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News Stories Archives - Since 1998
A Distro Leader Retires From a $65B-AUM Firm
His duties will be handled by other members of the asset manager's management team...
MutualFundWire.com - Tuesday, June 28, 2022 - Reader Rating: 5
Seven Years In, an Ohio Retirement Exec Rises
She now serves as a biz dev director at the Midwestern firm...
401kWire.com - Tuesday, June 28, 2022
Empower, Benetic, and ForUsAll Alums Join a PE-Backed RKer
The new hires will serve in biz dev, operations, and sales consulting roles...
401kWire.com - Tuesday, June 28, 2022
White-Glove 401k Plus 316: an RKer Upgrades
Updated | Watch for the provider to add 3(16) to other offerings down the line...
401kWire.com - Tuesday, June 28, 2022
Will a $4.1B-AUM Fund Firm Sell?
Two hedge funds offer to snap up a publicly traded mutual fund and ETF shop...
MutualFundWire.com - Tuesday, June 28, 2022
A 14-Year Vanguard Vet Joins Ameritas
The new hire will serve as director of relationship management for insurer's RKer...
401kWire.com - Tuesday, June 28, 2022
While Other Flows Zig, the Smallest Firms Zag
The M* team updates U.S. flows data for May 2021 for ETFs and long-term, open-end mutual funds...
MutualFundWire.com - Monday, June 28, 2021 Views
Five Years In, a Top SS&C Leader Exits
The exec oversaw the old DST business, including what is now SS&C Retirement Solutions...
401kWire.com - Monday, June 28, 2021
A $1.7B Pair of Plans Moves to Nationwide
The move, scheduled for next spring, involves more than 59,000 participants...
401kWire.com - Monday, June 28, 2021 - Reader Rating: 5
Week In Preview, June 28 - July 5
This week, the teams at Broadridge, Morningstar, and NAGDCA will host online events...
401kWire.com - Monday, June 28, 2021
Week In Preview, June 28 - July 5
This week, the team at ICI will host an online event...
MutualFundWire.com - Monday, June 28, 2021 Views
An Invesco Vet Leaves After 18 Years
A regional vice president has departed the investment manager...
MutualFundWire.com - Friday, June 28, 2019 Views
KPAs, Pick Your Favorite Wholesalers
NAPA launches a campaign that lets the retirement community choose which DC wholesalers will be featured in NAPA-Net...
401kWire.com - Friday, June 28, 2019
ASPPA and PenChecks Open Up Scholarship Applications
Six applicants will receive help in getting their QKA certification courtesy of PenChecks Trust and ASPPA. ..
401kWire.com - Friday, June 28, 2019
The $1T ETF AUM Club Doubles
A familiar low-cost leviathan is only the second firm to cross a certain milestone...
MutualFundWire.com - Friday, June 28, 2019 Views
A $375MM Illinois Plan Signs With a New RKer
A Seattle-based RKer takes over a multiple employer plan based in Illinois. ..
401kWire.com - Friday, June 28, 2019
A Top TCW Sales Vet Catches Crypto Fever
This fundster joined a crypto-currency and blockchain investment platform this spring...
MutualFundWire.com - Thursday, June 28, 2018 Views
Pershing Reorgs, Consolidating Retirement Under One Chief
Meanwhile, a retirement executive departs the broker-dealer clearing giant and RIA custodian...
401kWire.com - Thursday, June 28, 2018 - Reader Rating: 4
Principal's New Platform Targets Small and Medium Businesses
Principal has more than 37,000 SMB clients...
401kWire.com - Thursday, June 28, 2018 - Reader Rating: 5
ESG Tips For KPAs
Incorporating such factors into 401k investment selection got a bit trickier this spring...
401kWire.com - Thursday, June 28, 2018 - Reader Rating: 4
Hamm Hires a New Prez
IFP's previous president for this division was Kim Shaw Elliot...
401kWire.com - Thursday, June 28, 2018
EBRI Questions Data On Falling Participation
New research from the EBRI questions the Census Bureau's economic supplement to the Current Population Study. ..
401kWire.com - Thursday, June 28, 2018 - Reader Rating: 5
McKay Brings a Former DC I-O Chief to Putnam
The Boston asset manager's DC I-O chief hires an industry veteran...
401kWire.com - Thursday, June 28, 2018 - Reader Rating: 3
Will Clayton and Co Open the ETF Floodgates?
This morning the SEC will consider a proposal that could transform the exchange-traded fund side of the mutual fund business by making it a heck of a lot easier to enter the space...
MutualFundWire.com - Thursday, June 28, 2018 Views
This No-Cal Fund Firm Expands its Team
The four-person team is growing by two...
MutualFundWire.com - Wednesday, June 28, 2017 Views
This is What Tortoise's Chief Wants In a Buyer
CEO and co-founder Kevin Birzer talks to MFWire about the possibility of a sale.....
MutualFundWire.com - Wednesday, June 28, 2017 Views
PSCA Asks Plan Sponsors About Tax Reform
The trade group gathered feedback from plan sponsors across various industries. ..
401kWire.com - Wednesday, June 28, 2017
Filings for Fundsters - June 28, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Wednesday, June 28, 2017 Views
Could This Be the Next EBSA Head?
After a long period of silence, there is talk about who might be Acosta's pick for EBSA head. ..
401kWire.com - Wednesday, June 28, 2017
Vanguard Small Biz Plans Favor Advisors and Loans
Vanguard released a new report looking at their small business plan clients. ..
401kWire.com - Wednesday, June 28, 2017
WisdomTree and UBS Execs Will Lead This Trade Group
Bonnie Stanfield passes the reins as president of a not-for-profit organization for women in the industry...
MutualFundWire.com - Wednesday, June 28, 2017 Views
Bill Chetney's GRPAA Lands a $1.6B NRP Vet
GRPAA adds another large book of business to its retirement plan network.....
401kWire.com - Wednesday, June 28, 2017 - Reader Rating: 5
Voya Analyzes How Plan Participants Make Decisions
The firm recently launched a new tool to further aid participants...
401kWire.com - Wednesday, June 28, 2017
Watch Out, Fundsters. The UK Wants to Change Fees
Today a British regulatory agency publicly shared a number of suggestions for improving asset management competition. The move comes four years after RDR shook up UK asset management distribution in a preview of the DoL rule now taking effect on this side of the pond...
MutualFundWire.com - Wednesday, June 28, 2017 Views
An ATL KPA Shop Chooses a New 20 BPS Fee Structure
For new plans small and large in assets, this Atlanta, Georgia advisory shop is putting a cap on plan fees...
401kWire.com - Tuesday, June 28, 2016 - Reader Rating: 4
An SVP of Seven Years Exits Cali RKer
A senior vice president overseeing retirement services exits his post at an open-architecture retirement plan provider...
401kWire.com - Tuesday, June 28, 2016
SCOTUS Rejects a Company Stock Suit Appeal
A lower court ruled that State Street Bank and Trust Company could not have predicted GM stock's freefall. ..
401kWire.com - Tuesday, June 28, 2016 - Reader Rating: 5
Pershing's Updated RKer Partner List
As previously reported by 401kWire, the B-D and RIA custodial ally has recently added five more recordkeepers to its Retirement Plan Network...
401kWire.com - Tuesday, June 28, 2016
Stork and Reaper -- June 28, 2016
MFWire presents the SEC filings!..
MutualFundWire.com - Tuesday, June 28, 2016 Views
U.S. Asset Managers Feel the Brexit Burn
British asset managers aren't the only ones reeling from Britons' vote last week to leave the EU. At least seven publicly-traded shops on this side of the pond have seen their shares fall more than 10 percent since the vote...
MutualFundWire.com - Tuesday, June 28, 2016 Views
Don't Worry Baby Boomers, Millennials Got You
A new survey by Fidelity addresses parents' expectations as retirement approaches and how those factors may affect their adult children...
401kWire.com - Tuesday, June 28, 2016
A Portland Consultant Adds Two RKing Vets
Their roles at their previous employers were more consultative. ..
401kWire.com - Tuesday, June 28, 2016 - Reader Rating: 2
BlackRock v Bloomberg
The largest asset manager in the world is reportedly throwing its weight behind a messaging platform that competes with the former NYC mayor's business...
MutualFundWire.com - Tuesday, June 28, 2016 Views - Reader Rating: 5
Gundlach Paints With Oil
USA Today profiles Jeffrey Gundlach, the founder of DoubleLine...
MutualFundWire.com - Friday, June 28, 2013 Views - Reader Rating: 5
More Cash Flows To Stock Mutual Funds
More investor are putting money in stock mutual funds despite the stock selloff last week...
MutualFundWire.com - Friday, June 28, 2013 Views
Forbes Wants Lawmakers To Kill Zombie-Like Fees
The low fee mantra of Jack Bogle has not hit enough mutual funds and 401(k)s, Forbes contributor John Wasick said...
MutualFundWire.com - Friday, June 28, 2013 Views
The iNAV Debate Continues
Three publications write about ETF frustrations such as iNAV, cash redemptions and liquidity of underlying assets...
MutualFundWire.com - Friday, June 28, 2013 Views
As Bond Panic Continues, Investors Flock to 60-40
InvestmentNews examines the growing popularity of the 60/40 portfolio...
MutualFundWire.com - Friday, June 28, 2013 Views
Rekenthaler Ponders the Risk Parity Fund Carnage
John Rekenthaler gives Morningstar data on risk parity fund "carnage" and gives his opinion on how risk parity funds use of historical data effects those funds' portfolio. ..
MutualFundWire.com - Friday, June 28, 2013 Views
Pimco Says So Long to a Top Equities Exec
John Longhurst left the firm and the industry, a spokesman said. ..
MutualFundWire.com - Friday, June 28, 2013 Views
OpFunds Amends a Fund's Pricing
The Oppenheimer [profile] Value Fund has updated it's annual fund operating expenses. [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
Investment Talent at an Iowa Shop Grows by Two
The new hires will focus on high yield global fixed income...
MutualFundWire.com - Friday, June 28, 2013 Views
Will Caterpillar Face a Stock Drop Suit, Too?
Zamansky & Associates is investigating...
401kWire.com - Friday, June 28, 2013
Bond Outflows Hit Fourth Consecutive Week
A Leuthold analyst gauges the trends...
MutualFundWire.com - Friday, June 28, 2013 Views
iShares Taps into Investor Bond Frustrations
Lack of fixed-income inventory provides fund giant with an opportunity...
MutualFundWire.com - Friday, June 28, 2013 Views
Plan Sponsors' Five Deadly Sins
$1.38 billion? An industry insider offers tips to help clients save money by identifying, fixing and avoiding the most common 401(k) plan mistakes ..
401kWire.com - Friday, June 28, 2013 - Reader Rating: 5
ALPS is Ready for the Dog Days
The firm launches an ETF...
MutualFundWire.com - Friday, June 28, 2013 Views
A British Export Launches Four New Funds in the U.S.
The shop expands its line-up using, in part, a fixed income team acquired in December...
MutualFundWire.com - Friday, June 28, 2013 Views
DWS Updates a Fund's PM List
DWS [profile] Latin America Equity Fund has updated their PM information. Luiz Ribeiro, Danilo Pereira, and Thomas U. Petschnigg started being listed as PMs to the fund this year. [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
AllianceBerstein Fund Ceases Operations
On or about June 27, the AllianceBernstein [profile] U.S. Strategic Research Portfolio and International Focus 40 Portfolio made liquidating distributions to their shareholders and ceased operations. [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
Rice Hall Limits a Fund's Expenses
Effective July 1, Rice Hall James & Associates [profile] will enter into a contractual expense limitation agreement with the Rice Hall James Small Cap Portfolio. [SEC Filing]. ..
MutualFundWire.com - Friday, June 28, 2013 Views
Graff Disagrees with Baucus and Hatch
And he lets the world know...
401kWire.com - Friday, June 28, 2013
Morgan Stanley Funds Outsources Transfer Agency
Effective July 1, the board of trustees of Morgan Stanley's [profile] Limited Duration U.S. Government Trust, European Equity Fund, Focus Growth Fund, Global Fixed Income Opportunities Fund, Global Infrastructure Fund, Mortgage Securities Trust, Multi Cap Growth Trust, and the U.S. Government Securities Trust has approved changing the transfer agent of the fund from Morgan Stanley Services Company to Boston Financial Data Services. [SEC Filing:I] [SEC Filing:II]...
MutualFundWire.com - Friday, June 28, 2013 Views
Four Invesco Funds Add Two PMs
Michael Hyman and Robert Waldner have been added as PMs to Invesco's [profile] Core Plus Bond Fund, Global Real Estate Income Fund, Floating Rate Fund, and the U.S. Quantitative Core Fund. [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
Neuberger Berman Cuts an Fund's Fee Limits
Effective today, Neuberger Berman Management [profile] is decreasing the contractual expense limitation for the Neuberger Berman International Equity Fund Class A and Class C to 121 basis points and 196 bps of average net assets, respectively. [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
OpFunds Rebrands a Smid-Cap Fund
As of today, OppenheimerFunds [profile] has renamed the Oppenheimer Small- & Mid-Cap Growth Fund to the Oppenheimer Discovery Mid Cap Growth Fund. [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
AMF Shares Lawsuit Updates
Asset Management Funds (advised by Shay Asset Management [profile] has updated their information regarding on going lawsuits filed by the Ultra Short Mortgage Fund, Ultra Short Fund, Short U.S. Government Fund, Intermediate Mortgage Fund, U.S. Government Mortgage Fund, Large Cap Equity Fund, Class AMF Shares, and the Class H Shares against various parties related to alleged fraudulent conduct in connection with the offer and sale of residential mortgage-backed securities purchased by certain of the funds and seeks compensatory damages to recover for losses sustained by the funds. [SEC Filing:I] [SEC Filing:II]...
MutualFundWire.com - Friday, June 28, 2013 Views
DoL Gives You More Time to Talk About Income
You now have until August to have your voice heard...
401kWire.com - Friday, June 28, 2013
T. Rowe Cuts a Fund's Management Fee
T. Rowe Price[profile] has lowered the management fee on itsTotal Equity Market Index Fund to 35 basis points (from 40 bps). [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
A PM Joins a Vanguard Bond Fund
Mathew M. Kiselak now serves as a PM for Vanguard's [profile] New Jersey Long-Term Tax-Exempt Fund. [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
Vanguard Switches a Fund's Index
Effective immediately, Vanguard's [profile] Emerging Markets Stock Index Fund has begun tracking its new target index, the FTSE Emerging Index, as previously approved by the fund’s board of trustees. [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
Ramius Says Goodbye to a Trading Advisor
Cantab Capital Partners will no longer serve as a trading advisor to any trading entity in which the Ramius [profile] Trading Strategies Managed Futures Fund's wholly-owned subsidiary invests. [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
A Fisher PM Retires
Andrew Teufel has announced his retirement from Fisher Investments [profile], effective June 30. [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
Two PMs Leave a Hartford Fund
Effective today, Cheryl M. Duckworth and Theodore B.P. Jayne will no longer PM for the Hartford [profile] Diversified International Fund. Gregg R. Thomas, James H. Shakin, and Tara Connolly Stilwell will PM for the fund. [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
Two Pairs of Invesco Funds Reorganize
On April 19, 2013, Invesco [profile] fund shareholders approved an agreement and plan of reorganization of the Invesco Dynamics Fund and the Invesco Municipal Bond Fund into the Invesco Mid Cap Growth Fund and the Invesco Municipal Income Fund, respectively. [SEC Filing:Dynamics] [SEC Filing:Municipal]...
MutualFundWire.com - Friday, June 28, 2013 Views
John Hancock Merges Two Bond Funds
On June 26, 2013, the board of trustees of John Hancock [profile] Funds II approved an agreement and plan of reorganization providing for the merger of the High Income Fund into the John Hancock High Yield Fund. [SEC Filing]...
MutualFundWire.com - Friday, June 28, 2013 Views
DCIIA Does a Deep Dive Into Auto Plans
The DCIIA's new white paper “Best Practices When Implementing Auto Features in DC Plans," considers how plan sponsors can make the most of auto features. ..
401kWire.com - Friday, June 28, 2013
New ETF Will Focus on Israeli Stocks
Fund will be based on index covering most liquid companies and small and mid-cap firms...
MutualFundWire.com - Friday, June 28, 2013 Views
Putnam Wins a Hartford Plan From MassMutual
Updated | A Keystone State plan sponsor switches providers for its 401k...
401kWire.com - Friday, June 28, 2013 - Reader Rating: 3.33
Another Group Trashes Obama's Tax Plan
Stop me if you've heard this before...
401kWire.com - Friday, June 28, 2013
Artisan Launches an Active Equity Fund
The product will focus on global small cap stocks...
MutualFundWire.com - Friday, June 28, 2013 Views
A Tennessee Shop Unveils Two Equity Strats
The new funds cover small and mid cap stocks...
MutualFundWire.com - Friday, June 28, 2013 Views
M* Examines TDFs, the "Established Fixture"
Some interesting (and not-so-interesting) facts...
401kWire.com - Friday, June 28, 2013
Newport Builds in the City of Angels
And expands offices in Dallas and Charlotte...
401kWire.com - Friday, June 28, 2013
M* Covers AMG's Sale of Friess
The mutual fund ratings specialists detail the asset manager acquirer's second divestment...
MutualFundWire.com - Friday, June 28, 2013 Views
Motley Fool: PNC Should Sell its BlackRock Stake
PNC Financial Services needs to increase its capital base to compete with its peers, which may require they sell BlackRock stake...
MutualFundWire.com - Friday, June 28, 2013 Views
Gonnella Officially Seals a Deal
An open architecture RKer buys a shop in Minnesota...
401kWire.com - Thursday, June 28, 2012
Will Sponsors Follow United Technologies to Lifetime Income?
AllianceBernstein and UTC discuss their deal for a guaranteed-income TDF..
401kWire.com - Thursday, June 28, 2012 - Reader Rating: 5
GSAM Launches a Retirement Fund
New fund will give investors access to atypical asset classes..
401kWire.com - Thursday, June 28, 2012 - Reader Rating: 4
A Financial Diplomat Joins TCW
A former U.S. Treasury coordinator will oversee TCW's emerging markets group...
MutualFundWire.com - Thursday, June 28, 2012 Views
JP Morgan Rings Up a Mobile Site
Using a mobile sire rather than an app makes it easier for participants promises executives at JP Morgan...
401kWire.com - Thursday, June 28, 2012 - Reader Rating: 1
AdvisorShares Turns to Laif Meidell
The ETF sponsors has tapped American Wealth Management to turn around a dented ETF...
MutualFundWire.com - Thursday, June 28, 2012 Views
Newport Shares a Sponsor Count for Its Retirement Readiness Product
More than 300 sponsors offering product to their participants..
401kWire.com - Thursday, June 28, 2012
ING's Chief Tech Officer Decamps
The former executive says he is "looking for new opportunities"..
401kWire.com - Thursday, June 28, 2012 - Reader Rating: 1
Hennessy's Still Hungry
MFWire.com sits down with the mutual fund shop's chief as he seeks approval of his latest deal...
MutualFundWire.com - Thursday, June 28, 2012 Views
Judge Approves Kraft Settlement
A federal court solidifies a Schlichter victory...
401kWire.com - Thursday, June 28, 2012 - Reader Rating: 5
Kingsbury Hires as Pioneer Starts Longterm Growth Push
Sixteen new positions have been added as part of a strategic plan..
MutualFundWire.com - Thursday, June 28, 2012 Views
A Charlotte Advisor Joins Gallagher
Updated | Mike DiCenso hires a 401k industry vet...
401kWire.com - Thursday, June 28, 2012
Donahue Does a $903MM Deal
The Federated chief signs a deal to snap up eight mutual funds..
MutualFundWire.com - Thursday, June 28, 2012 Views
The Jury Deliberates on M* Analyst Ratings
Time will tell how valuable the new rating system is..
MutualFundWire.com - Thursday, June 28, 2012 Views
Eight Billion Dollars Down, CGM's Heebner Lets It Ride
Bloomberg reports that the stock picker won't let poor returns change his strategy..
MutualFundWire.com - Thursday, June 28, 2012 Views
A New Fund Firm Spreads Its White Wings
A Peach State fixed income manager launches its first mutual fund firm...
MutualFundWire.com - Tuesday, June 28, 2011 Views
An ING Legal Eagle Flies the Coop
And lands in Washington D.C...
401kWire.com - Tuesday, June 28, 2011 - Reader Rating: 4
Nationwide Offers its Own Fiduciary Service
The plan provider is partnering up with a Chicago-based asset management shop to offer sponsors an investment fiduciary service...
401kWire.com - Tuesday, June 28, 2011 - Reader Rating: 3.5
A Recordkeeper Adds a Trio of New Services
The new services include a retirement income product, a self-directed brokerage window and financial planning...
401kWire.com - Tuesday, June 28, 2011 - Reader Rating: 3
An RIA Lures a TIAA-CREF Alum in SoCal
A fee-only retirement plan advisory shop adds a new regional director...
401kWire.com - Tuesday, June 28, 2011
Hancock Unveils a New Unit
And plans on adding to its team...
401kWire.com - Tuesday, June 28, 2011 - Reader Rating: 3
Target Date Funds Rely Too Much on Stocks, Say Putnam Honchos
Target date funds that are past their date should hold just a fraction of the stocks that they do is the first finding published by the just-announced Putnam Institute...
MutualFundWire.com - Tuesday, June 28, 2011 Views - Reader Rating: 1
Putnam Launches a Think-Tank
The Boston-based mutual fund firm unveils a research institute to focus on portfolio management and retirement topics...
401kWire.com - Tuesday, June 28, 2011 - Reader Rating: 1.8
Fidelity Loses a $21M Plan
A Virginia plan sponsor makes a switch...
401kWire.com - Tuesday, June 28, 2011 - Reader Rating: 3
Bold Insists He's Not Selling
The Mutual Fund Store founder responds to a trade pub report...
MutualFundWire.com - Tuesday, June 28, 2011 Views
Will Hartford Sell Its Mutual Funds to an Ex-Parent of Van Kampen?
An LBO shop is reportedly one of the bidders still standing in the sale...
MutualFundWire.com - Tuesday, June 28, 2011 Views
Miller's Kodak Moment is Anything but Picturesque
The Legg Mason PM sells his stake for a loss...
MutualFundWire.com - Tuesday, June 28, 2011 Views
Fink Takes a Stab at Defining Derivatives
With the help of a derivatives exchange and Google...
MutualFundWire.com - Tuesday, June 28, 2011 Views
BNY Mellon to Add More Jobs in Mass. Than Initially Planned
BNY Mellon reveals how many jobs it is adding to Westborough...
MutualFundWire.com - Tuesday, June 28, 2011 Views
More Plan Participants Crave Retirement Income Guidance
The number of plan participants seeking guidance on retirement income goal-setting has gone up, according to a Diversified Investment Advisors poll...
401kWire.com - Monday, June 28, 2010
Benartzi Leads a Fund Firm's Foray Into Behavioral Finance
The UCLA behavioral finance guru helps launch a new research center...
401kWire.com - Monday, June 28, 2010
Fund Openings: June 28, 2010
A roundup of mutual fund launches...
MutualFundWire.com - Monday, June 28, 2010 Views
Congress Gives Stable Value a 15-Month Reprieve
The fate of the niche retirement plan investing vehicles rests in the hands of the CFTC and the SEC...
401kWire.com - Monday, June 28, 2010 - Reader Rating: 4.5
Another Exec Departs the Standard
The exec is now at Schwab. ..
401kWire.com - Monday, June 28, 2010
How Do You Terminate a 403b?
Two trade groups ask for regulatory guidance...
401kWire.com - Monday, June 28, 2010 - Reader Rating: 4
Average Account Balances Dictate 401k Fees
Industry insiders may not be surprised by a new report...
401kWire.com - Monday, June 28, 2010 - Reader Rating: 3
PenChecks Helps Find Missing Parts
The SoCal distribution specialists unveil a new offering...
401kWire.com - Monday, June 28, 2010 - Reader Rating: 1.5
A Terminal Funding Specialist Offers a Retirement Income Solution
A Pennsylvania-based firm unveils an annuity solution for the defined contribution business...
401kWire.com - Monday, June 28, 2010
The Hartford's $13.78M Revenue Sharing Settlement Moves Forward
Updated | A lawsuit over a defined contribution plan is now almost complete...
401kWire.com - Monday, June 28, 2010
Rainier Outsources Back-Office Work
The Seattle-based firm hires a back-office provider...
MutualFundWire.com - Monday, June 28, 2010 Views
Geller Leaves Geller
Updated | The two chiefs of the New York-based producing TPA are moving out...
401kWire.com - Monday, June 28, 2010 - Reader Rating: 5
AUL Seeks to Fill a Sales Spot on the West Coast
The plan provider looks for a wholesaler to cover a territory on the West Coast...
401kWire.com - Monday, June 28, 2010
Supremes Will Hear the Janus Case
The nub of the matter will be how far to take a 2008 Supreme Court ruling. For Janus, the decision will decide how liable it is to shareholders for market-timing trades...
MutualFundWire.com - Monday, June 28, 2010 Views
Is a Small Sale by Fidelity the Start of a New Diet?
The Boston Behemoth sells one of roughly a dozen portfolio companies. ..
MutualFundWire.com - Monday, June 28, 2010 Views
Absolute Return Funds are 'Resonating'
Reuters ponders the trendy new mutual fund asset class...
MutualFundWire.com - Monday, June 28, 2010 Views
Jaffe Sees an 'ETF Revolution'
News last week from DoubleLine, Grail, Huntington and Vanguard catches the eye of the MarketWatch columnist...
MutualFundWire.com - Monday, June 28, 2010 Views
'Noncore Businesses Have Been a Drag' on Fidelity
An analyst sees strength in the mutual fund, discount brokerage and employee benefits businesses at the Boston Behemoth, but he worries over other units...
MutualFundWire.com - Monday, June 28, 2010 Views - Reader Rating: 3
Hotchkis & Wiley PM Duo Gains Ink
The two Pimco alums take the spotlight in Morningstar Advisor...
MutualFundWire.com - Monday, June 28, 2010 Views
Eye on Wintergreen
What is the Mutual Series alum up to?..
MutualFundWire.com - Monday, June 28, 2010 Views
Coverage Gives Franklin Rising Dividends
The Franklin Resources mutual fund gets a solo treatment in the Wall Street Journal...
MutualFundWire.com - Monday, June 28, 2010 Views
Consultant Nuptials Create Towers Watson
It was anything but a quiet Sunday for executives of the two firms, which are merging to create a new publicly listed company...
401kWire.com - Sunday, June 28, 2009
Paychex's 401k Biz Grows
The Rochester, New York-based firm grew its retirement services client base by 16 percent in FY 2007...
401kWire.com - Thursday, June 28, 2007
Claymore Adds Another ETF to its Roster
Another Claymore ETF began trading on the AMEX today...
MutualFundWire.com - Thursday, June 28, 2007 Views - Reader Rating: 3
JANA and S.A.C Pen Another Letter to TD
The saga continues with JANA Partners, S.A.C. Capital Advisors, and TD Ameritrade...
MutualFundWire.com - Thursday, June 28, 2007 - Reader Rating: 3
Benefit Consulting Firm Teaches Sponsors About 403bs
A New England-based full-service benefits and HR company plans to educate the nonprofit arena. ..
401kWire.com - Thursday, June 28, 2007
A Plan Sponsor Request Opens Fido's Door to A Retirement Income Player
Fidelity is integrating the Connecticut-based insurer's product into its 401(k) platform...
401kWire.com - Thursday, June 28, 2007
Howe Barnes Hoefer & Arnett Adds Three VPs
Janice Goldman from Smith Barney, Boyd Klingler and Daniel Kerrigan from Raymond James, have joined Howe Barnes Hoefer & Arnett...
MutualFundWire.com - Thursday, June 28, 2007
Consulting Firm Taps Towers Vet to Lead Retirement Practice
A global, Midwest-based firm appoints a new retirement leader. ..
401kWire.com - Thursday, June 28, 2007
Rydex Acquirer Leads the Fund Firm to DC Plans
Executives from both Rydex Investments and Security Benefit Life look for growth in the retirement space in wake of the sales. ..
401kWire.com - Thursday, June 28, 2007
NASD Fines Four Firms
The NASD has fined four companies a total of $1.2 million over allegedly improper sales...
MutualFundWire.com - Thursday, June 28, 2007
NASD Slaps Four Companies with Fines
The NASD has fined four companies a total of $1.2 million over allegedly improper sales...
MutualFundWire.com - Thursday, June 28, 2007 Views - Reader Rating: 4
Why Did Rydex and Security Benefit Do It?
The head honchos from both Rydex and Security Benefit discuss what the future holds. ..
MutualFundWire.com - Thursday, June 28, 2007 Views - Reader Rating: 3.54
UPDATE 1| Rydex Says Yes to Security Benefit
The deal is sealed, Rydex has been picked up by Security Benefit Life...
MutualFundWire.com - Thursday, June 28, 2007 Views - Reader Rating: 3.15
UPDATE 5 | The Rydex Sale: Anatomy of a Story
The Rydex deal is done! But how the deal has developed since last fall? Also, now that the agreements out, one of the advisor's on the deal just revealed itself...
MutualFundWire.com - Thursday, June 28, 2007 Views - Reader Rating: 4.09
ProShares Files for 25 New Funds
According to an SEC filing this this month ProShares is planning to launch 25 new ETFs...
MutualFundWire.com - Thursday, June 28, 2007 Views - Reader Rating: 3.21
Fido Shares Bought Back ... But By and From Whom?
The family that owns Fidelity appears to be consolidating its control, and they might even get tax benefits ... but what's not being said may be the most interesting part of it all...
MutualFundWire.com - Thursday, June 28, 2007 Views - Reader Rating: 2.91
WSJ: Is there Such as Thing as too Many ETFs?
John Spence mulls over whether or not the rapid proliferation of ETFs is good or bad for investors...
MutualFundWire.com - Thursday, June 28, 2007 Views
Treadway Defense Rests
Testimonies have finished in the Securities and Exchange Commission's case against former PIMCO Advisors Distributors CEO Stephen Treadway in U.S. District Court in Manhattan. Last to take the stand was Treadway himself, who strove to explain his reasons for giving market timer Edward Stern and Stern's Canary Capital Partners two chances to change trading patterns after noting their frequent orders and redemptions...
MutualFundWire.com - Wednesday, June 28, 2006 Views
UBoC Joins Roth Party
The San Francisco-based bank provider will launch the Roth option next month...
401kWire.com - Wednesday, June 28, 2006
NYLIM Snags DC Contract
The provider wins a holding company and two of its subsidiaries...
401kWire.com - Wednesday, June 28, 2006
ADP Adds Managed Account Option
The Roseland, New Jersey-based provider has formed an alliance with Morningstar to bring managed accounts to clients...
401kWire.com - Wednesday, June 28, 2006 - Reader Rating: 1
Mutual Fund Inflows Plunge
Investors added less net money to mutual funds in May than they have in two years...
MutualFundWire.com - Wednesday, June 28, 2006 Views
Special Equity Fund Opens
Some fund companies close and open funds so much they appear to be revolving doors. Charlie Dreifus' Royce Special Equity Fund reopened to new investors at the end of the day on Monday...
MutualFundWire.com - Wednesday, June 28, 2006 Views - Reader Rating: 1.5
Gotham Financial Services Analysts Want Asset Allocation Tools
Does your mutual fund company provide its investors with adequate asset allocation tools? If not, be ready to leave the analysts at Corporate Insight unimpressed...
MutualFundWire.com - Wednesday, June 28, 2006 Views
Federated Picks up $164 MM in AUM
The Pittsburgh, Pennsylvania-based manager acquires three Amcore funds .....
MutualFundWire.com - Tuesday, June 28, 2005 Views
Auto-Plan Steers Tugboaters Home
A New York City plan sponsor hires a new provider with a simplified plan design intended to guide participants safely to their retirement harbor...
401kWire.com - Tuesday, June 28, 2005 - Reader Rating: 2.5
More in Store at Bisys
What's next for Bisys RPS?..
401kWire.com - Tuesday, June 28, 2005 - Reader Rating: 2.67
M&I Names New Direct-Sales Veep
The trust company may be adding more intermediary sales staff...
401kWire.com - Tuesday, June 28, 2005 - Reader Rating: 2
Mansueto's Fast Company
Morningstar's Joe Mansueto has bought languishing business magazines Fast Company and Inc. for $35 million...
MutualFundWire.com - Tuesday, June 28, 2005 Views
Post Deal Talk with Chip Mason
While some wonder Legg Mason is biting off more than it can chew with its acquisition of Citigroup's asset management business, founder Raymond "Chip" Mason remains zen-like about post-deal plans .....
MutualFundWire.com - Tuesday, June 28, 2005 Views - Reader Rating: 4
Schwab Makes Foray into Mass SMAs
The discount broker launches pre-crafted portfolios of mutual funds, stocks and ETFs for its customers .....
MutualFundWire.com - Tuesday, June 28, 2005 Views
Bank Says Bye Bye to Fund Biz
Pioneer Investment Management picks up the 23-fund, $5.5 billion in AUM portfolio from Southeast regional bank AmSouth Bancorp .....
MutualFundWire.com - Tuesday, June 28, 2005 Views
Green-for-Greens Scandal Hits Johnsons
The probe into gift-giving in exchange for trades from the Boston Behemoth is getting uglier .....
MutualFundWire.com - Tuesday, June 28, 2005 - Reader Rating: 4
ICI Spawns Compliance Committee
The trade group president embraces compliance and governance reforms; announces new group within the ICI for chief compliance officers...
MutualFundWire.com - Monday, June 28, 2004 Views - Reader Rating: 4
Pennsylvania Asset Manager Names New PM
Turner Investments finds a new manager for small- and mid-cap funds...
MutualFundWire.com - Monday, June 28, 2004 Views
AERS Adds Fourth Ed Sales VP
The bundled plan provider says its financial education services sales team is now complete...
401kWire.com - Monday, June 28, 2004 - Reader Rating: 2
Regulators Back at CSFB
The parent company of the asset management firm discloses that CSFB has been subpoenaed...
MutualFundWire.com - Monday, June 28, 2004 Views
Newport Takes on the Big Apple
The Newport Group opens its seventh location down the street from the Rockettes...
401kWire.com - Monday, June 28, 2004 - Reader Rating: 3
Fidelity Debuts Advisor-Only Bond Fund
Fidelity ups the number of its fixed income advisor funds to 17...
MutualFundWire.com - Monday, June 28, 2004 Views - Reader Rating: 5
Eaton Vance, Nuveen Launch Bank-Loan Funds
Eaton Vance raises $680 million in a Friday IPO...
MutualFundWire.com - Monday, June 28, 2004 Views
Hewitt Surveys Large Plan Employees
The new Hewitt study looks at which employees are prepared and what retirees facing higher medical costs can do...
401kWire.com - Monday, June 28, 2004
Head of Florida BD Calls It Quits
The Chairman and CEO of a broker under investigation by the SEC for fund trading abuses resigned...
MutualFundWire.com - Monday, June 28, 2004 Views
New Sales Exec Takes Charge at Wachovia Retirement Services
Kerry Gile, formerly of AllianceBernstein, plans to focus and increase sales at Wachovia Retirement Services...
401kWire.com - Monday, June 28, 2004 - Reader Rating: 4
Ex-Bank One Exec Lands at National City
John Abunassar is a new EVP at the bank. Will oversee institutional and retirement plan sales efforts. ..
MutualFundWire.com - Monday, June 28, 2004
M&I Trust Creates National Sales Manager Position
M&I Trust officials felt that their market expansion called for a national sales manager. They brought in Kevin Harley to fill the job...
401kWire.com - Monday, June 28, 2004
Geek Securities Face Additional Charges
Federal prosecutors go after the Boca Raton-broker...
MutualFundWire.com - Monday, June 28, 2004
Fidelity Ends Some Soft Dollars Use
The fund firm will pay for market data services in cold, hard cash...
MutualFundWire.com - Monday, June 28, 2004 Views
Pax Under Attack
Posers set up a fake Pax World fund website; SEC on their trail...
MutualFundWire.com - Monday, June 28, 2004 Views - Reader Rating: 2.33
Judge Validates Pro Rata Distribution Policy
A judge in Ohio ruled against a retiree who was arguing to have his annual distribution come from a single fund. ..
401kWire.com - Monday, June 28, 2004
Hancock Ups Buyback Target
The insurer thinks the market is not seeing its value...
MutualFundWire.com - Friday, June 28, 2002 Views
Canada Gets New Fund Family
A California-headquartered manager is adding a fund complex north of the border...
MutualFundWire.com - Friday, June 28, 2002 Views
Manager Lets Loose
An institutional manager has bought back a minority stake from AMG...
MutualFundWire.com - Friday, June 28, 2002 Views
Franklin Renames Fund
The portfolio managers will also be less restricted in their portfolio picks...
MutualFundWire.com - Friday, June 28, 2002 Views - Reader Rating: 2.33
USAA Names Eight Subadvisors
The mandates favor firms with institutional names (and institutional pricing)...
MutualFundWire.com - Friday, June 28, 2002 Views
Time to Look?
A Midwestern plan sponsor is weighing its alternatives after Key leaves the 401k business...
401kWire.com - Friday, June 28, 2002
Polaroid Pension Not Covered
The winner of the auction for the failed firm will not assume the underfunded pension plan...
401kWire.com - Friday, June 28, 2002
WorldCom Class in Session
There are at least two participant class actions now filed against WorldCom over its 401k...
401kWire.com - Friday, June 28, 2002
Fido Enhances e401k
The Boston Behemoth now has more than 1,250 clients for its e401k. It adds two tools. ..
401kWire.com - Thursday, June 28, 2001 - Reader Rating: 3
Amex Taps Two Subadvisors
The firm is putting the final touches on its AXP Partners funds to help its advisors diversify client portfolios...
MutualFundWire.com - Thursday, June 28, 2001 - Reader Rating: 3
Circle Trust Offers Funds Access to TPAs
The Connecticut firm is launching a new trading platform for mutual funds seeking access to third-party administrators in the defined contribution space...
MutualFundWire.com - Thursday, June 28, 2001 Views - Reader Rating: 3
Circle Trust Begins the Circle
The Connecticut firm is launching a new trading platform for mutual funds. ..
401kWire.com - Thursday, June 28, 2001 - Reader Rating: 3
Amex Uses Web to Connect Advisors
The financial services giant is letting financial advisors host weekly chats and Q&A's to build relationships with investors...
MutualFundWire.com - Thursday, June 28, 2001 - Reader Rating: 3
NICSA Names New Prez
An overseas veteran is stepping up at NICSA as the eleven year Bob Goldberg era comes to an end. ..
MutualFundWire.com - Thursday, June 28, 2001 - Reader Rating: 3
BISYS Still Buying
One in six investors took a 20 percent hit ... Boston Private buys into high net worth ... Southwest Securities becomes SWS ... BISYS still buying. ..
MutualFundWire.com - Thursday, June 28, 2001 Views - Reader Rating: 3
Another Vendor for FE Advice
A midwestern bank becomes the latest vendor to select Financial Engines for participant advice...
401kWire.com - Thursday, June 28, 2001 - Reader Rating: 3
BofA Completes Marsico Pick Up
Another fund group down. Bank of America said today that it purchased the portion of Marsico Capital Management, LLC that it did not already own for $950 million...
MutualFundWire.com - Wednesday, June 28, 2000 Views - Reader Rating: 3
Ceridian Names Povilus President
The firm's current chief operating will take the reins at MacDougald retirement on July 31. O'Drobinak takes Povilus' slot...
401kWire.com - Wednesday, June 28, 2000 - Reader Rating: 3
AIM Adds to Offshore Sales Team
The Houston-based fund company adds to offshore sales team as part of effort to build non-U.S. fund assets in the Western Hemisphere...
MutualFundWire.com - Wednesday, June 28, 2000 - Reader Rating: 3
Web-Based Advice Reaches Capitol Hill
Three bills would let fund companies offer their own investment advice in 401k plans and may make Web-based advisors takeover targets for asset managers. ..
MutualFundWire.com - Wednesday, June 28, 2000 Views - Reader Rating: 3
Advice Bill Exposes Rift
The players are choosing sides over bills introduced this week into Congress that would alter the playing field for providers of investment advice...
401kWire.com - Wednesday, June 28, 2000 - Reader Rating: 3
Is This the Future of Social Security?
The federal government is trying to improve its recordkeeping, but thing aren't going according to plan...
401kWire.com - Wednesday, June 28, 2000 - Reader Rating: 3
June 28, 2000
SEC Mulls Streamlined Semi-Annuals ... Stay patient after a merger ... Fund keeps its heart in S.F...
401kWire.com - Wednesday, June 28, 2000 - Reader Rating: 3
June 28, 2000
SEC Mulls Streamlined Semi-Annuals ... Stay patient after a merger ... Fund keeps its heart in S.F...
MutualFundWire.com - Wednesday, June 28, 2000 - Reader Rating: 3
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401kWire.com - Monday, June 28, 1999 - Reader Rating: 3
July 4 Open Access
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401kWire.com - Monday, June 28, 1999 - Reader Rating: 3
Fidelity Alliance Allows Lehman Online Access
Fidelity and Lehman form alliance to allow Fidelity's retail customers access to Lehman's investment products and research and Lehman its first foray into online securities sales...
MutualFundWire.com - Monday, June 28, 1999 - Reader Rating: 3
GE Looks at Public Sector
Stamford, Connecticut-based Retirement Services Unit of GE Financial Assurance has created a new post, that of vice president of public funds marketing, a spokesperson with the firm told the 401kWire.com. The first person to hold this post will be Robert Hamilton...
401kWire.com - Monday, June 28, 1999 - Reader Rating: 3
Marketing Exec Leaves Hojo
Tom O'Brien, a marketing executive with Howard Johnson & Company (now a subsidiary of Merrill Lynch), has resigned his position...
401kWire.com - Monday, June 28, 1999 - Reader Rating: 3
New Alternative Markets Exec at Scudder
The Boston fund company has tapped a new vice president for alternative markets...
MutualFundWire.com - Monday, June 28, 1999 Views - Reader Rating: 3
Countrywide Targets B/D Channel with New Sales Program
Countrywide Investments is concentrating its efforts on the broker/dealer channel, restructuring sales charges, beefing up training programs and launching an advisor-only website...
MutualFundWire.com - Monday, June 28, 1999 - Reader Rating: 3
New Exec in Scudder's Chicago Office
Scudder Kemper Retirement Services has named Ed Fisher to the post of vice president for alternative markets. He will be assigned to the firm's Chicago, Illinois office...
401kWire.com - Monday, June 28, 1999 - Reader Rating: 3
Odd Lots, June 28, 1999
Buffet turned the tide for REITs ... Overcoming being Small...
MutualFundWire.com - Monday, June 28, 1999 - Reader Rating: 3
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