April 13, 1999
Should funds disclose proxy votes? ... Hancock speeds demutualization ... Pay cuts for fund execs ... Pru execs' departure chips the Rock ... A fund Web Site fight...
MutualFundWire.com - Tuesday, April 13, 1999 Views - Reader Rating: 3
Cigna's Clark Moves to DB
Robert F. Clark, formerly vice president, defined contribution plans at Cigna Retirement Services has been named senior vice president, defined benefit services, according to a spokesman at the insurer. ..
401kWire.com - Monday, April 13, 1998 - Reader Rating: 3
PacifiCorp Switches Recordkeepers
Portland, OR-based PacifiCorp is changing the recordkeeper for its 401(k) plan, Kent Grether, manager of pension investments, told the 401kWire. The plan has approximately $600 million in assets with an estimated 8,000 participants...
401kWire.com - Monday, April 13, 1998 - Reader Rating: 3
Bank Mergers Don't Upset the 401k Leaderboard
The financial services industry woke up to two more blockbuster mergers today, including one that will form that nation's largest bank. However neither will likely have an immediate effect on the defined contribution marketplace. Measured by either assets or participants, neither merger will create a defined contribution powerhouse. Still, some analysts believe that these combinations will make it easier for the combined banks to enter the small- and mid-sized plan markets...
401kWire.com - Monday, April 13, 1998 - Reader Rating: 3
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