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News Stories Archives - Since 1998
A 19,000-FA B-D's KPA Support Team Expands
Watch for new hires focused on product, support, and ERISA law...
401kWire.com - Tuesday, September 27, 2022
A Ret Income Leader Joins a 154-Year-Old Insurer
The new hire will report to the firm's institutional customer solutions group chief...
401kWire.com - Tuesday, September 27, 2022
A Tech Chief Joins a $15.5B-AUA TPA
The new hire now reports to the acquirer's CEO...
401kWire.com - Tuesday, September 27, 2022
A New Chief Will Take Over a $3.48T-AUM Firm
The handoff is expected to take place in December...
MutualFundWire.com - Tuesday, September 27, 2022
11 Fund Firms Close In On These Awards
Some mutual fund firms are among the finalists for annual awards from a trade group and an investment magazine...
MutualFundWire.com - Tuesday, September 27, 2022
Benartzi Advises a DC I-O Startup
The behavioral finance researcher joins a board of directors...
401kWire.com - Tuesday, September 27, 2022
An FI Boutique Leads As Its Inflows Rise 18-Fold
The M* team updates U.S. flows data for August 2021 for ETFs and long-term, open-end mutual funds...
MutualFundWire.com - Monday, September 27, 2021 Views
A Cadre of Execs Joins a San Fran Provider
The new hires follow the startup's recent series D round of funding...
401kWire.com - Monday, September 27, 2021
PCS Supports a TAMP's New 401k Offering
The provider serves as recordkeeper and TPA for a new product, while an affiliate serves as 3(16) and PPP...
401kWire.com - Monday, September 27, 2021 - Reader Rating: 1
In SoCal, a Provider Vet Switches to a KPA RIA
He previously worked on the RKer and asset management sides of the business...
401kWire.com - Monday, September 27, 2021
Week In Preview, September 27 - October 3
This week, the teams at DCIIA, NIPA, That401kSite.com, Trucker Huss, and WIPN are hosting events...
401kWire.com - Monday, September 27, 2021
Week In Preview, September 27 - October 3
This week, the teams at ALFI, Citywire, ICI, IMEA, MFDF, and SEC are hosting events...
MutualFundWire.com - Monday, September 27, 2021 Views
This Sunday, NASCAR Comes With a Side of 401k
An RKer's name will be on the side of No. 88 in the race at Charlotte...
401kWire.com - Friday, September 27, 2019 - Reader Rating: 1
Thomas Spreads the Wings of AmCent's First Untethered Brand
The fund firm's chief expects to unlock another segment of the marketplace with the new boutique, which is led by a former co-CEO of another big fund firm...
MutualFundWire.com - Friday, September 27, 2019 Views
The T. Rowe Team Brings Back a Forum
Consultants and KPAs converged on Baltimore earlier this week for a meeting that included sneak peek of the provider's latest upgrades...
401kWire.com - Friday, September 27, 2019 - Reader Rating: 5
ARA Moves
Today is moving day for the team that runs ASPPA, NAPA, and PSCA...
401kWire.com - Friday, September 27, 2019
DC Plans Gained Marketshare In Q2
A mutual fund industry trade group releases its latest statistics on U.S. retirement savings...
401kWire.com - Friday, September 27, 2019
It's About to Get Easier to Enter the ETF Biz
After more than a decade in the works, the SEC is streamlining the process of getting into the ETF space for traditional ETFs...
MutualFundWire.com - Friday, September 27, 2019 Views
An ERISA-Attorney-Turned-KPA Chooses a New Co
Stay tuned for more details on what this industry insider is up to next...
401kWire.com - Friday, September 27, 2019
Watch Your Language, Redux
Word choice matters, especially when dealing with participants...
401kWire.com - Thursday, September 27, 2018
Kais Preps a New Small Market Product
The launch comes as federal regulators are preparing to smile on open MEPs...
401kWire.com - Thursday, September 27, 2018 - Reader Rating: 5
Hancock Builds a Cybershield
The insurer's retirement plan arm formalizes a protection for 401(k) participants...
401kWire.com - Thursday, September 27, 2018
With a New Hire, a Boutique Crosses Into International Investing
It's all part of the chief's plan "to build an enduring firm."..
MutualFundWire.com - Thursday, September 27, 2018 Views
A $226MM 457b Rides to Pru
The bundled provider wins a public plan with 6,000 participants...
401kWire.com - Thursday, September 27, 2018
Team USA Looks to a Fido Schwab Alum
At the end of the year, the U.S. Olympic Committee's chairman will pass the reins to a former fundster...
MutualFundWire.com - Thursday, September 27, 2018 Views
Duckworth Partially De-Channelizes Hancock
The fund firm's intermediary distro chief reduces his territory count, adds more specialized internals, and changes the way his field forces handles places that are outside the country's major markets...
MutualFundWire.com - Wednesday, September 27, 2017 Views
Filings For Fundsters - September 27, 2017
The latest mutual fund industry filings with the SEC...
MutualFundWire.com - Wednesday, September 27, 2017 Views
An Ex-Relius Chief Returns to Recordkeeping
Ken Simons is back, this time with a micro market provider based on the West Coast...
401kWire.com - Wednesday, September 27, 2017
Vanguard's Call to Action for Participants
Plan participants are able to answer the call to action with a simple click of their mouse...
401kWire.com - Wednesday, September 27, 2017
How Should RKers Talk About Cybersecurity?
A new system of cybersecurity documentation is aiming to standardize how recordkeepers report security measures to plan sponsors and consultants. ..
401kWire.com - Wednesday, September 27, 2017
Valic Welcomes a CT 401k Vet
The new hire joins as vice president of consultant relations...
401kWire.com - Wednesday, September 27, 2017 - Reader Rating: 3
Are Invesco and Guggenheim Engaged?
Stay tuned tomorrow, as the long-rumored, $1B-plus deal could be revealed then...
MutualFundWire.com - Wednesday, September 27, 2017 Views
Filings For Fundsters - September 27, 2016
A compilation of the latest SEC filings from the mutual fund industry!..
MutualFundWire.com - Tuesday, September 27, 2016 Views
Shifting to Subadvised-Only, This NoCal Fundster Is Open to Adopting, Too
A mutual fund entrepreneur names nine interim subadvisors for his fund family, and he plans to hire, too...
MutualFundWire.com - Tuesday, September 27, 2016 Views - Reader Rating: 2
Cafaro Greenleaf Brings On a Pru Vet
The hire for the newly-created position will handle operations oversight..
401kWire.com - Tuesday, September 27, 2016 - Reader Rating: 4.97
Integrated Retirement Brings on Another UPI Alumn
Arnold Johnson band is still coming together at Integrated Retirement. ..
401kWire.com - Tuesday, September 27, 2016
A KPA Shop in PA Joins a Boutique Indie B-D
A 401(k) plan advisor (KPA) team in Pennsylvania has changed broker-dealers...
401kWire.com - Tuesday, September 27, 2016
Elizabeth Warren Versus Larry Fink
The high-profile Massachusetts Senator singles out three firms as places that shouldn't get "to choose who runs the economy in this country so that they can capture our government."..
MutualFundWire.com - Tuesday, September 27, 2016 Views
A NoCal County Chooses a New RKer for its $1.8B-Plus 457
The county board must still approve the change...
401kWire.com - Tuesday, September 27, 2016
Chetney and Co Gather LPL's Elite 401k Advisors
The retirement partners unit of the indie B-D giant kicks off its annual conference tonight, this time in the Centennial State...
401kWire.com - Friday, September 27, 2013
Fundster: Give People Their ETF Portfolios!
New York firm focused on investor independence sees booming demand in portfolios based on ETFs. With help from BlackRock the shop is finding promising talent...
MutualFundWire.com - Friday, September 27, 2013 Views
Castine's New Colleagues Hunger for Growth
The recruiting firm that hired the former Korn/Ferry global asset and wealth management chairman is positioning itself for current uptick in asset hiring...
MutualFundWire.com - Friday, September 27, 2013 Views
It's Time To Get Clear On TDFs
Raising the Bar on Target Date Due Diligence, a new report by Manning & Napier and Strategic Insight shows there's a lot to be made clear in the TDF world...
401kWire.com - Friday, September 27, 2013 - Reader Rating: 2.5
Seen and Heard: ICI Tax Conference in San Antonio
Some of the fun and games experienced in the Lone Stone State...
MutualFundWire.com - Friday, September 27, 2013 Views
Aspire's Kirtland Inks a Strategic Payroll Alliance
The open architecture, TPA-focused provider teams up with a human capital management giant...
401kWire.com - Friday, September 27, 2013 - Reader Rating: 5
Russell is Carving a Name For Goldman in the DC Space
The managing director and head of Goldman Sach's Americas institutional business, is eager to see a smooth transition following the firms latest DC-focused buy. ..
401kWire.com - Friday, September 27, 2013
Reuters Scrutinizes Pimco's Relationship with the Fed
Newswire reports that Bond King's has "benefited enormously from the very Fed policies that it was helping to implement."..
MutualFundWire.com - Friday, September 27, 2013 Views
With Its Target Dates, Fido Grabs the Bull
Boston Behemoth anticipates bond weakness...
MutualFundWire.com - Friday, September 27, 2013 Views
Franklin's Charge into DC I-O Has a New Leader
Fund giant hires UBS's former DC and retirement head...
MutualFundWire.com - Friday, September 27, 2013 Views
Gundlach Gets His Art Back!
The case of the DoubleLine chief's missing paintings has been solved...
MutualFundWire.com - Thursday, September 27, 2012 Views
Geithner Asks the FSOC to Move on Money Funds
The FSOC commissioner writes a public letter and hopes to force the SEC's hand...
MutualFundWire.com - Thursday, September 27, 2012 Views
Korn/Ferry Will Handle Fetting Successor Search
Decision will set Legg Mason's future direction..
MutualFundWire.com - Thursday, September 27, 2012 Views - Reader Rating: 1
NY Shop Eyes a Merger and an ETF Line
A New York-based alts shop is working on a merger with a Miami-based research firm, and the two are hoping to produce a few ETFs...
MutualFundWire.com - Thursday, September 27, 2012 Views
Guillocheau Shares Ascensus' Big Plans
The Crump-owned plan recordkeeper is altering its strategic tack in response to possibilities in the market. ..
401kWire.com - Thursday, September 27, 2012 - Reader Rating: 4
OpFunds Gears Up to Capitalize on Fee Disclosure
Senior VP Kathleen Beichert talks to the 401kWire about the firm's big focus on retirement...
401kWire.com - Thursday, September 27, 2012 - Reader Rating: 2
M* Is Not Hot on One Shop's TDFs
One financial giant's target-date funds received "neutral" ratings from Morningstar...
401kWire.com - Thursday, September 27, 2012 - Reader Rating: 2
Fido and Pimco Top M* Analyst Ratings
The sixteen new ratings included one gold, four silvers and five bronzes. Nine target date funds were among the neutrals...
MutualFundWire.com - Thursday, September 27, 2012 Views
NY Life Takes a Stake in a $2.2B Fund Shop
Under the deal, NY Life's investment management group's stake will increase to majority ownership seven years, and the shop's offerings will join the MainStay line. ..
MutualFundWire.com - Thursday, September 27, 2012 Views
OpFunds Debuts New Low-Fee Shares for DC Plans
The New York firm is expanding its I Shares lineup, and will also provide services to help advisors meet upgraded fee disclosure requirements. ..
401kWire.com - Thursday, September 27, 2012 - Reader Rating: 4
Altegris Nabs a Guggenheim Sales Vet
The La Jolla-based alternatives manager has hired a new head of distribution strategy...
MutualFundWire.com - Thursday, September 27, 2012 Views - Reader Rating: 5
A Top Merrill Team Doubles
A Midwestern retirement plan advisory shop hires two...
401kWire.com - Thursday, September 27, 2012
Invesco's Flanagan Takes the Other Side of Fidelity's India Bet
The Peach State mutual fund shop buys 49 percent of a top-15 Indian asset manager...
MutualFundWire.com - Thursday, September 27, 2012 Views
Credit Suisse Shakes Up Its Asset Management Arm
The Swiss bank wants to slim its costs down. ..
MutualFundWire.com - Thursday, September 27, 2012 Views
Mary Schapiro's Back, and Here Are More Rumors on Her Plans
Could the sometimes-embattled SEC commissioner be on the way out?..
MutualFundWire.com - Thursday, September 27, 2012 Views
McNabb Says Vanguard's "Egalitarian," but Not Socialist
McNabb talks about the Swiss Army culture on the Vanguard ship...
MutualFundWire.com - Thursday, September 27, 2012 Views
Stocks Are No Longer the Belle of Fidelity's Ball
Equities are no longer the top asset class at the Boston Behemoth..
MutualFundWire.com - Thursday, September 27, 2012 Views
Rainier Names its New Head of International Investments
He hails from American Century...
MutualFundWire.com - Tuesday, September 27, 2011 Views - Reader Rating: 5
Vanguard Adds Six Admiral Shares
The low-cost mutual fund titan adds a new, cheaper share class to half a dozen offerings...
MutualFundWire.com - Tuesday, September 27, 2011 Views
A 401k Dealmaker Dies
A veteran industry mergers and acquisition consultant passes on...
401kWire.com - Tuesday, September 27, 2011 - Reader Rating: 1
Ameritas And a Long-time Client Renew Their Ties
It's 45 years and counting for Ameritas and.....
401kWire.com - Tuesday, September 27, 2011
Northern Trust Lures a Top iShares Exec
Updated | A new hire will lead sales and servicing for the Chitown firm's brand new ETF business...
MutualFundWire.com - Tuesday, September 27, 2011 Views
A 401k Tools Provider Targets Advisors and TPAs
An East Coast firm unveils a new version of its offering...
401kWire.com - Tuesday, September 27, 2011
Mutual of Omaha Hires in the Northeast
True to its words, the Nebraska-based plan provider is inching its way eastward..
401kWire.com - Tuesday, September 27, 2011 - Reader Rating: 3
NY Life Reorgs its Retirement Service Teams
The plan provider is segmenting its teams into core industry practices...
401kWire.com - Tuesday, September 27, 2011 - Reader Rating: 4
Abby Tops a Power List
American Banker releases its list of the 25 Most Powerful Women in Finance. Two of the women hail from Fidelity...
MutualFundWire.com - Tuesday, September 27, 2011 Views
It's the PMs' Way or the Highway
PMs are betting mostly on equities, whether their investors like it or not...
MutualFundWire.com - Tuesday, September 27, 2011 Views
Bluegrass State Legislators Visit Fidelity
The Boston Behemoth gives lawmakers a tour of a facility...
MutualFundWire.com - Tuesday, September 27, 2011 Views
Claymore Rebrands
Claymore has adopted the name of its acquirer...
MutualFundWire.com - Monday, September 27, 2010 Views
Ex-Newport Marketing Chief Lands a Five-Star Gig
The DC industry veteran moves on from the business...
401kWire.com - Monday, September 27, 2010 - Reader Rating: 2
A Retirement Plan Advisory Firm Puts Down More Roots Outside Boston
A pair of advisors and their administrative manager start a new branch for a retirement-focused shop...
401kWire.com - Monday, September 27, 2010 - Reader Rating: 1
Putnam Unveils a Trio of Funds
Bob Reynolds and co. have launched a batch of multi-cap equity funds...
MutualFundWire.com - Monday, September 27, 2010 Views
Sean Healey Loves a Trilogy
AMG acquires again, this time the target is an asset manager based in New York and Florida...
MutualFundWire.com - Monday, September 27, 2010 Views
Eaton Vance is Shutting a $7 Billion Fund to New Investors
The move will take effect at the close of business on Friday...
MutualFundWire.com - Monday, September 27, 2010 Views
A Texas Firm is Adopting GE's Retail Mutual Funds
Financial terms of the deal were not made public...
MutualFundWire.com - Monday, September 27, 2010 Views - Reader Rating: 5
Allen Moves Up at Transamerica
The Los Angeles-based plan provider boosts its sales team with a new promotion. ..
401kWire.com - Monday, September 27, 2010 - Reader Rating: 2
Hewitt Could Be in Aon's Hands as Early as Friday
Officials from both firms anticipate the deal to close early next month...
401kWire.com - Monday, September 27, 2010
Federated CEO's Wallet Remains Open for Deals
Chris Donahue, however, was mum on whether his firm is a bidder for Pioneer...
MutualFundWire.com - Monday, September 27, 2010 Views
Don't Worry If Your Bond Fund 'Only Moved Down a Notch'
The WSJ highlights a recent change in how Morningstar assesses average credit ratings for fixed income mutual funds...
MutualFundWire.com - Monday, September 27, 2010 Views
Deal Talks are 'Dead' Between a Fund Firm's Parent and a Spanish Bank
The WSJ reports that acquisition talks have stalled again...
MutualFundWire.com - Monday, September 27, 2010 Views
The First Neuberger-Lehman Art Auction Rakes in $12.3M
How did the sale at Sotheby's go for the Lehman estate?..
MutualFundWire.com - Monday, September 27, 2010 Views - Reader Rating: 1
Old Mutual Pulls the Plug on its ETFs
The London-based firm's ETFs succumb to 'prolonged volatile market' in the U.S. ..
MutualFundWire.com - Monday, September 27, 2010 Views
A Mutual Fund Player's Arrival on U.S. Shores
Attracts the WSJ's Attention

The WSJ says Mirae is launching six new emerging market funds today for U.S. investors. ..
MutualFundWire.com - Monday, September 27, 2010 Views
How Did McNabb Steer Vanguard Through His Baptism by Lehman Fire?
USA Today profiles the chief of the low-cost fund giant...
MutualFundWire.com - Monday, September 27, 2010 Views
First Eagle Loses Another Eveillard Successor
Charles de Lardemelle has followed Charles de Vaulx out the door at First Eagle...
MutualFundWire.com - Thursday, September 27, 2007 Views
Olstein Adds New SVP and Portfolio Manager
Olstein Capital Management has hired Richard Begun, 42, as senior vice president and portfolio manager of the Olstein All Cap Value Fund...
MutualFundWire.com - Thursday, September 27, 2007 Views
SSgA Blows Away the Competition in FRC's August Inflows Report
FRC has released their monthly fund flows for August and State Street Global Advisors is the big story...
MutualFundWire.com - Thursday, September 27, 2007 Views - Reader Rating: 3
Pax Makes Peace with a New Fund
Pax World Management, creator of the first socially responsible mutual fund, is adding another fund to its repertoire...
MutualFundWire.com - Thursday, September 27, 2007 Views
MyShares Banks on Wal-Mart for its new ETF
There continues to be no seeming limit as to what ETF providers can come up with as investment ideas...
MutualFundWire.com - Thursday, September 27, 2007 Views - Reader Rating: 5
DoL: Abandoned Plan Doesn't Scan
Another EBSA investigation leads the industry regulator to go after the owner of a now-defunct printing company. ..
401kWire.com - Thursday, September 27, 2007 - Reader Rating: 5
FESCo No More: Reorg Puts Scudder Vet On Top of Fido Retirement
Retirement services at the Boston Behemoth is part of an entirely new division, Personal and Workplace Investing, reporting directly to Abby. ..
401kWire.com - Thursday, September 27, 2007 - Reader Rating: 5
Invesmart Veteran Leaves the Standard for Local RIA
A Northwestern provider looks to replace its sale director as he moves to the other side of the plan table. ..
401kWire.com - Thursday, September 27, 2007 - Reader Rating: 4
Can Every DB Manager Fit Into DC?
A New England consulting firm examines institutional assets managers' prospects for gaining DC-business, particularly in the hot target date market. ..
401kWire.com - Thursday, September 27, 2007
Morgan Stanley Settles with FINRA for Using 9/11 to Cover Up E-Mails
FINRA has reached a settlement with Morgan Stanley & Co. to resolve charges involving the firm's former affiliate, Morgan Stanley DW, Inc...
MutualFundWire.com - Thursday, September 27, 2007 - Reader Rating: 3
EBRI Explores Changes in 401(k) Balances
In a new study, EBRI studies how 401(k) balances have changed over time and among different age groups...
401kWire.com - Thursday, September 27, 2007
SIFMA Chooses New Associate General Counsel
SIFMA has appointed Diana Preston as managing director and associate general counsel...
MutualFundWire.com - Thursday, September 27, 2007 - Reader Rating: 3
FINRA's Charges May Not Stick
A new study by Sutherland Asbill & Brennan finds that B-Ds who fight back against FINRA may have a fighting chance...
MutualFundWire.com - Thursday, September 27, 2007 - Reader Rating: 3
Rouse Wins NAGDCA Post
NAGDCA members vote the Fidelity vice president into NAGDCA's hierarchy...
401kWire.com - Thursday, September 27, 2007
Wells Fargo Sees Sponsors Shifting Defaults
A new survey from the bank's benefits consulting practice finds that more than two out of five employers expect to change defaults within the next year and a half, heading away from stable value and money markets. ..
401kWire.com - Thursday, September 27, 2007
Pyramis to Expand Institutional Long/Short Lineup
The success of its first long/short strategy has prompted Pyramis to make plans for more int he coming months...
MutualFundWire.com - Thursday, September 27, 2007 Views
U.S. Global Investors to Take Control of MegaTrends from Sub-Adviser
U.S. Global Investors will take over direct management of its U.S. Global Accolade MegaTrends Fund on October 1...
MutualFundWire.com - Thursday, September 27, 2007 Views
NYSE Arca Makes Index Switch
The NYSE Arca Tech 100 Index is making some renovations...
MutualFundWire.com - Thursday, September 27, 2007
SEC Settles with Brokers Charged with Manipulating Municipal Bond Market
The SEC has settled with two brokers regarding their actions in the municipal bond market...
MutualFundWire.com - Thursday, September 27, 2007 - Reader Rating: 3
Vanguard Uses Mutual Funds to Anchor its Retirement Income Products
Vanguard has come up with a retirement income solution that uses mutual funds...
MutualFundWire.com - Thursday, September 27, 2007 Views
Want Retirement Income? Try These Vanguard Mutual Funds!
The Keystone State giant unveils its own fund-of-funds approach to the retirement income problem. ..
401kWire.com - Thursday, September 27, 2007
Lawson Gives Abby Reign Over Fido's Fund Business
Rodger Lawson is asserting his presidential powers with a new re-organization at Fidelity..
MutualFundWire.com - Thursday, September 27, 2007 Views - Reader Rating: 2.83
Morningstar Sees Fido and Putnam Stewardship Slide
How well are mutual fund families serving their shareholders?..
MutualFundWire.com - Thursday, September 27, 2007 Views - Reader Rating: 3
401k Litigation Pioneer Questions Fees
Keller Rohrback was one of the first class action firms to jump on company stock. Now its key partner is putting together cases against plan sponsors who he claims allow excessive 401(k) fees...
401kWire.com - Wednesday, September 27, 2006 - Reader Rating: 4.5
Midwest TPA Adds Merrill Lynch Funds
The Kansas-based TPA has made Merrill Lynch mutual funds available on its platform...
401kWire.com - Wednesday, September 27, 2006 - Reader Rating: 5
Combs Confirms Resignation Talk
The EBSA chief confirms last week's report on 401kWire that she is leaving her post next month...
401kWire.com - Wednesday, September 27, 2006
Bisys Settlement Could be Tip of the Iceberg
Revenue sharing is getting another black eye with Bisys' settlement with the SEC of allegations that it assisted 27 fund firms in a scheme that diverted shareholder assets into the pockets of the fund advisors. In at least one case those funds were used to pay golf club membership fees and the salary of a fund firm president...
MutualFundWire.com - Wednesday, September 27, 2006 Views - Reader Rating: 3.09
Carolina RIA Branches Out to Sunshine State
The RIA has hired a Tampa-based industry vet...
401kWire.com - Wednesday, September 27, 2006 - Reader Rating: 3.5
Is Spitzer Miffed at Seligman for Fighting Back?
It was a little more than a year ago that Brian Zino and company at J. & W. Seligman decided to fight New York Attorney General Eliot Spitzer rather than roll over. Zino, the fund firm's president and CEO, was among those who sued Eliot Spitzer's office in Federal court in September 2005 claiming that he had overstepped his legal authority and had usurped powers rightly resting with Congress and the SEC...
MutualFundWire.com - Wednesday, September 27, 2006 Views - Reader Rating: 3
Ex-Amvescap Exec Jumps To ING
The last top Amvescap Retirement veteran has decamped Merrill Lynch's Princeton Retirement Group and moved to New England...
401kWire.com - Wednesday, September 27, 2006 - Reader Rating: 1
A Declining Rep Count at A.G. Edwards Begs Explanation
Could the super-regional BD's declining rep numbers be driven by a change in the firm's payout schedule?..
MutualFundWire.com - Wednesday, September 27, 2006 - Reader Rating: 3.17
Adoption Adds Two Billion Plus to NYLIM
New York Life Investment Management (NYLIM) has adopted a trio of funds from Institutional Capital LLC (ICAP) for its Mainstay family of mutual funds. The adoption brings NYLIM roughly $2.4 billion in fund assets for its distribution platform...
MutualFundWire.com - Wednesday, September 27, 2006 Views - Reader Rating: 5
Pershing Beefs Up FundVest
Brokerage firms tapping into the Pershing NTF platform will see a much broader line-up than they did before...
MutualFundWire.com - Wednesday, September 27, 2006
NASD Says NevWest Dropped the Money-Laundering Ball
The industry claims the Las Vegas BD failed to report some "red flags". ..
MutualFundWire.com - Wednesday, September 27, 2006
Merrill Elevates Two in Texas
The wirehouse behemoth appoints a branch complex director and anoints a regional managing director's heir...
MutualFundWire.com - Wednesday, September 27, 2006
Russell Woos Advisors With SMA Platform
Russell Investment Group has launched a managed account platform targeted at intermediaries. The Tacoma, Washington-based firm will offer its Managed Account Strategies (MAS) through both the Schwab Institutional distribution platform and Fidelity's Registered Investment Advisor Group. ..
MutualFundWire.com - Tuesday, September 27, 2005 Views
ProFunds Takes Bets Against Two Hot Sectors
ProFunds is adding two funds that seem to catch the latest investment waves, only it is targeting investors betting on a wipeout. The Bethesda, Maryland-based fund firm launched the Short Oil & Gas and Short Real Estate Sector Funds. As their name suggests, the two funds target the oil and real estate industries and both funds are betting stocks in those sectors will fall...
MutualFundWire.com - Tuesday, September 27, 2005 Views
Schwab Joins FundsNet and Other Marts
This week Charles Schwab is using its annual Impact advisors conference in Seattle to launch a number of high-profile initiatives, including a new branding campaign featuring "Chuck" and business management tools for advisors. What it is putting in a press release, though, may be of more interest to those in Seattle. It turns out that you can now find Schwab funds in the aisles of other supermarkets...
MutualFundWire.com - Tuesday, September 27, 2005 Views
Ameriprise CEO Talks to the Press
Jim Cracchiolo, CEO of Ameriprise Financial, sat down recently with the local paper (in his case the Minneapolis Star-Tribune) to discuss the firm's spin-off from American Express. The deal is set to be completed at the start of October, at which time the firm's mutual funds will also take the RiverSource name. Two questions during the interview touched on Ameriprise's fund business (see below)...
MutualFundWire.com - Tuesday, September 27, 2005 Views
Media Adds to Mario's Headache
A two-year-old suit is raising Mario Gabelli's profile ... and not in a good way...
MutualFundWire.com - Tuesday, September 27, 2005 Views
Will Vanguard Upset the SMA Pricing Apple Cart?
Vanguard has built it house on low prices, not it is working on a managed account service that promises to steeply undercut the rest of the market...
401kWire.com - Tuesday, September 27, 2005 - Reader Rating: 5
Bush Signs Katrina Relief Bill
The new law frees some 401k participants to take more loans and penalty-free distributions from plans...
401kWire.com - Tuesday, September 27, 2005 - Reader Rating: 5
SunGard STN Adds Fund Tools
The back-office firm has tapped tools from Delta Data to help those clearing funds track their data...
401kWire.com - Tuesday, September 27, 2005
The Devil Defines 401k
Is disenchantment with 401k plans now mainstream? The Nation seems to think so...
401kWire.com - Tuesday, September 27, 2005 - Reader Rating: 3
Boston Company, JPMorgan Land Subadvisory Contracts
AMR adds a fourth subadvisor to two of its funds...
MutualFundWire.com - Monday, September 27, 2004 Views - Reader Rating: 4
Pomeroy Picks Up NDCC Award
The Democrat from North Dakota is recognized for his work on pension legislation. ..
401kWire.com - Monday, September 27, 2004
D.C. Plan Sponsor Taken to Court
The DoL is suing a Washington, D.C.-based sponsor and its plan trustee...
401kWire.com - Monday, September 27, 2004
More Reasons to Save
Aon explains why defined contribution plans are self-reinforcing...
401kWire.com - Monday, September 27, 2004
Where, Oh Where Are My 401(k) Assets?
Automatic rollovers become automatic...
401kWire.com - Monday, September 27, 2004
DoL Spells Out DC Plan Rights for Participants
The DoL has proposed a rule to make clear the rights of returning service members for their retirement plans...
401kWire.com - Monday, September 27, 2004
Fair Funds, or Not Fair Funds
If you thought that it will be years before fund shareholder victims of market timing and late trading see restitution, well ... take a cigar. The payments are going through the Sarbanes-Oxley fair funds process and will not be in the mail soon. Those who want to know more should take a look at this article by L.A. Times Staff Writer Jonathan Peterson. ..
MutualFundWire.com - Monday, September 27, 2004
MStar Revamps in Response to SEC
There is more coming out of Morningstar about its problem with the SEC. The WSJ is implying that Morningstar did not follow the same open course it is requiring fund firms to follow (the pot calling the kettle black?). Meanwhile, Joe Mansueto expresses his surprise that the SEC is so interested in a mistake in just one of 10,000 products tracked by the fund firm. ..
MutualFundWire.com - Monday, September 27, 2004 Views
Lazard Insiders Will Get a Big Pay Day
Bruce Wasserstein is planning to take Lazard public and buy out Chairman Michel David-Weill reported papers Monday. The former deal-maker from First Boston has been quietly negotiating a deal with David-Weill for months, reported the WSJ. On Friday, the pair revealed their plans for an IPO to their partners in a special meeting in Rock Center, according to the paper. ..
MutualFundWire.com - Monday, September 27, 2004 Views
What Motivates the SEC?
Is the SEC attempting to empire build with its calls to regulate the hedge fund industry? That is what the WSJ argues in an opinion piece Monday. The article also warns that private equity funds and venture capitalists would be next if hedge funds fall under SEC oversight. ..
MutualFundWire.com - Monday, September 27, 2004 Views
Bogle Flip Flop Pays Big Time
Vanguard founder Jack Bogle was against index funds before he was for them. It is a good thing for him and Vanguard shareholders that he had a change of heart (before he had his change of heart). A Santa Clara University professor has fingered Bogle as the fund industry executive who penned the case against index funds in a rebuttal to a 1960 Financial Analysts Journal article...
MutualFundWire.com - Monday, September 27, 2004 Views
Is Marsico Safe From Cuts?
The Marsico and Acorn families will not be broken up, but that will not be the case for the other funds in Columbia and NationsFunds. The latest speculation is that another 38 funds could disappear as Fleet is absorbed into Bank of America. While the two banks have not announced any plans for their funds, Financial Research Corp. told the Boston Herald which funds are likely to go. ..
MutualFundWire.com - Monday, September 27, 2004 Views
Sponsor Wins Deferral-Timing Suit
The failing sponsor was within its rights to delay plan contributions a court rules...
401kWire.com - Friday, September 27, 2002
NYLIM Narrows its Sights
Though the insurer remains focused on 401k, it has shaken up its mid-market distribution to best exploit its strengths...
401kWire.com - Friday, September 27, 2002
States Adopting Blue Sky Tools
So far, eight states and the District of Columbia are using the free service from ABD...
MutualFundWire.com - Friday, September 27, 2002 Views
Provider Looks to Wireless Apps
Lincoln Financial credits acquisition for product enhancements and strategic inspiration...
401kWire.com - Friday, September 27, 2002
Deutsche Bank Sells Passive Unit
Northern Trust buys the $120 billion Deutsche Bank indexing unit...
401kWire.com - Friday, September 27, 2002
Deutsche Sells Passive Unit
Northern Trust buys the $120 billion Deutsche Bank indexing unit...
MutualFundWire.com - Friday, September 27, 2002 Views
American Skandia Dumps Janus
Goldman Sachs wins one of the largest sub-advisory mandates of this year...
MutualFundWire.com - Friday, September 27, 2002 Views
DAC Hire Service Exec
The Alabama-based administrator has taken an exec from CNA to head its customer service. ..
401kWire.com - Thursday, September 27, 2001 - Reader Rating: 3
Stein Roe Goes to High School
The fund firm is expanding the successful essay contest which builds awareness of its Young Investors fund. ..
MutualFundWire.com - Thursday, September 27, 2001 - Reader Rating: 3
mPower Exec Predicts Calm
The 401k advisory firm shares its reaction to Sept. 11 and the behavior of participants since then. ..
401kWire.com - Thursday, September 27, 2001 - Reader Rating: 3
Keeping Your Eyes Open for Opportunities
What are the secrets advisors can use to successfully market their service? Martin Baird shares some secrets...
MutualFundWire.com - Wednesday, September 27, 2000 Views - Reader Rating: 3
"Lets Get Reaaaady to Rummmble"
Like a World Wrestling Federation match of titans, data aggregation vendors recently gathered in Washington, DC to flex their muscles and strut their stuff. Part 1 of a report from our man at ringside...
401kWire.com - Wednesday, September 27, 2000 - Reader Rating: 3
SSB Launches Fund
Salomon Smith Barney's newest offering for its broker force to push will exploit the firm's technical analysis skills...
MutualFundWire.com - Wednesday, September 27, 2000 - Reader Rating: 3
IFS Taps VP for TA Biz
The fund services company has named a Bisys vet to head its transfer agency services...
MutualFundWire.com - Wednesday, September 27, 2000 Views - Reader Rating: 3
Upgrade Includes Wireless Module
TrustMark announced the next version of its recordkeeping software at its recent users meeting. Included in the package is a new wireless module...
401kWire.com - Wednesday, September 27, 2000 - Reader Rating: 3
September 27, 2000
Fidelity's Performance Returns to Earth, Sales Plummet, Marketing Exec Blames Misspent Ad Dollars ... More on Cap Gains...
MutualFundWire.com - Wednesday, September 27, 2000 - Reader Rating: 3
September 27, 2000
Fidelity's Performance Returns to Earth, Sales Plummet, Marketing Exec Blames Misspent Ad Dollars ... More on Cap Gains...
401kWire.com - Wednesday, September 27, 2000 - Reader Rating: 3
Oppenheimer Debuts Stable Value Fund
Oppenheimer is launching a fund of funds that will allow retirement plan participants to have the stability of a NAV money market with high returns...
401kWire.com - Monday, September 27, 1999 - Reader Rating: 3
Delaware Names CIO
Delaware Investment Advisers continues to redefine its upper management with its recently hired president of DIA given the added title of CIO of equity investments...
MutualFundWire.com - Monday, September 27, 1999 - Reader Rating: 3
The Best Ed Packages
What is the state of the art in participant education? The Signature Awards, given at the Profit Sharing/401(k) Council's Annual Meeting last week in San Diego provide some of the answers...
401kWire.com - Monday, September 27, 1999 - Reader Rating: 3
Odd Lots, September 27, 1999
Jacobs adjusts fund fees ... Neuberger's now or never IPO...
MutualFundWire.com - Monday, September 27, 1999 Views - Reader Rating: 3
H&R Block Chooses MoneyStar
The giant tax preparer H&R Block is allying with Austin's MoneyStar for fund information and distribution to support its move to a broader financial services strategy, hot on the heels of its acquisition of Olde Financial...
MutualFundWire.com - Monday, September 27, 1999 Views - Reader Rating: 3
TAG On: Investment Policies
Many plan sponsors are running a plan without a written investment policy. Is this a good idea? Is this even allowed?..
401kWire.com - Monday, September 27, 1999 - Reader Rating: 3
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