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Fund Profiles
News Stories Archives - Since 1998
T. Rowe PMs and Wells Fargo's AM Chief Woo Reporters in Gotham
Executives from two big asset managers came to the Big Apple today. In the one case, PMs came to talk about a growing unit, and in the other, leadership shared new research...
MutualFundWire.com - Wednesday, September 20, 2017
Three Tips for Better Managing Your Mailings to KPAs
401(k) plan advisors are not out of town, but the mail continues to pile high outside their office doors...
401kWire.com - Wednesday, September 20, 2017
T. Rowe Fights a Target Date Myth
The TDF giant gathers reporters for an investment briefing in Gotham, where PMs talk about the dominant default investment choice in the 401(k) space...
401kWire.com - Wednesday, September 20, 2017 - Reader Rating: 3.67
How Much Will That SRI Deal Cost?
Pax World's buyer reveals pricing details and more about the impending acquisition...
MutualFundWire.com - Wednesday, September 20, 2017
CapTrust Buys a VA Quartet
As promised, Fielding Miller keeps doing deals despite already sealing six this year...
401kWire.com - Wednesday, September 20, 2017
Mutual of Omaha Heeds This DC I-O Story
The Midwestern insurer's 401k RKer arm adds an ETF-powered option to its platform...
401kWire.com - Tuesday, September 20, 2016 - Reader Rating: 1
Auto Escalation Adoption is Too Low
...so says a new study conducted by Northern Trust....
401kWire.com - Tuesday, September 20, 2016
People on the Move - September 20, 2016
Hirings, Firings, and the like!..
MutualFundWire.com - Tuesday, September 20, 2016 Views
Pru's Devaney Takes Over a Channel
A channel chief says goodbye to Prudential Investments after nine years with the firm...
MutualFundWire.com - Tuesday, September 20, 2016 Views
Charlie Epstein Recruits a Retirement Plan Consultant
The founder of the Holyoke, Massachusetts-based retirement plan advisory shop added a new retirement plan consultant to the firm...
401kWire.com - Tuesday, September 20, 2016 - Reader Rating: 3
A New 401k Platform Raises $4.5MM From VCs
Aaron Schumm, founder and CEO of a full-fiduciary, white-labeled 401(k) platform for the RIA community, just received $4.5 million in funding...
401kWire.com - Tuesday, September 20, 2016 - Reader Rating: 5
Voya Lands a $5B-Plus Govt DC Plan
Voya replaces the incumbent. ..
401kWire.com - Tuesday, September 20, 2016 - Reader Rating: 5
A $2.2B Breakaway RIA Plans Its Own Mutual Fund
A Midwestern team recently broke away from a wirehouse, and they plan to launch their own fund in 2017...
MutualFundWire.com - Tuesday, September 20, 2016 Views
Bill Gross Pays it Forward
The king of Pimco donated $50k to an nonprofit working toward HIV/AIDS prevention...
MutualFundWire.com - Friday, September 20, 2013 Views
In a Reversal Schlichter Wins Class-Action Designation in a 401k Fee Suit
Plaintiffs alleging a breach of fiduciary duty in Boeing's 401(k) plan were granted class-action status in the excessive-fee lawsuit Spano v. Boeing. ..
401kWire.com - Friday, September 20, 2013
NICSA Keynote: Bob Cunha Explains How to Kick Up Sales With Big Data
The Eaton Vance data and sales guru outlines his four steps...
MutualFundWire.com - Friday, September 20, 2013 Views
WSJ's Maxey Worries About Tactical Funds
The Wall Street Journal's Daisy Maxey writes that despite the flurry of new tactical allocation funds, the investments are a poor match for classic 60/40 portfolios and are generally launched at the wrong time. ..
MutualFundWire.com - Friday, September 20, 2013 Views
A Pimco Vet Takes Over an EM Fund
Effective today PIMCO's [profile] Emerging Markets Corporate Bond Fund is now PMed by Michael Gomez. Gomez is a Managing Director of PIMCO and has been a member of the emerging markets team since joining PIMCO in 2003. Prior to joining PIMCO, he was associated with Goldman Sachs where he was responsible for proprietary trading of bonds issued by Latin American countries. [ MutualFundWire.com - Friday, September 20, 2013 Views - Reader Rating: 5
A Global X Fund's Index Adjusts
Global X Funds' [profile] Uranium ETF invests at least 80 percent of its total assets in the securities of the Solactive Global Uranium Index. On September 18, Solactive AG, the sponsor of the Solactive Global Uranium Index, announced changes to the index methodology. Index adjustments reflecting the revised methodology will be made after the close of trading on October 2, 2013.

The weighting scheme, selection of index components, and selection pool have been revised to not only account for companies that derive a significant percentage of revenues from activities related to the uranium industry, but also companies that generate large absolute revenues from activities related to the uranium industry.

Companies are now ranked by free float market cap, rather than average daily trading volume. The composition of the Index is now ordinarily adjusted once a year on the last business day in July, rather than twice a year. [SEC Filing]..

MutualFundWire.com - Friday, September 20, 2013 Views
Deval Patrick Enters the Money Fund Reform Debate
The governor of Massachusetts, Deval Patrick, wrote a letter to the SEC. ..
MutualFundWire.com - Friday, September 20, 2013 Views
Goldman Prepares to Merge Two Credit Strategies Funds
At a meeting held yesterday, the board of trustees of the Goldman Sachs Credit Strategies Fund [profile] approved a reorganization of the fund into Goldman Sachs Long Short Credit Strategies Fund.. [SEC Filing]..
MutualFundWire.com - Friday, September 20, 2013 Views - Reader Rating: 5
Glenmede Set Up an Institutional Share Class Conversion Feature
Glenmede [profile] has instituted a conversion feature whereby shares of is Small Cap Equity Portfolio may be converted into institutional shares for balances of at least $10,000,000. [SEC Filing]..
MutualFundWire.com - Friday, September 20, 2013
FPA Un-Diversifies a Fund
Today shareholders of FPA Funds Trust's [profile] FPA International Value Fund approved a proposal to change the fund from diversified fund to a non-diversified fund. Therefore the fund may invest a greater percentage of its total assets in the securities of fewer issuers than a diversified fund. [SEC Filing]..
MutualFundWire.com - Friday, September 20, 2013 Views
USA Today's Waggoner Tells Money Market Fundsters to Swallow Their Reform Medicine
USA Today's John Waggoner writes a balanced piece, arguing that although money funds shouldn't take the blame for the Reserve fund, the money fund industry can withstand regulation. ..
MutualFundWire.com - Friday, September 20, 2013
ING Hires Wellington to Replace Thornburg
On September 12, ING Mutual Fund's [profile] Board of Trustees approved the removal of Thornburg Investment Managment [profile] as a sub-adviser to the ING International Core Fund, effective close of business on November 22, 2013. Thornburg currently manages a portion of the fund's assets and Wellington Management Company [profile] manages the other portion of the fund's assets.

From the close of business on November 8 through the close of business on November 22, the fund will be in a transition period during which time a transition manager with sell all or most of the assets managed by Thornburg and the transition manager may hold a large portion of the fund's assets in temporary investments.

Effective on or about November 25, Wellington Management Company will be the sole sub-adviser managing all of the fund's assets. [SEC Filing]..

MutualFundWire.com - Friday, September 20, 2013 Views
PIA Will Shut Down a Bond Fund
Based upon a recommendation by Pacific Income Advisers [profile], the investment advisor to the PIA Moderate Duration Bond Fund, the board of trustees of Advisors Series Trust has determined to close and liquidate the fund. PIA concluded that it hasn't been able to generate enough assets in the fund to make the fund viable.

Effectively immediately, the fund is no longer accepting purchases. The Advisor will begin an orderly transition of the fund's portfolio to cash and cash equivalents. Shareholders of the fund may redeem their investments and accounts not redeemed by October 30 will automatically be redeemed on October 31. [SEC Filing]..

MutualFundWire.com - Friday, September 20, 2013
An Invesco Vet Joins Delaware in Texas
Delaware Investments lured a longtime Invesco employee to head its Southern Texas mutual fund and managed accounts business. ..
MutualFundWire.com - Friday, September 20, 2013 Views
Rekenthaler is Skeptical of Non-Traditional Bond Funds
John Rekenthaler writes that non-traditional bond funds haven't delivered on one of their main selling points. ..
MutualFundWire.com - Friday, September 20, 2013 Views
The Boston Behemoth is Hiring 250 More in Denver
Fidelity Celebrated its new Denver Center and plans to hire hundreds more employees by years end. ..
MutualFundWire.com - Friday, September 20, 2013 Views
Has Fido's Danoff Found his PM Heir?
Reuters covered William Danoff's new co-PM on the Fidelity Advisors New Insights Fund, John Roth. ..
MutualFundWire.com - Friday, September 20, 2013 Views
TFS Cuts Fees For Three Funds
Effective January 1, the board of trustees of TFS Capital Investment Trust [profile] approved the discontinuance of the redemption fee for three funds: the TFS Market Neutral Fund, the TFS Small Cap Fund, and the TFS Hedged Futures Fund.

The trustees also approved the following reductions to the funds' investment advisory fees and contractual annual fund operating expense limitations, effective January 1, 2014.

TFS Market Neutral Fund
Current management fee: 225 basis points
Management fees effective January 1: 165 bps
Current contractual fee limitation: 250 bps
Contractual fee limitation effective January 1: 190 bps

TFS Small Cap Fund
Current management fees: 125 bps
Management fees effective: January 1, 115 bps
Current contractual fee limitation: 175 bps
Contractual fee limitation effective 150 bps

TFS Market Neutral Fund
Current management fees: 200 bps
Management fees effective January 1: 150 bps
Current contractual fee limitation: 230 bps
Contractual fee limitation effective 180 bps

[SEC Filing] ..

MutualFundWire.com - Friday, September 20, 2013
Calvert Takes the Reins Back From a Subadvisor
Calvert Social Investment Fund's [profile] Board of Trustess approved, effective September 11, the removal of New Amsterdam Partners as an investment subadvisor for Calvert Balanced Portfolio and assumption of responsibility by the current investment advisor, Calvert Investment Management, for the day-to-day management of the equity assets previously managed by New Amsterdam.

Natalie A. Trunow of Calvert and Eugene A. Profit of subadvisor Profit Investment Management PM the fund. [SEC Filing]..

MutualFundWire.com - Friday, September 20, 2013 Views
Two Shops Have 335MM Reasons to Celebrate Their Fund's First Birthday
The fund gathered over $300 million in assets one year after it was launched. ..
MutualFundWire.com - Friday, September 20, 2013 Views
Calling All Age Groups: a Stanford Prof Wants To Talk 401ks and More
A finance professor at Stanford University's Graduate School of Business is teaching a massive open online course this fall, open to all age groups, that's meant to provide finance skills for long-term retirement planning. ..
401kWire.com - Friday, September 20, 2013
AST Will Merge Two Growth Funds
The Board of Trustees of Advanced Series Trust ("AST") recently approved a fund merger. AST Loomis Sayles Large-Cap Growth Portfolio will acquire AST Goldman Sachs Concentrated Growth Portfolio. Pursuant to this reorganization, the assets and liabilities of the target fund will be exchanged for shares of the acquiring fund, and shareholders of the target fund will become shareholders of the acquiring fund.

The completion of the reorganization transaction is subject to approval by the shareholders of the target fund. It is anticipated that a proxy statement/prospectus relating to this transaction will be mailed to the shareholders of the target fund in December, and that the special meeting of target fund shareholders will be held in January. [SEC Filing]..

MutualFundWire.com - Friday, September 20, 2013 Views
A Midwestern 401k Vet Leaves Gallagher
The insurance brokerage's retirement services unit says goodbye to an exec...
401kWire.com - Friday, September 20, 2013 - Reader Rating: 1
Bill Gross Roundup: He Isn't Bragging, But He Kind of Is
Bill Gross has a few words on Treasuries and Janet Yellen...
MutualFundWire.com - Friday, September 20, 2013 Views
BlackRock's Reider Makes Short-Term Bet By Buying Treasuries, MBS
BlackRock's Rick Reider said he recently bought Treasuries after Summers ended his Fed candidacy. ..
MutualFundWire.com - Friday, September 20, 2013 Views
These Fundsters Are Among Finance's Top Women
American Banker released its list of the most powerful women in finance, with a JP Morgan exec at number one. ..
MutualFundWire.com - Friday, September 20, 2013 Views - Reader Rating: 2
Abby and Ned Johnson Rise on a List as Bill Gross Falls
Check out who has moved up and who has moved down on the Forbes 400 list. ..
MutualFundWire.com - Friday, September 20, 2013 Views
Water Island Capital Fund Taking Advantage of M&A
A Water Island Capital Fund PM was quoted in a Bloomberg story...
MutualFundWire.com - Friday, September 20, 2013 Views
ETF Roundup: Godfather of ETFs Goes to Cantor Fitzgerald
Barron's Brendan Conway writes of the return of institutional investor inflows to emerging market ETFs. ..
MutualFundWire.com - Friday, September 20, 2013 Views
Rekenthaler: Stock Funds Poised For a Bump as 2008's Impact Fades
Morningstar's John Rekenthaler writes that stock funds are going to sell well after the trailing five year records begin to favor them. ..
MutualFundWire.com - Friday, September 20, 2013
With David as Sales Czar, What's Next for T. Rowe?
Industry insiders say that Scott David can unify sales arms toward customer experience...
MutualFundWire.com - Thursday, September 20, 2012 Views
Three Firms Beef Up Their Alts Ops
Three mutual fund firms hire and buy to boost their alternatives businesses. ..
MutualFundWire.com - Thursday, September 20, 2012 Views
Bernard Consolidates T. Rowe's Distribution Under One Man
The mutual fund giant puts U.S. third party distribution, and retail direct channels and retirement plans under one tent...
MutualFundWire.com - Thursday, September 20, 2012 Views
Egan Leaves as T. Rowe Reorgs
The top brass at the mutual fund giant reshape their retirement efforts while saying goodbye to the division's chief...
401kWire.com - Thursday, September 20, 2012 - Reader Rating: 3
Pentegra Makes a Big Change
The RKer's current CEO is retiring, and we have the scoop on who is replacing him...
401kWire.com - Thursday, September 20, 2012 - Reader Rating: 1.8
A PA RIA Moves to a Landmark
A 401k advisory shop lands new office space downtown...
401kWire.com - Thursday, September 20, 2012
CLS Raises Its Bid on ETFs
Todd Clarke will focus on business strategy as CLS CEO, giving his day-to-day duties to new president Ryan Beach. ..
MutualFundWire.com - Thursday, September 20, 2012 Views
Legg Mason Is Paying Fetting What?
Fetting will get a variety of goodies, provided he refrains from "Restricted Activity."..
MutualFundWire.com - Thursday, September 20, 2012 Views
T. Rowe Hires a VP Away from RidgeWorth
The new VP will handle mutual fund and sub-advisory sales...
401kWire.com - Thursday, September 20, 2012 - Reader Rating: 2
Two Pairs of Johnsons Still Top Fundsters on Forbes' List
Here's a list of all in the mutual fund industry who are richer than you...
MutualFundWire.com - Thursday, September 20, 2012 Views
Advisors Are Tired of Waiting for Vanguard's New ETFs
The WSJ says Vanguard is hearing "low rumble" from advisers on delayed launches...
MutualFundWire.com - Thursday, September 20, 2012 Views
Vanguard Ain't Afraid of No BlackRock Fee Cuts
A top exec at Vanguard responds to the news of impending fee cuts from BlackRock's iShares unit...
MutualFundWire.com - Thursday, September 20, 2012 Views
QE3 Is Heaven's Gift for Bond Kings
Reuters and Barron's report that the Fed's recent announcement is good for riskier bond bets...
MutualFundWire.com - Thursday, September 20, 2012 Views
Benzinga Calls Out "Dreadful" ETFs
Benzinga highlights four struggling ETFs...
MutualFundWire.com - Thursday, September 20, 2012 Views
Bogle Talks Market Volatility and Speculation
Volatility may be worse than past decades, but it always reverts to the mean, Bogle tells Time. ..
MutualFundWire.com - Thursday, September 20, 2012 Views
ASPPA and Three Partners Tackle 403b Fee Disclosure
Several trade groups form a taskforce to look at transparency in the non-profit side of the DC business...
401kWire.com - Tuesday, September 20, 2011 - Reader Rating: 1
American Beacon Plans to Broaden its Retail Sales Force
The Texas-based firm plans to have a 1:1 ratio of externals to internals...
MutualFundWire.com - Tuesday, September 20, 2011 Views
Invesco Offers Brand New Support to Plan Advisors
The DC I-O firm unveils a new program for intermediaries working with defined contribution plans...
401kWire.com - Tuesday, September 20, 2011 - Reader Rating: 2
Pimco Offers a Response to Inflation
The Allianz subsidiary unveils a new mutual fund...
MutualFundWire.com - Tuesday, September 20, 2011 Views
A Small Plan Sponsor Steals the Show
A small plan sponsor is recognized at the PSCA Signature Awards..
401kWire.com - Tuesday, September 20, 2011 - Reader Rating: 1
Eagle Adds an Institutional Sales Exec
The asset management and mutual fund arm of Raymond James makes a new hire...
MutualFundWire.com - Tuesday, September 20, 2011 Views
Wray Talks Up the 401k System
The PSCA chief takes the stage at PSCA's 64th Annual National Conference...
401kWire.com - Tuesday, September 20, 2011 - Reader Rating: 3
A Large Gov't Plan Adds Target Dates
It's going to market in two years...
401kWire.com - Tuesday, September 20, 2011 - Reader Rating: 1
Did Gundlach Win?
Attorneys for the two sides offer their takes on the jury's verdict and hint at what's next...
MutualFundWire.com - Tuesday, September 20, 2011 Views
S&P Reveals Finalists for Mutual Fund Awards
It's awards season at the S&P...
MutualFundWire.com - Tuesday, September 20, 2011 Views
Baron Chats with Forbes
The billionaire investor talks about the economy and his small-cap picks, among other topics...
MutualFundWire.com - Tuesday, September 20, 2011 Views
TIAA-CREF Launches a New Ad Campaign
The New York firm kicked off its new campaign over the weekend...
401kWire.com - Monday, September 20, 2010 - Reader Rating: 1
Touchstone Plans to Merge a Pair of Funds
The Ohio-based firm plans to reorganize a $49.3 million fund into an $81.4 million fund...
MutualFundWire.com - Monday, September 20, 2010 Views
Virtus Teams Up with a Londoner
The Connecticut-based firm, which runs a multi-manager asset management business, launches an international equity fund with a UK-based sub-adviser...
MutualFundWire.com - Monday, September 20, 2010 Views
Columbia Names its Institutional DC-IO Chief
The firm taps one of its own for the post...
401kWire.com - Monday, September 20, 2010 - Reader Rating: 5
An RKing TPA Unveils a Smart New Education Alliance
A New England-based firm hooks up with a web-focused education specialist...
401kWire.com - Monday, September 20, 2010 - Reader Rating: 5
New York Life Unveils a New Program for Plan Participants
The Westwood, Massachusetts-based plan provider unwraps a program that gives plan participants simple, personal suggestions. ..
401kWire.com - Monday, September 20, 2010 - Reader Rating: 2
Gabelli Taps Mullady as Head of Open-End Funds
The exec wil also become CEO of the broker-dealer currently being formed to distribute the company's open-end offerings...
MutualFundWire.com - Monday, September 20, 2010 Views
A Mega Plan Sponsor is Switching Recordkeepers
The plan sponsor is moving its billion-dollar 401k plan...
401kWire.com - Monday, September 20, 2010 - Reader Rating: 3.4
George Gatch Says He is Not a 'Classic Retail Guy'
The new head of JPMorgan Asset Management's investment management unit in the Americas fields questions...
MutualFundWire.com - Monday, September 20, 2010 Views
Jaffe and Kranefuss Don't Want ETFs in the Wrong Hands
The WSJ and MarketWatch columnist ponders the first Morningstar ETF conference, held last week in Chicago, and cites the former iShares chief...
MutualFundWire.com - Monday, September 20, 2010 Views
Pimco Preps a Mutual Fund Push in Canada
A CTV News article says Pimco is making a run at Canadian retail investors. ..
MutualFundWire.com - Monday, September 20, 2010 Views
Cardinal Pens a Distribution-Processing Partnership
The TPA partners with a firm on the West Coast...
401kWire.com - Monday, September 20, 2010
Bill Gross Sees the Importance of Twitter
USA Today's John Waggoner takes a look at fund firms that are embracing social media...
MutualFundWire.com - Monday, September 20, 2010 Views - Reader Rating: 3
Bogle v. Hennessy, Round 2
The founder of Vanguard responds to a critique, lashing out against another fundster...
MutualFundWire.com - Monday, September 20, 2010 Views - Reader Rating: 5
Cozy Quarters Cause Callan and BNY a Conflict
The SEC has ordered Callan Associates to "cease-and-desist" pending an investigation of the failure to disclose a comfy relationship with the Bank of New York...
MutualFundWire.com - Thursday, September 20, 2007 - Reader Rating: 3
Hedge-Like Strategies Failing Some Mutual Funds
Mutual funds with hedge-like characteristics, which are theoretically designed to protect investors when markets take a dive, may not be living up to their billing...
MutualFundWire.com - Thursday, September 20, 2007 Views - Reader Rating: 4
NAGDCA 2007 Draws Record Crowd
Judging by the turnout in Palm Springs, public plans are catching the attention of more providers...
401kWire.com - Thursday, September 20, 2007
Volunteer State Bank Picks EPIC DC Partner
An Empire State firm gains a distribution deal with a 22-branch full-service bank. ..
401kWire.com - Thursday, September 20, 2007
Mutual of Omaha Links Up with Fund Consultant
The Nebraska-based provider has sealed a pact with a Midwest consulting firm...
401kWire.com - Thursday, September 20, 2007
SunStar Marks Marketing Milestone
SunStar, the mutual fund PR and marketing firm, has made it onto the Inc. 5000 list of the fastest growing private companies in America...
MutualFundWire.com - Thursday, September 20, 2007 Views - Reader Rating: 3
Oppenheimer Offers Free Plan Installation
The Big Apple provider's fall promo runs through yearend...
401kWire.com - Thursday, September 20, 2007
Off to the Retail Market for Five New Funds
The American Hospital Association Funds, previously only available to doctors, hospitals, and foundation pension plans, are beginning a retail push...
MutualFundWire.com - Thursday, September 20, 2007 Views - Reader Rating: 2.83
Advisors: New Pru Too(l) For You
The Garden State provider unveils an offering to help plan advisors collect and present performance data. ..
401kWire.com - Thursday, September 20, 2007
AIM Tweaks Portfolio Teams of Two Funds
AIM Investments is making changes to the portfolio management teams of AIM LIBOR Alpha Fund and AIM International Total Return Fund...
MutualFundWire.com - Thursday, September 20, 2007 Views
ALPS Fund Services Hires CFO
The outsourcer has appointed John Donaldson as chief financial officer...
MutualFundWire.com - Thursday, September 20, 2007 Views
XShares Names CEO, Secures $10 Million Funding
The New York investment advisory firm has appointed William Henson as chief executive officer and secured funding from a consortium of European investors...
MutualFundWire.com - Thursday, September 20, 2007 Views
SEC Relieves Certain Requirements on Fee Based Accounts
A new SEC ruling provides certain relief from the trade-by-trade prior consent requirements for principal trades executed with clients on a non-discretionary basis...
MutualFundWire.com - Thursday, September 20, 2007 - Reader Rating: 3
Cox Crows About XBRL
Chairman Cox is very pleased with himself -- his pet XBRL project is progressing quite nicely...
MutualFundWire.com - Thursday, September 20, 2007 Views
Newport Makes a Sales Hire in the Southeast
The Florida-based provider has appointed a regional director responsible for the Southeast...
401kWire.com - Thursday, September 20, 2007 - Reader Rating: 3
Columbia Looks Inside to Find CIO
Bank of America's investment management arm has tapped an insider to take on the role of chief investment officer...
MutualFundWire.com - Thursday, September 20, 2007 Views
DTCC Updates Profile System for Easier Prospectus Access
The Depository Trust & Clearing Corporation has morphed its Mutual Fund Profile Service into a service that will allow investors easier access to fund prospectuses...
MutualFundWire.com - Thursday, September 20, 2007 Views
Mutual Funds See Record Flows as a Result of Fed's Deep Discount
The Fed's 50 bps cut has had quite an effect on mutual fund inflows...
MutualFundWire.com - Thursday, September 20, 2007 Views
NYSE Arca Gets New VP
Edward G. Boyle has been appointed vice president of NYSE Arca Options...
MutualFundWire.com - Thursday, September 20, 2007
BDs Report Less-Than-Stellar Q3 Results
Of those who reported so far, profits have fallen with expectations...
MutualFundWire.com - Thursday, September 20, 2007 - Reader Rating: 3
Stable Value Experts Bring Retirement Income to Fee-Only Advisors
The new platform will be available to 1,700 advisors. ..
401kWire.com - Thursday, September 20, 2007
Fund Managers Leap Into the Stock Market After Rate Cut
n today's Fund Track column, Daisy Maxey writes about the reaction of fund managers to the Federal Reserve's decision to move on Tuesday to slash interest rates by 50 basis points...
MutualFundWire.com - Thursday, September 20, 2007 Views
Checkmate for 'The Bishop' Bomber
Would-be-mutual-fund bomber, John Tomkins, has been indited on 15 different charges, including 10 counts of securities fraud...
MutualFundWire.com - Thursday, September 20, 2007 Views
Eight Firms Slapped With Fee Suits
Eight companies are facing lawsuits over allegedly excessive 401(k) plan fees...
401kWire.com - Wednesday, September 20, 2006 - Reader Rating: 1
NASD Hits MetLife's Three BDs With Fine
MetLife Securities, New England Securities and Walnut Street Securities must pay five million dollars for their involvement in the late trading mutual fund scandal...
MutualFundWire.com - Wednesday, September 20, 2006 Views
Fido Forms Research Institute
The Boston Behemoth has put up an institute designed to provide information on finance issues...
MutualFundWire.com - Wednesday, September 20, 2006 Views - Reader Rating: 2.33
Lincoln IDs Employer Markets Unit Chief
The Philadelphia firm has tapped an insider to head its new employer markets division...
401kWire.com - Wednesday, September 20, 2006 - Reader Rating: 3.5
Direxion Hire Leads the Way to DC and VA
The Boston fund group has hired its first senior managing director of institutional sales to make a push into the defined contribution and variable annuity markets. ..
401kWire.com - Wednesday, September 20, 2006
Fido Forms Research Institute
The Boston Behemoth has put up an institute designed to provide information on finance issues...
401kWire.com - Wednesday, September 20, 2006 - Reader Rating: 4
Utah County Selects New Provider
The county has chosen a new provider for its 401(k), 401(a) and 457 plans...
401kWire.com - Wednesday, September 20, 2006
PacLife Tells Workers Mutual Service is "Not for Sale"
Rumors that the insurer may sell one of its brokerage units are widespread enough that PacLife officials circulated an email to employees to quash them. Not all of the rumors come from mean-spirited competitors, though...
MutualFundWire.com - Wednesday, September 20, 2006
Pittsburgh Firm To Freeze DB Plans
The company will freeze its pension plans effective December 31, 2006...
401kWire.com - Wednesday, September 20, 2006
NASD Hits MetLife's Three BDs With Fine
MetLife Securities, New England Securities and Walnut Street Securities must pay five million dollars for their involvement in the late trading mutual fund scandal...
MutualFundWire.com - Wednesday, September 20, 2006
Securities America's Appeal Denied
A federal judge in Louisiana refused to hear a motion by the BD subsidiary of Ameriprise to reduce a $22 million judgment for Exxon Mobil retirement plan participants...
MutualFundWire.com - Wednesday, September 20, 2006
New Name = New Firm?
Is it all in a name? At one BD, the answer depends on who you talk to...
MutualFundWire.com - Wednesday, September 20, 2006 - Reader Rating: 3
Keystone State BD Bye Bye
A two-rep Pennsylvania BD may be selling...
MutualFundWire.com - Wednesday, September 20, 2006
Direxion Hire Leads the Way to DC and VA
The Boston fund group has hired its first senior managing director of institutional sales to make a push into the defined contribution and variable annuity markets. ..
MutualFundWire.com - Wednesday, September 20, 2006 Views
SEC to Meet on Soft Dollar Issue
The SEC will consider soft dollar practices in an open meeting on Wednesday morning .....
MutualFundWire.com - Tuesday, September 20, 2005 Views
DoL Extends Deadlines for Florida Sponsors
The Labor Department (DoL) has added parts of Florida to the list of regions qualifying for Form 5500 filing deadline extensions because of Hurricane Katrina...
401kWire.com - Tuesday, September 20, 2005 - Reader Rating: 2
A New Website at ICMA-RC
The plan provider will take the wraps off its revamped Website on Thursday...
401kWire.com - Tuesday, September 20, 2005
Invesmart Calls for Participant Bill of Rights
The plan administrator and investment advisor is trying to hammer a wedge between sellers of open-401(k)s and traditional products...
401kWire.com - Tuesday, September 20, 2005 - Reader Rating: 4
T. Rowe Adds Plan Comparability
Sponsors who like to keep up with the Joneses have finally gotten their wish...
401kWire.com - Tuesday, September 20, 2005 - Reader Rating: 3
Reish to Host Fiduciary Webinar
Nationwide has signed on the ERISA legal specialist to host a Web seminar for fiduciaries scheduled for Wednesday...
401kWire.com - Tuesday, September 20, 2005
Katrina-Hit TPA is Up and Running
The TPA is working to reopen its New Orleans office...
401kWire.com - Tuesday, September 20, 2005 - Reader Rating: 3
Energy Co to Pay $55 MM to Settle ERISA Suit
A Seattle-based specialist in company stock related class actions has won a $55 settlement from a plan sponsor...
401kWire.com - Tuesday, September 20, 2005
Hancock to Go Retail with Lifestyle Funds
The five fund series currently has $24 billion in assets...
MutualFundWire.com - Tuesday, September 20, 2005 Views - Reader Rating: 2.33
Manager Swaps: Neuberger, AIM
A longtime value manager is retiring .....
MutualFundWire.com - Tuesday, September 20, 2005 Views
Dems Call for More Fund Oversight
Another GAO report heaps criticism on the SEC's way of doing business. According to a GAO report released by Democratic representatives Paul Kanjorski (Pennsylvania) and Barney Frank (Massachusetts), the SEC's system of examining high-risk mutual funds leaves much wanting .....
MutualFundWire.com - Tuesday, September 20, 2005 Views
Aussie Bank Launches Infrastructure Fund
Macquarie Bank has launched a second mutual fund available traded on the U.S. markets. The new Macquarie Global Infrastructure Total Return Fund raised $425 million in an initial public offering in late August .....
MutualFundWire.com - Tuesday, September 20, 2005 Views
Pru Broker Accepts Guilty Plea
As expected, former Prudential Securities broker Martin Druffner has pleaded guilty to federal fraud charges related to market timing for mutual funds .....
MutualFundWire.com - Tuesday, September 20, 2005 Views
Cohen and Steers Make a Well-Timed Bet
Shares in the REIT fund specialist are up more than 20 percent after a quiet IPO...
MutualFundWire.com - Monday, September 20, 2004 Views
Merrill Analyst: Fund Earnings Outlook Not as Bright
The outlook for the fund industry has slipped in recent months, according to analysts at Merrill Lynch. The wirehouse sliced its earnings estimates for the fund industry on Monday, cutting its expectations at seven of the eleven fund firms it tracks. ..
MutualFundWire.com - Monday, September 20, 2004 Views
Mainstay Feels its Time to be Aggressive
Is the iron hot for the striking? Mainstay funds tells the American Banker that it is. The NYLIM unit will add to its sales force and protect line as part of an effort to catch competitors reeling. ..
MutualFundWire.com - Monday, September 20, 2004 Views
Chamber of Commerce Makes its Next Move
As expected, the U..S. Chamber of Commerce went to court Monday to fight a new SEC rule requiring mutual fund boards to be headed by independent directors. The USCOC filed an an emergency motion in the U.S. Court of Appeals for the D.C. Circuit seeking to block the rule that also requires three-quarters of board members to be independent. A ruling is expected by ... ..
MutualFundWire.com - Monday, September 20, 2004 Views
More Newsletters for Advisors
Ibbotson Associates is targeting advisors with a newsletter focusing on financial planning education. The Chicago-based fund tracker is writing the newsletter with the end investor in mind and will allow the advisor to brand it with their own logo and deliver it by paper or to post it on their Web site. Advisors will also be able to send the quarterly newsletter as an email. The effort is one of a number aimed at helping advisors built client loyalty and trust. ..
MutualFundWire.com - Monday, September 20, 2004 Views
Franklin Settles Timing Charges with Galvin
The market timing scandals appear to be winding down as Franklin Templeton will pay just $5 million to settle the last of the charges brought in the Calugar case. The settlement ends six months of negotiations and uncertainty, clearing the decks for new growth. ..
MutualFundWire.com - Monday, September 20, 2004
Two GoldK Executives Depart
Two senior executives depart the venture-play in 401k recordkeeping. ..
401kWire.com - Monday, September 20, 2004 - Reader Rating: 1.15
Union Halts Schwab PAS Conference
San Francisco-based Charles Schwab has postponed its annual meeting for its TPA partners after a hotel union calls a strike...
401kWire.com - Monday, September 20, 2004
Invesmart Antes into Advice
The recordkeeper and plan administrator is now offering plan participants help with their investment and savings plans. ..
401kWire.com - Monday, September 20, 2004
ADP Throws Hat in SoloK Game
The payroll giant will tap multiple distribution channels for the new product...
401kWire.com - Monday, September 20, 2004 - Reader Rating: 5
Vanguard Wins Special STAR
The 401k provider is recognized for a conversion campaign it developed for a new plan sponsor client...
401kWire.com - Friday, September 20, 2002
FSBA Encourages Disclosures
The Florida Board is promulgating investment principles as a way to raise investor confidence...
401kWire.com - Friday, September 20, 2002
Senate Action Not Imminent
The Senate will not take up pension reform for a couple more weeks, says Baucus...
401kWire.com - Friday, September 20, 2002
MFEA Awards STARs
Winners include two Chicago area fund firms...
MutualFundWire.com - Friday, September 20, 2002 Views
Citizens Jumps on SEC Vote
The social investor is riding the proxy voting issue to tell its story...
MutualFundWire.com - Friday, September 20, 2002 Views
Normalcy Reigns at PSCA Conference
Sponsors flocked to the annual PSCA conference in Chicago Wednesday and Thursday, despite the morose business climate...
401kWire.com - Friday, September 20, 2002
Scudder Sees Robust Growth in Stable Value
The head of a stable value group sees a bright future in sales to small plans and IRA holders...
401kWire.com - Friday, September 20, 2002
Plan Sales Software Gets Upgrade
Tool finds best fit plans. Providers can purchase access for intermediary partners...
401kWire.com - Friday, September 20, 2002
Two Subadvisory Mandates Won in Canada
CI Funds awards more than $150 million of portfolio management duties to two firms -- one new, one old...
MutualFundWire.com - Friday, September 20, 2002 Views
DKW Slices 500
Cuts at the investment bank may be the leading edge of a new wave...
MutualFundWire.com - Friday, September 20, 2002 Views
Commissioners Give Thumbs Up
The SEC approved proxy disclosure changes. Next step is a public comment period...
MutualFundWire.com - Friday, September 20, 2002 Views
Trustmark Gets Makeover
The recordkeeping software firm gets a new name and a new home office. ..
401kWire.com - Thursday, September 20, 2001 - Reader Rating: 3
Villanova Lands CIO
The firm has landed a new chief investment officer from Brown Brothers Harriman. ..
MutualFundWire.com - Thursday, September 20, 2001 - Reader Rating: 3
New Sales Chief
Kolbe gets the mandate to head the sales efforts at INVESCO. His first challenge will be overcoming the damage done by the tech wreck. ..
MutualFundWire.com - Thursday, September 20, 2001 - Reader Rating: 3
Hospital Combines Plans
Invesmart and Diversified are out as the California sponsor discovers the benefits of merging plans. ..
401kWire.com - Thursday, September 20, 2001 - Reader Rating: 3
Principal Tightens TPA Ties
The insurer is putting TPAs front and center with clients in a new program. ..
401kWire.com - Thursday, September 20, 2001 - Reader Rating: 3
Fiduciary Trust Reports 3 Dead, 84 Still Missing
Franklin Templeton has earmarked $2 million for a fund to benefit the families of those lost at its World Trade Center-based unit...
MutualFundWire.com - Thursday, September 20, 2001 - Reader Rating: 3
Stowers Relinquishes CEO Post
James Stowers III is handing over his CEO title at American Century to concentrate on the investment management side of the business...
MutualFundWire.com - Wednesday, September 20, 2000 - Reader Rating: 3
Taking Better Aim
AIM Funds redesigns the performance section of its advisor Web site...
MutualFundWire.com - Wednesday, September 20, 2000 - Reader Rating: 3
September 20, 2000
Pair Claims Patent on ETF Process ... Putnam Losses Manager to Hedge Fund ... All Net Funds are Submerged...
401kWire.com - Wednesday, September 20, 2000 - Reader Rating: 3
September 20, 2000
Pair Claims Patent on ETF Process ... Putnam Losses Manager to Hedge Fund ... All Net Funds are Submerged...
MutualFundWire.com - Wednesday, September 20, 2000 - Reader Rating: 3
New Prez at Bisys Fund Services
Bisys has replaced its Fund Services president with a long-time operations exec...
MutualFundWire.com - Monday, September 20, 1999 - Reader Rating: 3
Federated Launches Tech Fund
Pittsburgh's Federated is joining the ranks of the techies with a new sector fund focused on communications technology...
MutualFundWire.com - Monday, September 20, 1999 - Reader Rating: 3
Odd Lots, September 20, 1999
Baron Asset's little brother gets a face-lift ... Is fund consolidation a myth?..
MutualFundWire.com - Monday, September 20, 1999 - Reader Rating: 3
Matthews Malone Parter Moves On
Mike Malone, formerly a partner in the firm of Matthews Malone, has left his post following the acquisition of his old company. Malone is now in Ireland pursuing a career in international finance.
..

401kWire.com - Monday, September 20, 1999 - Reader Rating: 3
X.com Names Barclays For Funds
The recently formed banking "supersite"-to-be has allied with Barclays Global for its planned family of funds...
MutualFundWire.com - Monday, September 20, 1999 - Reader Rating: 3
Wiesenberger and Argus Ally
Rockville, Maryland-based Wiesenberger and Argus Group have formed an alliance to integrate the formers interactive education and advice products with the latter's on-demand print services...
401kWire.com - Monday, September 20, 1999 - Reader Rating: 3
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