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News Stories Archives - Since 1998
A Repeat McKinsey Alum Joins Victory
The new hire joins the publicly traded multiboutique's direct investor business...
MutualFundWire.com - Friday, November 26, 2021
From 40 People to 70-Plus By Mid-2022
A recordkeeper startup's U.S. chief talks to 401kWire about his expansion plans...
401kWire.com - Friday, November 26, 2021
Four RKers Win Big In Colorado
The firms are among those recognized as being the state's most community-minded companies...
401kWire.com - Friday, November 26, 2021 - Reader Rating: 2
Six Years, Nine Funds, $1B AUM
A faith-based fund firm's team celebrates a milestone...
MutualFundWire.com - Friday, November 26, 2021
ESG In 401k Managed Accounts? Two Firms Team Up
They've been in talks since early this year...
401kWire.com - Friday, November 26, 2021
U.S. Bancorp Sells Quasar
An acquisitive, PE-backed rival buys the third-party mutual fund and ETF distribution shop...
MutualFundWire.com - Tuesday, November 26, 2019 Views
DCIIA Calls For Nominations For New Awards
Lew Minsky and his team have launched a pair of new awards and are looking for nominations...
401kWire.com - Tuesday, November 26, 2019
Near Chi-Town, a Standard Alum Joins a KPA Team
The exec spent six years at the Standard and more than 15 at OneAmerica...
401kWire.com - Tuesday, November 26, 2019
An RKer Doubles Down In Braintree
A provider's parent renovated more than 17,000 square feet of office in a Boston suburb...
401kWire.com - Tuesday, November 26, 2019 - Reader Rating: 5
Schwab Gobbles a Rival Supermarket. Now What, Fundsters?
The revelation of the deal comes less than two months after both firms eliminated trading commissions on ETFs, options, and stocks...
MutualFundWire.com - Tuesday, November 26, 2019 Views
WiPN's 2020 Board Will Include...
They also recently hit a member count of 1,100...
401kWire.com - Tuesday, November 26, 2019
What to Make of Auto-Portability
DC industry insiders weigh in on the DoL's two moves to support roll-ins...
401kWire.com - Monday, November 26, 2018 - Reader Rating: 4
A FundFire Vet Takes an Asset Management Beat
An NYU alumna joins a trade pub's NY office...
MutualFundWire.com - Monday, November 26, 2018 Views
October Outflows Surpassed September Inflows
M* updates October 2018 flows data for ETFs and long-term, open-end mutual funds...
MutualFundWire.com - Monday, November 26, 2018 Views
An 11-Year Principal Vet Departs
A retirement services director leaves Principal Financial Group...
401kWire.com - Monday, November 26, 2018 - Reader Rating: 5
Case of the Week: Sham Termination of Employment
ERISA consultants at the Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs, qualified retirement plans and other types of retirement savings plans, including nonqualified plans. We bring Case of the Week to you to highlight the most relevant topics affecting your business...
401kWire.com - Monday, November 26, 2018
Week In Preview, November 26-December 2
This week the team at Strategic Insight is hosting two events...
401kWire.com - Monday, November 26, 2018
Week In Preview, November 26-December 2
This week the teams at FIASI and ImpactShares are hosting events...
MutualFundWire.com - Monday, November 26, 2018 Views
Principal is Making Changes at the Top
Updated | The retirement, insurance and financial services chief at the Midwestern insurer is now president and COO of the whole company...
401kWire.com - Wednesday, November 26, 2014 - Reader Rating: 4
PBGC Gets Friendlier With 401k Rollovers
Updated | The DB industry's backup is trying to make rolling DC money into a DB more palatable...
401kWire.com - Wednesday, November 26, 2014
An Illinois RPAG Member Likes NFP as His New B-D
Swip, swap, swoop. A 401(k) plan advisor now uses NFP Advisor Services as his broker-dealer.....
401kWire.com - Wednesday, November 26, 2014
Pioneer's Jones Is Getting a New Boss
Pierri's out, even as Santander and Pioneer parent UniCredit work on a deal...
MutualFundWire.com - Wednesday, November 26, 2014 Views
Patrick Murphy Faces Down Auto-Enroll Accusations
...from an academic institution. ..
401kWire.com - Tuesday, November 26, 2013 - Reader Rating: 5
Self Employment Sinks Retirement Savings
Those who are self-employed stash away less cash than those with traditional employment, a survey finds. ..
401kWire.com - Tuesday, November 26, 2013
SEC Accuses Another Money Fund Shop of Fraud
The regulatory agency attacks a Midwestern money market mutual fund shop over its defunct fund...
MutualFundWire.com - Tuesday, November 26, 2013 Views
A New England 401k RIA Names a Principal and Promotes 5 Others
A $28 billion AUA shop elevates six of its own...
401kWire.com - Tuesday, November 26, 2013 - Reader Rating: 1.5
Advisors Love Their DFA and J.P. Morgan Wholesalers
kasina digs again into the minds of advisors, especially the parts thinking about mutual fund shops...
MutualFundWire.com - Tuesday, November 26, 2013 Views
A $5.5B Eaton Vance Team Replaces Two PMs
One PM is retiring and another is focusing on other equity PMing duties...
MutualFundWire.com - Tuesday, November 26, 2013 Views
Bond Fund PMs, M* Is Warning Investors About You
A senior fund analyst at the Chitown mutual fund ratings giant details "red flags" to avoid in bond mutual funds...
MutualFundWire.com - Tuesday, November 26, 2013 Views
529 Fees and American Drivers Worry Rekenthaler
The M* guru returns from across the pond...
MutualFundWire.com - Tuesday, November 26, 2013 Views
Hedgers Love to Short ETFs. And How!
ValueWalk and ETF Trends detail just how much hedge funds like to sell ETFs short...
MutualFundWire.com - Tuesday, November 26, 2013 Views
Schaus Puts a Pimco Insider on a New RealPath
The fixed income titan's institutional DC I-O chief promotes an exec into a new role focused on asset allocators...
401kWire.com - Tuesday, November 26, 2013
Schroders Makes Its Case Across the Pond
The British investment firm showcases PMs during a NYC press event...
MutualFundWire.com - Monday, November 26, 2012 Views
A Doughnut Chain Cuts Out a DC Option
The company has decided to stop offering company stock through its plan...
401kWire.com - Monday, November 26, 2012 - Reader Rating: 2
Graff Fights Threats to 401k Tax Deductions
A new site is up, looking to get Congress not to eliminate the retirement tax deduction...
401kWire.com - Monday, November 26, 2012 - Reader Rating: 1
Bob Doll Returns
The former chief equity strategist at BlackRock takes a top post with another mutual fund shop...
MutualFundWire.com - Monday, November 26, 2012 Views
A Forbes Columnist Blasts a Big Plan Sponsor
Contributor Ed Siedle takes a $1 billion plan to task...
401kWire.com - Monday, November 26, 2012 - Reader Rating: 4
Obama Picks a New SEC Chief
As the current SEC Chairman prepares to depart, the reelected U.S. President names his choice to take over the regulatory agency...
MutualFundWire.com - Monday, November 26, 2012 Views - Reader Rating: 5
No Surprise, Schapiro Steps Aside
After months of public speculation about her fate, the chairman of the SEC will step down before U.S. President Barack Obama starts his second term...
MutualFundWire.com - Monday, November 26, 2012 Views
Guardian Gets Personal
The RKer's new website looks to personalize retirement planning...
401kWire.com - Monday, November 26, 2012
Knight's Taking Bids on Its Market-Making Unit
Or so the Wall Street Journal, Bloomberg, Reuters, and the AP report...
MutualFundWire.com - Monday, November 26, 2012 Views
Gross Wins ETF Praise
Two media-types have spoken kindly of his ETF product...
MutualFundWire.com - Monday, November 26, 2012 Views
A Fidelity Team Selects the Limelight
InvestmentNews says sector funds are ready for spotlight...
MutualFundWire.com - Monday, November 26, 2012 Views
Will Index Mutual Funds Beat Hedge Funds, Too?
CNBC talks alts' performance woes...
MutualFundWire.com - Monday, November 26, 2012 Views
DST May Sell Off Assets
A Barron's article looks at the possibility of the firm selling non-core investments...
MutualFundWire.com - Monday, November 26, 2012 Views
Berkowitz Is Making a Comeback
Fairholme garners 37-percent gains with same stocks that stuck the firm in 2011...
MutualFundWire.com - Monday, November 26, 2012 Views
Is Matrix the Cinderella of the 401k Biz?
What does the $201 million deal with Broadridge mean for Matrix, its sister Bluff Point companies and the rest of the defined contribution industry?..
401kWire.com - Friday, November 26, 2010 - Reader Rating: 5
Putnam Searches for Two Wholesalers
The plan provider is looking to boost its retirement sales force. ..
401kWire.com - Friday, November 26, 2010
Millenium Makes a New Sales Hire
The solo 401k custodian is boosting its sales staff...
401kWire.com - Friday, November 26, 2010
Transamerica Seeks West Coast Wholesaler
The west Coast plan provider is looking for a wholesaler...
401kWire.com - Friday, November 26, 2010 - Reader Rating: 1
Fair or Not, Insider Trading's Touch Can Taint
There is no evidence that any mutual fund firm tried to use insider info, but that is not stopping media reports from tying the industry to hedge funds' alleged malfeasance...
MutualFundWire.com - Friday, November 26, 2010 Views - Reader Rating: 5
Bogle Says 'Even Berkowitz Might Run Into Trouble'
The founder of Vanguard talks to the AP...
MutualFundWire.com - Friday, November 26, 2010 Views - Reader Rating: 1
Lange Worries Over His 'Weak Stock Selection' for Magellan
The PM of the giant Fidelity mutual fund sends a letter to shareholders about the past six months...
MutualFundWire.com - Friday, November 26, 2010 Views
Investors Flee Muni Bond Funds
Last week's fears of higher interest rates made for a flights to safety for bond fund investors...
MutualFundWire.com - Friday, November 26, 2010 Views
Happy Thanksgiving!
The 401kWire will return on Friday...
401kWire.com - Thursday, November 26, 2009
A Plan Provider Plans to Promote Itself More in 2009
The provider will spend more on advertising next year than it had in the last couple of years...
401kWire.com - Wednesday, November 26, 2008 - Reader Rating: 5
GEAM Ups 'Strategic Focus on DC,' Wins 4 Mandates
A sales exec at the traditionally DB-focused asset manager puts two new hires in the light of a change in orientation for his unit...
401kWire.com - Wednesday, November 26, 2008
Reserve: Fund Broke the Buck Five Hours Earlier
The money fund pioneers now say their flagship offering saw its NAV dip earlier then previously thought...
MutualFundWire.com - Wednesday, November 26, 2008 Views
An Analyst Slashes His Rating on Legg Mason Stock
A Friedman, Billings, Ramsey & Co. analyst cut his rating on Legg Mason stock owing to concerns over the Baltimore firm's exposure to SIVs...
MutualFundWire.com - Wednesday, November 26, 2008 Views
AUM Falls 24 Percent Year-Over-Year at Eaton Vance
Earnings at the closed-end fund specialist stayed positive in its most recent quarter...
MutualFundWire.com - Wednesday, November 26, 2008 Views
WSJ Spotlights Year of Pain for Mutual Funds
Sam Mamudi devotes Wednesday's Wall Street Journal Fund Track to the plunge in mutual fund AUM...
MutualFundWire.com - Wednesday, November 26, 2008 Views
Obama Mulls Over His DoL Picks
With his economic team in place, Barack Obama is expected to turn to the Labor Department in the coming days. His committee to look at nominees is already in place. George Miller says "Don't pick me."..
401kWire.com - Wednesday, November 26, 2008 - Reader Rating: 3
Axa DC Exec Moves On
The exec at the helm of Axa's small to mid-sized 401k business has left the firm and there's no word yet on his replacement...
401kWire.com - Monday, November 26, 2007 - Reader Rating: 3.33
GLD Makes Tracks for the NYSE Arca
Yet another ETF is packing up and making to the move to the NYSE Arca...
MutualFundWire.com - Monday, November 26, 2007 Views
DoL to Conduct PPA Webcast
The Department of Labor will host a Webcast on the PPA next week...
401kWire.com - Monday, November 26, 2007
Report: Citi Planning Another Swing of the Axe
Citigroup may be planning to broaden job cuts after a tumultuous quarter...
MutualFundWire.com - Monday, November 26, 2007 - Reader Rating: 3
Jumbo Sponsor Plugs into New Stable Value Manager
A Golden State firm moves its capital preservation option into new hands. ..
401kWire.com - Monday, November 26, 2007
Zecco Intros Upgraded Options Trading Tools
The online broker is upgrading its toolkit...
MutualFundWire.com - Monday, November 26, 2007 - Reader Rating: 2.33
Wachovia Gives Recruiters a Raise, With a Catch
In an attempt to stop broker attrition from it's newly acquired firm, A.G. Edwards, Wachovia is making recruiters an unprecedented offer...
MutualFundWire.com - Monday, November 26, 2007 - Reader Rating: 3
A West Coast Provider Pushes Back its IPO Plans
Company officials decided earlier this month to postpone the firm's IPO, pointing to market conditions...
401kWire.com - Monday, November 26, 2007
Diversified Sees Auto Plans On the Rise
The Empire State provider says almost two-thirds of plan sponsors used or added automatic enrollment this year...
401kWire.com - Monday, November 26, 2007
SEC Names New Director of Exemptive Applications
ETF providers have a new point person at the SEC...
MutualFundWire.com - Monday, November 26, 2007 Views
Claymore to Move "Luxury" ETF to the NYSE Arca
The Claymore/Robb Report Global Luxury Index ETF will be moved from the NYSE platform to the NYSE Arca platform...
MutualFundWire.com - Monday, November 26, 2007 Views
Bowne & Co Names New CIO
The Big Apple-based marketing communications firm has appointed Elaine Beitler to the position of senior vice president of manufacturing, business integration and chief information officer...
MutualFundWire.com - Monday, November 26, 2007 Views
A Midwest Bank Eyes Late '08 for the Launch of a Retirement Income Offering
The bank is also planning to unveil an integrated auto program in the first quarter of next year...
401kWire.com - Monday, November 26, 2007
NFP Hires NYLIFE Alum for Presidential Duties
National Financial Partners has appointed a president and COO...
MutualFundWire.com - Monday, November 26, 2007 - Reader Rating: 3
Hancock's Proposal Tool Impresses the Techies
John Hancock Funds' 'proposal builder' tool has garnered notice from the Massachusetts Innovation & Technology Exchange...
MutualFundWire.com - Monday, November 26, 2007 Views
Vanguard Taps Xerox Exec for Board Seats
Emerson Fullwood has been elected to Vanguard's board of directors and to the board of trustees for each of Vanguard's mutual funds...
MutualFundWire.com - Monday, November 26, 2007 Views
Russell Readies Retirement Income Funds
The Tacoma, Washington-based firm has joined the retirement income mutual fund game, filing to launch three funds...
MutualFundWire.com - Monday, November 26, 2007 Views - Reader Rating: 3.5
Supremes Hear 401k Disobedience Suit
UPDATED| What happens if a plan sponsor doesn't follow a participant's instructions? The highest court in the land listens to arguments from both sides of this dispute...
401kWire.com - Monday, November 26, 2007
Fund Outflows Trigger a Lawsuit for Pzena
A shareholder has sued New-York-based Pzena Investment Management, claiming that the company failed to disclose big outflows in a fund it sub-advised when it filed for an IPO last month...
MutualFundWire.com - Monday, November 26, 2007 Views
Fido's Institutional Clients Respond to Moody's Concerns
Ross Kerber spent his Thanksgiving holiday talking to Fidelity's institutional clients about Moody's Investor's Services' report earlier this month...
MutualFundWire.com - Monday, November 26, 2007 Views
Fund Firms Push for Change in Tax Treatment of ETNs
The mutual fund industry is unhappy over the tax treatment of exchange-traded notes, arguing that the current treatment gives ETNs an unfair advantage over mutual funds...
MutualFundWire.com - Monday, November 26, 2007 Views - Reader Rating: 2
STC TPAs Face Hurdles
Firms faced with moving clients en masse. So far their biggest problems are with fund firms not STC...
401kWire.com - Wednesday, November 26, 2003 - Reader Rating: 5
Masschusetts Goes After Morgan Stanley
Regulators say a the actions of a manager were unethical...
MutualFundWire.com - Wednesday, November 26, 2003 Views
Federated Releases Details
Pittsburgh-based fund firm states its case on timing and late trading at the firm...
MutualFundWire.com - Wednesday, November 26, 2003
Putnam Ends Directed Commissions
The board of the funds puts an end to a now controversial practice...
MutualFundWire.com - Wednesday, November 26, 2003 - Reader Rating: 4.5
What is Going on in the Citi?
Citigroup officials face sleepless nights as the U.S. Attorney opens a probe with a new wrinkle...
MutualFundWire.com - Wednesday, November 26, 2003 - Reader Rating: 3
Goodyear Suspends Match
Another plan sponsor cuts back on its matching payment...
401kWire.com - Tuesday, November 26, 2002 - Reader Rating: 3.5
UBS Lands JP Morgan Vet as Sales Head
The new hire will head sales and marketing. Also, NYLIM Retirement lands a second UBS sales executive...
MutualFundWire.com - Tuesday, November 26, 2002 Views - Reader Rating: 2
Mess Elected PSCA Chair
The Proctor & Gamble employee replaces Karen Barnes of McDonalds as the Chair of the Council...
401kWire.com - Tuesday, November 26, 2002
UAL Shares Fall as ESOP Sells
The State Street managed fund will sell another 12 million shares...
401kWire.com - Tuesday, November 26, 2002
NYLIM Names Sales Head
The firm lands a heavy hitter whose resume includes a stint at Citi to head its sales efforts...
401kWire.com - Tuesday, November 26, 2002 - Reader Rating: 3
CNA Promotes GIC Head
The firm has promoted an executive to head its guaranteed products unit...
401kWire.com - Tuesday, November 26, 2002
Markets, Not Investors, Drove Fund Assets Up In October
The ICI reports fund assets grow $174 billion last month but that investors continued to liquidate equity fund holdings...
MutualFundWire.com - Tuesday, November 26, 2002 Views
Seeking Employment? Try Alternatives not Funds
A recruiter says the mutual fund and defined contribution sectors are cold. Look in alternatives and wealth management instead...
MutualFundWire.com - Tuesday, November 26, 2002 Views - Reader Rating: 3
Pimco Parent May Spin Asset Unit Off
The parent to Pimco Funds is reportedly reevaluating its efforts in the asset management business...
MutualFundWire.com - Tuesday, November 26, 2002 Views
Tough Love at AOL
Employees need to get over 401k plan losses or move on says CEO Parsons...
401kWire.com - Tuesday, November 26, 2002 - Reader Rating: 3
Weiss & Assoc Adds CFO
The Baltimore-based firm creates the post in response to its growing business focused around the NSCC DCC&S standard...
401kWire.com - Tuesday, November 26, 2002 - Reader Rating: 3
Atlanta TPA Readies Daily Product
The firm has tapped a trustee and is seeking a sales person for a product set for launch in 2003...
401kWire.com - Tuesday, November 26, 2002 - Reader Rating: 3.5
Web Platform from FundQuest
The firm is making a push to serve companies in the managed account space...
MutualFundWire.com - Monday, November 26, 2001 Views - Reader Rating: 3
NewRiver Looks North
NewRiver has signed TD Waterhouse Canada for its Prospectus Express...
MutualFundWire.com - Monday, November 26, 2001 - Reader Rating: 3
Sun Shines on Union Bank
A $300 million plan has chosen the vendor...
401kWire.com - Monday, November 26, 2001 - Reader Rating: 3
Enron Redux
There is another lawsuit against the Houston energy concern over loss of assets in the 401k plan...
401kWire.com - Monday, November 26, 2001 - Reader Rating: 3
Pink Slips in Singapore
Mother Merrill Lays-Off ... E*Trade Kick-Off ... Brooks Brothers Sold...
401kWire.com - Monday, November 26, 2001 - Reader Rating: 3
Pink Slips in Singapore
Mother Merrill Lays-Off ... E*Trade Kick-Off ... Brooks Brothers Sold...
MutualFundWire.com - Monday, November 26, 2001 - Reader Rating: 3
Cutting the Wire
Prudential Retirement Services is cutting the wire. The Newark, New Jersey-based company said it is making itself more accessible for people who are mobile and on the go by offering wireless access to 401(k), 403(b) and 457 retirement plan information for users ofthe Palm VII organizer...
401kWire.com - Friday, November 26, 1999 - Reader Rating: 3
Trust Info Made Easy
Chicago, Illinois-headquartered Business Logic has launched a new information solution called Net-Trust. Net-Trust is intended to be a single integrated information delivery vehicle encompassing trust and custody, investment management, accounting and reporting. With Net-Worth, trust customers, portfolio managers and trust officers can access and analyze account data via the Internet...
401kWire.com - Friday, November 26, 1999 - Reader Rating: 3
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