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News Stories Archives - Since 1998
A Sales Vet Departs OneAmerica
A regional sales director recently left the firm. ..
401kWire.com - Tuesday, August 15, 2017 - Reader Rating: 3
Mitchem and Axsater Welcome Another SSgA Alum
The former WisdomTree retirement head has joined another firm. ..
401kWire.com - Tuesday, August 15, 2017
A Two-State Shop Enters the ETF Biz
It debuted its first ETF in April.....
MutualFundWire.com - Tuesday, August 15, 2017
Three Criteria For B-Ds Picking Provider Partners
Rationalization, beyond investment menus in the wealth management space, is reaching the 401(k) side of the business. One B-D exec shares factors being weighed when making such decisions...
401kWire.com - Tuesday, August 15, 2017
DTCC Pushes a DC Tool to the Front Burner
The industry utility is working with trade groups to beef up an offering for the defined contribution retirement plan industry...
401kWire.com - Tuesday, August 15, 2017
Follow the Fundsters - August 15, 2017
Hires, fires, and the like!..
MutualFundWire.com - Tuesday, August 15, 2017
A National Sales Exec Departs from Lincoln
Word is that he's heading for a big DC-IO...
401kWire.com - Tuesday, August 15, 2017 - Reader Rating: 5
The Miraclemaker on the Hudson Talks at Matrix
Yesterday, a famous retired pilot and an NFL-veteran-turned-Broadway-star-and-public-speaker took the main stage in Keystone. Today, Broadridge execs and a provider lobbyist will share their insights...
401kWire.com - Tuesday, August 15, 2017
Be Careful What You Blog, and When
An ETF shop gains attention for publicly criticizing an asset class just one day before filing for a new ETF that would invest in the very same asset class...
MutualFundWire.com - Tuesday, August 15, 2017
Avaya Gets A New Benefits Manager Amidst Transitions
The company has brought on a new benefits manager as it comes out of bankruptcy. ..
401kWire.com - Tuesday, August 15, 2017
LPL Extends Fiduciary Offering to Nationwide
LPL Financial has extended its relationship with 401(k) plan advisors through Nationwide...
401kWire.com - Monday, August 15, 2016
Filings For Fundsters - August 15, 2016
The latest SEC filings in the industry!..
MutualFundWire.com - Monday, August 15, 2016 Views
Four Firms Dominated July Inflows
Vanguard was not the only big winner last month, per M*'s latest monthly flows estimate...
MutualFundWire.com - Monday, August 15, 2016 Views
KPAs, Are You Effectivly Drawing Millennial Clients?
Are you targeting the millennial generation? If not, you should make some swift changes to attract this audience.....
401kWire.com - Monday, August 15, 2016
Empower Sees Q2 Sales Drop, But Still Ahead Overall
Empower Retirement leaps ahead six months in, despite lower numbers for the second quarter...
401kWire.com - Monday, August 15, 2016 - Reader Rating: 2.33
Does Your Income Determine Access to 401k Educational Resources?
A new study surveys the state of America's retirement system in 2016...
401kWire.com - Monday, August 15, 2016 - Reader Rating: 3
Fidelity Wins Five Louisiana Hospitals
The hospitals' parent company is streamlining the retirement plans into a single 403(b). ..
401kWire.com - Monday, August 15, 2016 - Reader Rating: 5
Is There A Home for Annuities in a 401k Society?
A new brief by Boston College's Center for Retirement Research looks at the idea of annuities working in a 401(k) dominant society...
401kWire.com - Monday, August 15, 2016 - Reader Rating: 2.5
Schlichter Takes Aim at Emory's Retirement Plans
The lawsuit alleges participants paid excessive fees for investment options and recordkeeping services. ..
401kWire.com - Monday, August 15, 2016
Jim Ross Hosts an Exchange Harmonization Celebration
In the Big Apple, SSgA's SPDRs chief gathers reporters, exchange execs, and a famed market maker to indulge the curious when it comes to how market structure is improving for equities and ETFs...
MutualFundWire.com - Monday, August 15, 2016
With a Bank's Backing, a PA KPA Just Went RIA-Only
There's a brand new RIA firm in the house!..
401kWire.com - Friday, August 15, 2014 - Reader Rating: 4.33
The Gen X Retirement Crisis That Isn't. So Says EBRI.
A top DC researcher fights back against what he sees as misleading data being touted elsewhere...
401kWire.com - Friday, August 15, 2014 - Reader Rating: 5
American Century's Thomas: Want Freedom? Work for Cancer Researchers.
Cancer researchers own some 43 percent of American Century, and garner 40 percent of its annual profit. CEO Jonathan Thomas likes having scientists for bosses. He is allowed to take the long game when developing products or growing his nearly 200-person sales force...
MutualFundWire.com - Friday, August 15, 2014 Views
Thompson Shifts; Who Will Lead BlackRock's RIA Channel Sales?
Thompson was one of the architects of BlackRock's aggressive ETF push into the RIA space...
MutualFundWire.com - Friday, August 15, 2014 Views
Alt Funds Are Like R.E.M.
In April, we wrote that alt funds have graduated from college radio. Gemini Fund Services CEO Andrew Rogers, among others, agrees with us. ..
MutualFundWire.com - Friday, August 15, 2014 Views
How Can Participants See the Importance of Deferring More Now?
A rollover-focused tech shop unveils a retirement plan contribution tool and three other tools...
401kWire.com - Friday, August 15, 2014
AllianceBernstein's Kraus Buys a $2B AUM Shop
The Big Apple asset manager does a $60-million deal that includes a mutual fund...
MutualFundWire.com - Thursday, August 15, 2013 Views - Reader Rating: 5
FPA Adjusts Crescent
FPA Funds [profile] has revised the investment objective of the FPA Crescent Fund. [SEC Filing]. ..
MutualFundWire.com - Thursday, August 15, 2013 Views
Franklin Templeton Changes the Prospectuses of Thirty-Four Funds
Franklin Templeton [profile] has decided the amend the prospectuses of thirty-four funds. For the Global Equity Series, the funds prospectuses have added Cindy Sweeting, who has PMed the funds since 2012. Other sections, such as "Fund Details -Management" have also been revised. [SEC Filing]...
MutualFundWire.com - Thursday, August 15, 2013 Views
American Beacon Limits Purchases of a Fund
American Beacon Funds [profile] has decided to limit purchases of and exchanges of the American Beacon Stephens Small Cap Growth Fund. This limitation will be effective as of September 16, 2013. [SEC Filing]...
MutualFundWire.com - Thursday, August 15, 2013 Views
An Eaton Vance PM is Retiring
Eaton Vance [profile] will be losing a PM, Duncan W. Richardson, who is retiring October 21. The Eaton Vance Tax-Managed Growth Fund will be managed by the remaining members of the team. [SEC Filing]...
MutualFundWire.com - Thursday, August 15, 2013 Views
Legg Mason Revises a PM List
Legg Mason [profile] has amended the prospectus of the Western Asset SMASh Series in regards to the section titled “Management – Investment professionals.” A chart of information has also been added to the section titled “Investment Professional Disclosure — Other Accounts Managed by Investment Professionals.” [SEC Filing I]. [SEC Filing II]...
MutualFundWire.com - Thursday, August 15, 2013 Views
Portfolio 21 Eliminates Redemption Fees For a Fund
Portfolio 21 [profile] has revised the prospectus of its Portfolio 21 Global Equity Fund. Effective immediately, the initial minimum investment amount to open any account for the Class I shares of the fund is reduced to $100,000. Effective October 31, the fund’s Class R and Class I shares are eliminating their redemption fee. Other sections, “Principal Investment Strategies” and "Principal Investment Risks” have also been revised. [SEC Filing]. ..
MutualFundWire.com - Thursday, August 15, 2013
ING Tweaks a Money Fund
ING Funds [profile] has decided to modify ING Money Market Portfolio's policy on investing. Effective immediately, fundamental policy number (2) in the sub-section entitled “Fundamental and Non-Fundamental Investment Restrictions – Fundamental Investment Restrictions” has been revised. [SEC Filing]...
MutualFundWire.com - Thursday, August 15, 2013
Capital Group Tweaks Disclosures For Two Funds
American Funds [profile] has added additional information to the “Description of certain securities and investment techniques” section of the statement of additional information for their Short-Term Bond Fund of America and U.S. Government Securities Fund. [SEC Filing I]. [SEC Filing II]...
MutualFundWire.com - Thursday, August 15, 2013 Views
AXA Switches a Manadate Away From AllianceBernstein
AXA Premier VIP Trust has amended the prospectuses of their AXA Allocation Portfolios and Target Allocation Portfolios. The section of the Prospectus entitled “Management Team – Management Fees” will be changed, effective September 1. Also effective September 1, AllianceBernstein L.P. [profile] will no longer serves as a sub-adviser to the Active Allocated Portion of the Portfolio but continue to serve as sub-adviser to the Index Allocated Portion of the Portfolio. Thus, Daniel Roarty and Amy Raskin with AllianceBernstein are no longer PMs for the fund. Another change effective September 1, 2013 is the section of the statement of additional intent entitled “Investment Management and Other Services – The Administrator” will be revised. [SEC Filing I]. [SEC Filing II]. [SEC Filing III]...
MutualFundWire.com - Thursday, August 15, 2013 Views
EQ Advisor Amends Fee Disclosures For Some Funds
EQ Advisors Trust has revised the prospectuses of their All Asset Allocation Series Portfolios and EQ/Franklin Templeton Allocation Portfolio, EQ/International ETF Portfolio , and Tactical Manager Portfolios. The sections titled Management of the Trust – Management Fees”has been deleted and replaced. [SEC Filing]...
MutualFundWire.com - Thursday, August 15, 2013
American Independence Will Shut Down a Fund Next Month
American Independence Funds [profile] has approved of the closing of the Dynamic Conservative Plus Fund. On September 27, the fund is expected to cease operations. [SEC Filing]...
MutualFundWire.com - Thursday, August 15, 2013
Fidelity Files for a New Bond Fund
Fidelity Investments [profile] has filed a preliminary prospectus for its Fidelity Short Duration High Income Fund. The fund will seek a high level of current income. Fidelity Management & Research Company is the fund's manager while Fidelity Investments Money Management, Inc. and FMR Co., Inc. serve as sub-advisers for the fund. The fund will be PMed by Matthew Conti and Michael Plage. [SEC Filing]...
MutualFundWire.com - Thursday, August 15, 2013 Views
Nomura Will Liquidate Three Funds
Nomura Asset Management [profile] has approved of the liquidation and dissolution of the India Fund, the Greater China Fund and the International Equity Fund. The liquidation will be effective on or about September 27. [SEC Filing]...
MutualFundWire.com - Thursday, August 15, 2013
Morgan Creek Plans a New Fund
Morgan Creek Capital Management has filed plans for its Morgan Creek Tactical Allocation Fund. The fund's investment objective is to provide long-term total investment returns. The fund will be advised by Morgan Creek and PMed by Mark W. Yusko. [SEC Filing]...
MutualFundWire.com - Thursday, August 15, 2013
SEC's Champ Picks a Right Hand
The new managing executive for SEC Investment Management Division will handle business, operational and administrative functions...
MutualFundWire.com - Thursday, August 15, 2013 Views
UMAs Are Rapidly On the Rise
UMAs have doubled their market share since 2008, and should stay on the rise, new research from Cerulli Associates suggests. ..
MutualFundWire.com - Thursday, August 15, 2013 Views
CapTrust Acquires an $8B Shop
Fielding Miller and his team plan their flag in Connecticut for the first time thanks to a deal...
401kWire.com - Thursday, August 15, 2013
What Does the Supreme Court's Defense of Marriage Act Ruling Mean for Retirement Plans?
A trade group wants guidance from the DoL...
401kWire.com - Thursday, August 15, 2013 - Reader Rating: 2.5
Ex-SEC Honcho Rominger Jumps Back in the Game
The Former SEC Investment Management chief joins a consulting firm...
MutualFundWire.com - Thursday, August 15, 2013 Views
HMS Funds Supplements a Fund with Three Changes
HMS Funds has filed a supplement to their HMS Income Fund. The updates include a removal of the biography of Todd A. Reppert, updates as to the company’s upcoming commencement of its share repurchase program and a copy of the company's quarterly report. [SEC Filing]...
MutualFundWire.com - Thursday, August 15, 2013
A T. Rowe Fund Receives New Investment Objective
A T. Rowe [profile] fund will undergo a fund objective change. Effective on or about November 1, 2013, the investment objective for the T. Rowe Price Equity Income Fund Sub-Account will be changed. [SEC Filing]...
MutualFundWire.com - Thursday, August 15, 2013
Three Things to Know from Financial Engines Q2 2013 Earnings
What went on last quarter?..
401kWire.com - Thursday, August 15, 2013 - Reader Rating: 5
Three Things to Know From State Street's Q2 2013 Earnings
State Street recently reported second quarter earnings. ..
MutualFundWire.com - Thursday, August 15, 2013 Views
Most Americans Are Pleased With 401(k), But Need Help
New findings from a survey commissioned by Charles Schwab Retirement Plan Services show Americans are enthusiastic about their 401(k) plans, but are still stressed out over the details. ..
401kWire.com - Thursday, August 15, 2013
Three Things to Know From BlackRock's Q2 2013 Earnings
BlackRock recently posted results that exceeded analyst expectations...
MutualFundWire.com - Thursday, August 15, 2013 Views
FPA Expands a PM's Mandate
Gregory A. Herr has been named a PM to the FPA Perennial Fund and Source Capital, Inc. ..
MutualFundWire.com - Thursday, August 15, 2013 Views
Janus Suffers Its Highest Withdrawals Since 2010
Janus hasn't had these kinds of withdrawals since May 2010. Bloomberg's Christopher Condom explains Janus' longer term performance...
MutualFundWire.com - Thursday, August 15, 2013 Views
Ex-Schwab, Fido Honcho Joins Hands With a Green Fund
Charles Goldman took a stake and became a board member in a company that subadvises a Shelton fund...
MutualFundWire.com - Thursday, August 15, 2013 Views
Rekenthaler Argues for a Single Fiduciary Standard
Morningstar's John Rekenthaler once thought it made sense to have two fiduciary standards but now he has changed his mind. ..
MutualFundWire.com - Thursday, August 15, 2013 Views
Pimco Exec Bangs EM Debt Drum
Pimco's co-head of emerging markets encouraged investors to buy more emerging market debt in a recent note, Bloomberg's Ye Xie writes...
MutualFundWire.com - Thursday, August 15, 2013 Views
Inspira Gets New Rollover Solution
The Pittsburgh firm has a new partner...
401kWire.com - Wednesday, August 15, 2012
Former PM of $5.5 Billion HIMCo Fund Moves On
Francesco Ossino, former PM of the Hartford Floating Rate Fund, finds a new home. ..
MutualFundWire.com - Wednesday, August 15, 2012 Views
Stork and Reaper for August 15, 2012
The MFWire's daily report on mutual fund births, deaths, and changes. ..
MutualFundWire.com - Wednesday, August 15, 2012 Views
IRA Financial Group Attorney Launches a DC News Site
The new site will be geared toward participants and sponsors and feature stories on tax and ERISA issues. ..
401kWire.com - Wednesday, August 15, 2012
BlackRock Gives a $663MM Fund a Makeover
Fink's firm pushes further into the unconstrained equity space...
MutualFundWire.com - Wednesday, August 15, 2012 Views
Mo' Funds, Mo' Problems
A new paper confirms that DC plan participants tend to simplify their investing strategies when faced with a wide range of fund choices...
401kWire.com - Wednesday, August 15, 2012
A Simple Fee-Disclosure Checklist For Sponsors
With the August 30 disclosure deadline looming, ERISAdiagnostics has a simple tool to help plan sponsors make sure they're prepared...
401kWire.com - Wednesday, August 15, 2012 - Reader Rating: 5
Two Top Nationwide Execs Trade Places
A retirement business chief has switched roles with another exec in her firm...
401kWire.com - Wednesday, August 15, 2012 - Reader Rating: 3.25
An RKer's Sibling Tests the Benchmarking Waters
A Keystone State shop brings its advisor support tools to the broader marketplace...
401kWire.com - Wednesday, August 15, 2012 - Reader Rating: 3
Active ETFs: Yea or Nay?
Marketwatch debates the pros and cons of active management for ETFs...
MutualFundWire.com - Wednesday, August 15, 2012 Views
ETF Deathwatch for August
The ETF Deathwatch continues to grow...
MutualFundWire.com - Wednesday, August 15, 2012 Views
NY Fed Chief: Schapiro's Money Fund Regs Are Not Enough
William Dudley of the New York Fed says money market funds are a "glaring vulnerability" and that Mary Schapiro's proposed reforms don't go far enough. ..
MutualFundWire.com - Wednesday, August 15, 2012 Views
"Dogs of the Dow" Are For The Dogs, Barron's Writes
One Barron's writer says the strategy du jour of two years ago is no longer working...
MutualFundWire.com - Wednesday, August 15, 2012 Views
A Fund Shop Exec Verbally Commits to Beantown
One CEO says that despite not seeking any more tax breaks, his shop isn't planning on moving jobs outside of Boston...
MutualFundWire.com - Wednesday, August 15, 2012 Views
Capital Advisors Adds a Mutual Fund to Its Portfolio
The fund actively adjusts its risk profile...
MutualFundWire.com - Wednesday, August 15, 2012 Views
An Ex-Schwab PM Joins Advisor Partners as President
The former Schwab PM is now president of Lafayette, California-based Advisor Partners...
MutualFundWire.com - Monday, August 15, 2011 Views
American Beacon Plans to Shutter a Money Market Fund
The Texas-based asset manager plans to liquidate the fund this fall...
MutualFundWire.com - Monday, August 15, 2011 Views
O'Reilly Auto Shifts Gears on its Plan Provider
The Missouri-based plan sponsor made the switch earlier this year...
401kWire.com - Monday, August 15, 2011 - Reader Rating: 2.5
Newkirk Helps Disclose 403b Fees
It's targeted at 403(b) plans...
401kWire.com - Monday, August 15, 2011 - Reader Rating: 2
RPAG Helps Advisors Decide on Fees
The 401k Advisors sibling beefs up one of its tools...
401kWire.com - Monday, August 15, 2011
An RKing TPA Strikes Up a Deal
The New Jersey-based firm is going north...
401kWire.com - Monday, August 15, 2011 - Reader Rating: 3
A Midwestern RKer Names a New Principal
An accounting firm's subsidiary promotes a compliance manager...
401kWire.com - Monday, August 15, 2011
ASPPA Anoints a SunGard Exec as Prez
The next president of the trade group is from SunGard Relius...
401kWire.com - Monday, August 15, 2011
A Fidelity Exec Passes Away
A company veteran passed away over the weekend while kayaking...
MutualFundWire.com - Monday, August 15, 2011 Views - Reader Rating: 4
Yale CIO Blasts the Mutual Fund Industry
A prominent institutional investor attacks advisors and mutual fund firms alike via the New York Times...
MutualFundWire.com - Monday, August 15, 2011 Views - Reader Rating: 4
Obama Eyes a Pimco Exec for the Fed Board
The President reportedly plans to nominate a Pimco EVP to serve as a Fed Board governor...
MutualFundWire.com - Monday, August 15, 2011 Views - Reader Rating: 3
Mairs and Power Rolls Out its First Mutual Fund in 50 Years
The St. Paul, Minnesota-based asset manager launched its third mutual fund last week...
MutualFundWire.com - Monday, August 15, 2011 Views
Ariel Makes Layoffs
The company says a soft economy contributed to the decision...
MutualFundWire.com - Friday, August 15, 2008 Views
Ray James Hires Away Smith Barney Brokers
Raymond James has snagged a top-producing team of brokers...
MutualFundWire.com - Friday, August 15, 2008
Guardian Hires Sales VP
The New York-based insurer has tapped a Hancock alum for the newly created post...
401kWire.com - Friday, August 15, 2008 - Reader Rating: 3
Lazard to Pull in Outstanding Equity Units
Lazard Asset Management has set plans to acquire all of its pre-IPO equity units...
MutualFundWire.com - Friday, August 15, 2008 Views
Fund Researchers Report DC Plans' Expenses
A firm specializing in investment analysis beefs up its support for retirement plan advisors...
401kWire.com - Friday, August 15, 2008
Stock Fund Assets Fall in July
US Stock funds had a rough month in July...
MutualFundWire.com - Friday, August 15, 2008 Views
Columbia is on the Prowl to Fill a Senior Sales Post
Growth in the institutional channel has prompted the Bank of America subsidiary to create a senior sales director post. ..
401kWire.com - Friday, August 15, 2008 - Reader Rating: 5
Merrill Puts a Freeze on Hiring
The company will not be bringing on new employees, at least through next year...
MutualFundWire.com - Friday, August 15, 2008
Bent Remembers Brown
Bruce Bent speaks to The MFWire about Henry Brown, who passed away earlier this week...
MutualFundWire.com - Friday, August 15, 2008 Views - Reader Rating: 5
Second Quarter Smiles on NIVM
The national group of TPAs releases its quarterly results and looks to buy again...
401kWire.com - Friday, August 15, 2008 - Reader Rating: 2
Co-Founder of the Reserve Fund Dies
Bruce Bent's partner in launching the first money-market mutual fund has died...
MutualFundWire.com - Friday, August 15, 2008 Views
WSJ Spotlights Top ETF Performers
John Spence looks at the top ETF and ETN performers during the month ended August 13...
MutualFundWire.com - Friday, August 15, 2008 Views
Will Losses Force Steel's Hand on Evergreen Sale?
Wachovia Corp. CEO Robert Steel says the firm is unlikely to sell Evergreen Investments, but observers say he might...
MutualFundWire.com - Friday, August 15, 2008 Views - Reader Rating: 3
Cerulli Report: Professional Gatekeepers Abound
The latest report from Cerulli Associates outlines the changing distribution landscape for asset management products and what companies are doing to cope with the changes...
MutualFundWire.com - Wednesday, August 15, 2007 Views - Reader Rating: 3
Delaware Taps T. Rowe Vet As Head of High-Yield Investments
Delaware Investments has hired an 11-year T. Rowe Price veteran as senior portfolio manager and head of high-yield investments...
MutualFundWire.com - Wednesday, August 15, 2007 Views - Reader Rating: 3.14
Lockheed Martin Fee Suit Will Go On
A US district judge has junked the aerospace and defense giant's motion to dismiss the fee suit...
401kWire.com - Wednesday, August 15, 2007
Another Day of Decline for Fund Stocks
In a late day sell off today the Dow slid to a loss of 167 points, taking most fund company stocks down with it...
MutualFundWire.com - Wednesday, August 15, 2007 Views - Reader Rating: 1.5
Spectrem: Participants Don't Know What They Want In a Website
In a trio of a new research reports, the Windy City consulting firm looks at participants' and sponsors' online browsing behavior. ..
401kWire.com - Wednesday, August 15, 2007 - Reader Rating: 4
Albridge Enhances Wealth Reporting Platform
Albridge Solutions has added mutual fund and ETF research capabilities to its Albridge Wealth Reporting platform...
MutualFundWire.com - Wednesday, August 15, 2007 - Reader Rating: 4
403b Player Scouts for Deals
A Northeast-based 403b provider says it is on the lookout for acquisition opportunities...
401kWire.com - Wednesday, August 15, 2007 - Reader Rating: 4
Wall Street Stars Band Together to Launch New Trading Platform
Four of the largest brokerages in the U.S are planning to launch a new trading platform for unregistered securities...
MutualFundWire.com - Wednesday, August 15, 2007 - Reader Rating: 3.22
Keystone State Advisors Take Regional 401k Snapshot
A full-service employee benefits consulting firm takes DC research to the local level. ..
401kWire.com - Wednesday, August 15, 2007
US Fiduciary Names New President and COO
US Fiduciary has hired four new executives, including a new president and COO...
MutualFundWire.com - Wednesday, August 15, 2007 - Reader Rating: 3.75
Fund Company Stocks Rebound
Today's midday fund company stock report finds the shares of all but four of the 19 publicly traded mutual fund companies tracked by the MFWire, up for the day...
MutualFundWire.com - Wednesday, August 15, 2007 Views
XShares To Launch ETF Based On Carbon Emission Allowances
The New York firm has filed papers with the SEC to roll out the AirShares EU Carbon Allowances Fund...
MutualFundWire.com - Wednesday, August 15, 2007 Views
Thornburg Assures Staff Mortgage Arm's Woes Not Affecting Funds
A statement posted on the firm's website and sent to staff says Thornburg's mortgage company's problems aren't spilling over to its mutual fund arm...
MutualFundWire.com - Wednesday, August 15, 2007 Views - Reader Rating: 3.25
Vanguard Adds New Portfolio Manager to Two Funds
W. Michael Reckmeyer, III, has been named to the portfolio teams of Vanguard's Wellesley Income Fund and Vanguard Equity Income Fund...
MutualFundWire.com - Wednesday, August 15, 2007 Views - Reader Rating: 2
ETF Firms to SEC: Give Us a Break
The ETF industry isn't happy about Regulation NMS, and some of the firms are looking for help from the SEC...
MutualFundWire.com - Wednesday, August 15, 2007 Views
Fido Further Trims Stake In PetroChina
The Boston Behemoth had made another reduction in its PetroChina holdings...
MutualFundWire.com - Wednesday, August 15, 2007 Views
Regions is Heard on the Street
A Regions fund is getting a closer look in the Wall Street Journal after it falls roughly 30 percent in value over the past 30 days...
MutualFundWire.com - Wednesday, August 15, 2007 Views - Reader Rating: 2
More Focus on Sentinel and Other Money Market Kin
The WSJ's Fund Track look at Sentinel's fund freeze moves on to potential issues at funds from SSgA, FFTW, Dreyfus and even Fidelity...
MutualFundWire.com - Wednesday, August 15, 2007 Views - Reader Rating: 3.29
DIA BD Relations Exec Joins Rival Firm
Diversified Investment Advisors' director of broker-dealer relations has jumped ship...
401kWire.com - Tuesday, August 15, 2006
McCool Steps Up At Schwab
The industry veteran sports a new title...
401kWire.com - Tuesday, August 15, 2006
RIIA Launches Research Effort
The trade organization is sponsoring research that looks into the retirement income issues and challenges confronting baby boomers...
401kWire.com - Tuesday, August 15, 2006
Where Will the Wind Blow Bisys Next?
The back office firm's outgoing and incoming CEOs fail to shed light on the "strategic review" that is underway...
401kWire.com - Tuesday, August 15, 2006 - Reader Rating: 4
Social(k) Sees More Growth Ahead
It is targeting to raise the total number of plans in its fold to nearly a hundred by the end of the year...
401kWire.com - Tuesday, August 15, 2006 - Reader Rating: 5
WisdomTree Adds Another Wise Man
Those watching the exchange-traded fund side of the Forty Act business may be thinking that they are seeing "Bubble 2.0". While the fund industry as a hole is back to business as usual after healing wounds inflicted by the 2002-03 bear market, the ETF sector is, as they say, hot hot hot. Case in point: startup WisdomTree Investments appears to be taking a page out of the late 1990s playbook and hiring the highest profile executives that it can. Its latest move came to light Tuesday...
MutualFundWire.com - Tuesday, August 15, 2006 Views - Reader Rating: 2.33
LPL Pulls Trigger on Bank BD Deal
Weeks after opening its third headquarters in Charlotte, N.C., LPL buys local 700-broker firm...
MutualFundWire.com - Tuesday, August 15, 2006 - Reader Rating: 3.33
Brecek Modernizes Look, Eyes Acquisitions
A 350-rep, West Coast BD gets serious about its image in order to grow its business. It is also said to be looking at deals...
MutualFundWire.com - Tuesday, August 15, 2006
Show Me the Sales
American Century has just hired a new sales VP. The Kansas City, Missouri-based investment manager announced Wednesday the hiring of Benjamin Williams as its newest vice president of institutional business development in the northeast...
MutualFundWire.com - Tuesday, August 15, 2006 Views
Piper Execs Pessimistic on Bonus
Piper questions how many FAs will remain, doubts gains from UBS bonus for future performance...
MutualFundWire.com - Tuesday, August 15, 2006 - Reader Rating: 3
A Prairie Home CIO
Northern Trust has promoted one of its own to lead its quantitative investments. The Chicago-based asset manager announced Monday that it has elevated Steven A. Schoenfeld to the position of chief investment officer for its Global Quantitative Management unit, putting him in charge of "investment performance across Northern Trust's index, enhanced and quantitative active products," which totals $214 billion in AUM...
MutualFundWire.com - Tuesday, August 15, 2006 Views
Merrill Lynch CMAs Gain 401k Distribution
Mother Merrill has cut a deal with a trust firm specializing in retirement plans that will provide shelf space in the small 401k market for its cash management accounts...
MutualFundWire.com - Tuesday, August 15, 2006
DIA BD Relations Exec Jumps to Rival
Diversified Investment Advisors' director of broker-dealer relations has jumped ship. The MFWire has learned that Mary Jo Baumann left the provider several months ago and joined MassMutual as managing director of retirement services...
MutualFundWire.com - Tuesday, August 15, 2006 Views
BD Head Jumps from DIA to Rival Insurer
Diversified Investment Advisors' BD relations head for retirement plans has jumped to another insurer...
MutualFundWire.com - Tuesday, August 15, 2006
Fail to Deliver Law Forestalled
The brokerage industry won a reprieve last week when Utah officials agreed to a preliminary injunction. ..
MutualFundWire.com - Tuesday, August 15, 2006
Two-Legged Race for Beantown Venture
Bingham Legg, the Beantown joint venture between Bingam Dana, a law firm, and Legg Mason is possibly in the final stages of a very quiet auction. Indeed, a published report states that the firm's short list of potential buyers is down to two...
MutualFundWire.com - Tuesday, August 15, 2006 Views
What's Next for BenefitStreet?
The company inks another two deals; more are on the way...
401kWire.com - Monday, August 15, 2005 - Reader Rating: 2
Bank Provider Opens Lone Star Office
The provider expands sales of trust services in Texas...
401kWire.com - Monday, August 15, 2005
Snack Food Co Plan Gets Fiduciary
The plan was abandoned after the company went defunct in 2001...
401kWire.com - Monday, August 15, 2005
Merrill Fined for Prospectus Delivery
The New York Stock Exchange has fined Merrill Lynch $10 million for "supervisory and operational lapses," including failing to deliver prospectuses and product descriptions .....
MutualFundWire.com - Monday, August 15, 2005 Views
JPMorgan Offers CCOs Help
The custody group offers online resources for mutual fund CCO clients .....
MutualFundWire.com - Monday, August 15, 2005 Views
Fido Hires CIO, Plans to Add More
There are more new faces at Fidelity .....
MutualFundWire.com - Monday, August 15, 2005 Views
401k Providers Remain at Full Power
Backup generators and geographical luck kept 401k plans running yesterday despite the largest black out in US history...
401kWire.com - Friday, August 15, 2003 - Reader Rating: 3
Street Street Seeks $4 Million Fee
The Boston firm is asking for Enron to pay its fees. Says it liquidated all Enron stock in failed plan...
401kWire.com - Friday, August 15, 2003 - Reader Rating: 3
DoL Probes Tyco 401k Plan
Fidelity also gets a subpeona as part of the investigation...
401kWire.com - Friday, August 15, 2003
Bay State Fires Pension Chief
James Hearty was given the axe yesterday in a private meeting with the state pension board...
401kWire.com - Friday, August 15, 2003 - Reader Rating: 4
Textron Sued
The suit is the latest brought over losses in company stock...
401kWire.com - Thursday, August 15, 2002
Lawyers Eyes Grow Bigger
Non-fiduciaries have been safe from class-actions in the past. But lawyers are trying to change that...
401kWire.com - Thursday, August 15, 2002
Mellon Allies for Japan Pensions
The new venture is set to open its doors in early 2003...
401kWire.com - Thursday, August 15, 2002
Did Fido Win the Intel Biz?
Our bet is the Boston Behemoth is the winner of a $3 billion. The sponsor is mum...
401kWire.com - Thursday, August 15, 2002
Putnam Faces Conseco Loss
The foray into hedge funds may take a bite out of the earnings of its parent...
MutualFundWire.com - Thursday, August 15, 2002 Views
Magellan Slips to Third
The fund firm drops to third in the ranking, suffers record outflows...
MutualFundWire.com - Thursday, August 15, 2002 Views
Morningstar Offers Custom X-Ray
The Chicago firm lands its product on the desk of wirehouse brokers...
MutualFundWire.com - Thursday, August 15, 2002 Views
Fidelity Cuts Jobs
The rumors circulating about the Boston Behemoth were right, but not exactly so...
MutualFundWire.com - Thursday, August 15, 2002 Views
INVESCO Wins VA Spot
The firm has landed a spot at one of the leading VA underwriters. ..
MutualFundWire.com - Wednesday, August 15, 2001 - Reader Rating: 3
Firms Settle Pumping Case
Two firms have agreed to pay $200,000 each in fines to settle a portfolio pumping allegation dating to 1998. ..
MutualFundWire.com - Wednesday, August 15, 2001 - Reader Rating: 3
GoldK's Legal Eagle
There is a new ERISA attorney at the firm...
401kWire.com - Wednesday, August 15, 2001 - Reader Rating: 3
To Sell or Not to Sell
A Tough Call for Bailey ... New Toys at MassMutual ... Health Benefits for Retirees ... More on Schwab...
MutualFundWire.com - Wednesday, August 15, 2001 - Reader Rating: 3
To Sell or Not to Sell
A Tough Call for Bailey ... New Toys at MassMutual ... Health Benefits for Retirees ... More on Schwab...
401kWire.com - Wednesday, August 15, 2001 - Reader Rating: 3
Cigna Electric with Excitement
A plan has signed up for services from the vendor...
401kWire.com - Wednesday, August 15, 2001 - Reader Rating: 3
Merrill Unveils Mercury Funds
The brokerage giant is unifying its disparate investment management units to build a unique identity for third-party distribution...
MutualFundWire.com - Tuesday, August 15, 2000 - Reader Rating: 3
Trust Co Allies to Add Brokerage
Another online brokerage platform is is using an alliance with Circle Trust to jump into the 401k space...
401kWire.com - Tuesday, August 15, 2000 - Reader Rating: 3
FE Adds to Eastern Sales Team
The advice firm has tapped DIA for its latest hire. It also says talk of more venture money is off-base...
401kWire.com - Tuesday, August 15, 2000 - Reader Rating: 3
Wirehouse Sales Grow for NFS
Nationwide Financial hopes to keep its sales to wirehouses growing -- they were up 26% in quarter two - with two new divisional sales managers and eight new wholesalers. ..
MutualFundWire.com - Tuesday, August 15, 2000 Views - Reader Rating: 3
Delaware Fills Role
Delaware Investments has tapped OppenheimerFunds to fill a product management position that opened as a part of the recent reshuffling of its staff. ..
MutualFundWire.com - Tuesday, August 15, 2000 - Reader Rating: 3
August 15, 2000
Australian funds on the block ... Market timers havoc Warburg ... Broker threatening Web sites becoming more sophisticated ... A call to return to funds...
401kWire.com - Tuesday, August 15, 2000 - Reader Rating: 3
August 15, 2000
Australian funds on the block ... Market timers havoc Warburg ... Broker threatening Web sites becoming more sophisticated ... A call to return to funds...
MutualFundWire.com - Tuesday, August 15, 2000 - Reader Rating: 3
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