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News Stories Archives - Since 1998
A Holding Co Buys Into a 12-Fund Shop and Keeps Hunting
The deal offers the holding company, traditionally a backer of institutional asset managers, an advisor-sold distribution platform...
MutualFundWire.com - Friday, August 07, 2020
19 Years In, a Senior Aon Hewitt Vet Exits Alight
The exec has been in Georgia...
401kWire.com - Friday, August 07, 2020
Pre-Merger, a Retirement Chief Exits After 32 Years
He also led a trust company...
401kWire.com - Friday, August 07, 2020
WFH Until 2021? These Fundsters Can Choose
A multinational asset manager is reportedly letting its employees choose whether or not to come into the office for the rest of the year...
MutualFundWire.com - Friday, August 07, 2020
An Oil Giant Will Suspend Its Match
The change is scheduled to take effect on October 1...
401kWire.com - Friday, August 07, 2020
For Up to $50MM, a Gotham Shop Sells Off a Piece
A publicly traded Canadian firm agrees to buy part of a New York fund firm...
MutualFundWire.com - Wednesday, August 07, 2019 Views
Where an Acquisitive RKer Is Hunting Next
Watch for this chief to add to his sales team, too...
401kWire.com - Wednesday, August 07, 2019
A Digital 401k Provider Raises $15.4 Million
The Californian startup also added a board member...
401kWire.com - Wednesday, August 07, 2019
A $17B 401k Plan Sponsor Links In Student Loans
Another firm is connecting student loan repayment and retirement savings benefits...
401kWire.com - Wednesday, August 07, 2019
Will a Multiboutique Sell This $19B Shop?
The asset manager is reportedly exploring unloading its majority stake in one of its many affiliates...
MutualFundWire.com - Wednesday, August 07, 2019 Views
Retirement Plan Participation Rates Increase With Age
ICI's recent report shows which employee demographic is most likely to participate..
401kWire.com - Wednesday, August 07, 2019
Richard Bernstein Takes the Lead Proportionately
Meanwhile, Vanguard continues to dominate this niche, too (on an absolute basis)...
MutualFundWire.com - Tuesday, August 07, 2018 Views
A Nationwide Wholesaler Switches to Advising
After five years of wholesaling, it was time to settle down..
401kWire.com - Tuesday, August 07, 2018 - Reader Rating: 1.67
Two MassMutual Alums Join Transamerica
Updated | The new hires will cover Kansas, Kentucky, Missouri, and the Cincinnati area...
401kWire.com - Tuesday, August 07, 2018 - Reader Rating: 4
A $78.7B Shop's Distro Chief Plans Channel Diversification
Watch for a B-D's asset management team to push further into the DC I-O, institutional, insurance and RIA channels...
MutualFundWire.com - Tuesday, August 07, 2018 Views
Voya Retirement Has a Record Quarter, Despite Stable Value Outflows
The bundled provider's earnings more than quintupled year-over-year. And Charlie Nelson's boss leaves the door open to more M&A...
401kWire.com - Tuesday, August 07, 2018 - Reader Rating: 3.75
Prescott Finds a Philanthropic Home
After working in the industry for 24 years this RK exec continues to serve... ..
401kWire.com - Monday, August 07, 2017
A Utah Fund Firm Shutters
The five-year-old shop also liquidated its sole mutual fund...
MutualFundWire.com - Monday, August 07, 2017 Views
An Ohio KPA Hunts For New Opps
An executive who formerly worked at an advisory shop is on the hunt for new opportunity. ..
401kWire.com - Monday, August 07, 2017
Another 401(k) Stock Drop Suit Burns Out
The original complaint was filed in 2015 over the decision to keep company stock in the $546 million 401(k) plan. ..
401kWire.com - Monday, August 07, 2017
Filings for Fundsters - August 7, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Monday, August 07, 2017 Views
Fi360 to Launch Another 401k Tool
The launch of their newest product fuels an RKer search, too.....
401kWire.com - Monday, August 07, 2017
Week In Preview, August 7-13
Retirement plan industry insiders are working out in Beantown and fundsters are networking in Gotham. And a big 401(k) industry conference is just around the corner...
MutualFundWire.com - Monday, August 07, 2017 Views
$115 Million Plan Signals 2016 RFP
An Illinois-based manufacturer will be conducting an RKer RFP next year. ..
401kWire.com - Friday, August 07, 2015 - Reader Rating: 1
Who Rakes In the Most Flows Per Fund? The Answer Won't Surprise You
With help from the M* folks, MFWire looks at mutual fund flows from a different angle...
MutualFundWire.com - Friday, August 07, 2015 Views
A $109.2B Shop's Co-Founder Passes On Another Hat
A Midwestern mutual fund firm takes another step in its long-term succession plan...
MutualFundWire.com - Friday, August 07, 2015 Views
The EBSApocalypse Begins: Part I
Are you ready to testify? ..
401kWire.com - Friday, August 07, 2015
Cambridge Unleashes New Online Tool For KPAs
Cambridge Investment Research, Inc. has launched its new online retirement resource for advisors...
401kWire.com - Friday, August 07, 2015
Don't Blame the Intermediaries
Mutual fund whisperer John Rekenthaler ponders how consultants and other intermediaries impact established fundsters' performance...
MutualFundWire.com - Friday, August 07, 2015 Views
An RIA in Kentucky Aligns With RayJay
A Prospect, Kentucky-based RIA just aligned with RayJay...
401kWire.com - Friday, August 07, 2015
Getting a GRP on the Financial Telesis Deal
Advisors like you continue to react to Bill Chetney's latest deal...
401kWire.com - Thursday, August 07, 2014
After Realigning Wells Fargo's 401k Sales, Murray Makes Two Top Hires
The bundled provider welcomes a new large market sales chief and a new director of business development...
401kWire.com - Thursday, August 07, 2014 - Reader Rating: 2.33
Capital Group Bolsters Distro Leadership
The Los Angeles-based asset manager bolsters is distribution ranks...
MutualFundWire.com - Thursday, August 07, 2014 Views
An NY Media Executive Buys the Parent of MME
After ten years of owning the media property, Investcorp finally finds a buyer for SourceMedia, which also owns American Banker, Bond Buyer, and other publications...
MutualFundWire.com - Thursday, August 07, 2014 Views
Hancock's Slotwinski Rises to Prez of a Trade Group
The TPA services chief at the RKer takes a top spot...
401kWire.com - Thursday, August 07, 2014
A Pennsylvania KPA Shop Aligns With Pensionmark
The Wexford, Pennsylvania-based shop also changed broker-dealers.....
401kWire.com - Thursday, August 07, 2014
Rekenthaler Predicts a Bleak Future for Active Funds
The intrepid Morningstar columnist channels his inner Coleridge and declares that active managers are on the periphery...
MutualFundWire.com - Thursday, August 07, 2014 Views
Epiphany Funds Invites Shareholders to Vote on Reorganization
Epiphany Funds [profile] filed an invitation for the shareholders of the Dana Large Cap Core Fund to meet onOctober 22, 2013, at 10:00 a.m. Central Time, at the offices of the Valued Advisers Trust and its investment adviser . At the meeting, the shareholders are to vote on a plan of reorganization, the plan being that the Dana Large Cap Core Fund will reorganize into the Dana Large Cap Equity Fund [SEC Filing]. ..
MutualFundWire.com - Wednesday, August 07, 2013 Views
Madison Funds Merges Funds
Madison Funds has has approved the reorganization  of the Madison Disciplined Equity Fund into the Madison Investors Fund. The reorganization will be effective September 23, 2013. [SEC Filing]...
MutualFundWire.com - Wednesday, August 07, 2013 Views
Bridge Builder Launches New Fund
Bridge Builder Trust filed for a fund on August 6, 2013, called the Bridge Builder Bond Fund. The fund's objective is to to provide total return. [SEC Filing]...
MutualFundWire.com - Wednesday, August 07, 2013 Views
Nuveen Proposes Fund Reorganization
As of August 6, 2013, Nuveen Investments [profile] has filed an invitation for the shareholders of Nuveen Mid Cap Select Fund. The meeting is scheduled for September 20, 2013, at 2:00 p.m., Central time, at the offices of Nuveen Investments, Inc. The objective of the meeting is vote on the proposal for Nuveen Symphony Mid-Cap Core Fund to acquire all the assets and liabilities of Nuveen Mid Cap Select Fund. [SEC Filing]...
MutualFundWire.com - Wednesday, August 07, 2013 Views
25 Nuveen Funds Sue AIG
In a complaint filed yesterday in federal court, the funds allege securities fraud against the insurer...
MutualFundWire.com - Wednesday, August 07, 2013 Views
BlackRock Funds Amends a Portfolio
Effective September 1, 2013, BlackRock Funds [profile] has amended the BlackRock Strategic Income Opportunities Portfolio to include changes in the “Fund Overview — Key Facts about BlackRock Strategic Income Opportunities Portfolio — Fees and Expenses of the Fund” section and “Share Classes at a Glance” chart, as well having replaced the chart titled “Account Information — Details about the Share Classes — Investor A Shares - Initial Sales Charge Option.” [http://www.sec.gov/Archives/edgar/data/1398078/000089109213006896/e54899_497.htm]...
MutualFundWire.com - Wednesday, August 07, 2013 Views
Fido Shares Views on the Road to Retirement
The Boston Behemoth launches a pair of online resource hubs for participants and others planning for retirement...
401kWire.com - Wednesday, August 07, 2013 - Reader Rating: 1
Salient Funds Amends Fund Considerations
Salient Funds [profile] has amended the "Tax Law Change Risk,” “Fund Details – Principal Investment Strategies,” and“Principal Investment Risks - Tax Law Change Risk,” "Special Considerations Applicable to Salient MLP & Energy Infrastructure Fund II" sections of the Salient MLP & Energy Infrastructure Fund II filing.[SEC Filing]...
MutualFundWire.com - Wednesday, August 07, 2013 Views
Wilmington Funds Removes PM from Fund
At the close of business on August 6, 2013, Wilmington Funds [profile] loses Daniel J. Keating, who was the PM of the Wilmington Rock Maple Alternatives Fund. [SEC Filing]...
MutualFundWire.com - Wednesday, August 07, 2013 Views
Cambria Alters a Fund's Calendar
Cambria Investment Management filed a supplement to the Cambria ETF Trust, which states that starting September 30, 2013, to the extent that the Funds have net investment income during a calendar quarter, they will declare and pay such dividends at the end of the calendar quarter, instead of on an annual basis. [SEC Filing]...
MutualFundWire.com - Wednesday, August 07, 2013 Views
DGHM Reorganizes Funds
DGHM [profile]Investment Trust approved of a plan to reorganize the DGHM All-Cap Value Fund and DGHM SmallCap Value Fund into a corresponding fund of the same name. If approved, the reorganization is expected to close on or about October 21, 2013. [SEC Filing]...
MutualFundWire.com - Wednesday, August 07, 2013 Views
Two Trade Groups Send RI Letters
ASPPA and PSCA chime in. ..
401kWire.com - Wednesday, August 07, 2013
A $2B TIAA-CREF Client Welcomes DC I-Os and Reboots
A West Coast public plan sponsor launches a new, open architecture investment menu for its 401a and 403b...
401kWire.com - Wednesday, August 07, 2013
Three Things to Know About Calamos' Earnings
Calamos reported second quarter earnings and revenue that beat analyst expectations...
MutualFundWire.com - Wednesday, August 07, 2013 Views
American Century Promotes Two New PMs
American Century vets Chris Krantz and Jeff Bourke will now serve as PMs to two of the fund's firms. ..
MutualFundWire.com - Wednesday, August 07, 2013 Views
Sullivan Will Wind Down a $500MM Legg Mason Boutique
UPDATE | The emerging markets boutique had 25 employees...
MutualFundWire.com - Wednesday, August 07, 2013 Views
Guardian Brings on Three
The RKer has added three regional sales chiefs...
401kWire.com - Wednesday, August 07, 2013 - Reader Rating: 1
Lincoln Hires in the Big Apple
Exec will lead regional planning group for Metro New York and New Jersey...
401kWire.com - Wednesday, August 07, 2013
An Elite Advisor Hires a J.P. Morgan DC I-O Exec
A fresh recruit at the asset manager moves on to a top retirement plan advisory shop...
401kWire.com - Wednesday, August 07, 2013 - Reader Rating: 3.33
What's Up With PMs? U.S. News Notes That They Are Coming and Going At An Alarming Clip
Hundreds of firms have changed at least one PM this year, U.S. News and World Report's Rob Silverblatt writes...
MutualFundWire.com - Wednesday, August 07, 2013 Views - Reader Rating: 5
Bonds Out, Equities In at Pimco
The great rotation is here, The Wall Street Journal's Min Zeng writes, and the proof you need is in Pimco's numbers...
MutualFundWire.com - Wednesday, August 07, 2013 Views
ETF Roundup: The SEC Staff Caves to Guggenheim and DWS on Self-Indexing and Transparency
The SEC has recently allowed three filings to go through the system without the standard disclosures. ..
MutualFundWire.com - Wednesday, August 07, 2013 Views
Stork and Reaper for August 7, 2012
The MFWire's daily report on mutual fund births, deaths, and changes. ..
MutualFundWire.com - Tuesday, August 07, 2012 Views
MGM Puts Its Chips On Pru
The resorts and gaming company chooses Prudential as the recordkeeper of its $858 million plan...
401kWire.com - Tuesday, August 07, 2012
Kraft Foods' $6.2B Plan Switches RKer
Six months after a settlement requires the food giant to replace Aon Hewitt, a new recordkeeper signs on. ..
401kWire.com - Tuesday, August 07, 2012 - Reader Rating: 3.5
MassMutual Releases New Planning Tool
Participant statements will now have more information about possible retirement outcomes...
401kWire.com - Tuesday, August 07, 2012 - Reader Rating: 3.33
M* Expands Its Coverage of Target-Date Families
The research firm adds ratings for three new target-date series...
401kWire.com - Tuesday, August 07, 2012 - Reader Rating: 1
Fido Adds More Than 800 Plans
The Boston behemoth detailed their first half wins in report...
401kWire.com - Tuesday, August 07, 2012
FocusShares Liquidates Its ETF Line
The Scottrade subsidiary plans to shutter its fifteen ETFs, less than two years after relaunching them. ..
MutualFundWire.com - Tuesday, August 07, 2012 Views
Merrill Consolidates Its DC Team, Announces Mid-Year Results
The newly consolidated DC unit has won over 3,000 new RKer and advisory clients this year...
401kWire.com - Tuesday, August 07, 2012
Segal Founder Dies
Martin Segal, founder of the consulting firm, passed away on Sunday...
401kWire.com - Tuesday, August 07, 2012 - Reader Rating: 1
Knight of the Living Dead
Despite yesterday's Jefferies Group led bailout, the future is still uncertain for Knight Capital...
MutualFundWire.com - Tuesday, August 07, 2012 Views
Have Firms Regained their Faith in Knight Capital?
Vanguard and E*Trade resume some orders through Knight Capital..
MutualFundWire.com - Tuesday, August 07, 2012 Views
Who Got Hit Hard By Knight Glitch?
Philly.com has a list of some of the ETFs hurt by the Lead Market Maker's glitch...
MutualFundWire.com - Tuesday, August 07, 2012 Views
Knight to Add Three to Board as Part of $400MM Deal
The new members will come from the companies that invested in the firm...
MutualFundWire.com - Tuesday, August 07, 2012 Views
Russell Scales Back Its $300MM ETF Business
The money manager is letting go of around 30 employees on its ETF side...
MutualFundWire.com - Tuesday, August 07, 2012 Views
Fundsters Await TCW Deal Confirmation
A trade pub reports that TCW's board was set to take a vote on Monday. So far there is no word on whether it happened. A buyout will likely mean new leadership and job cuts...
MutualFundWire.com - Tuesday, August 07, 2012 Views
Thornburg Drops a Trio of B Shares
Another fund firm has pulled the share class from its shelves...
MutualFundWire.com - Friday, August 07, 2009 Views
Fidelity and a Plan Sponsor Investigate Hardship Withdrawals
Alleged misconduct related to plan withdrawals will not lead to a layoff, according to the sponsor...
401kWire.com - Friday, August 07, 2009
MSSB Makes a Decision on Leveraged ETFs
The wirehouse has wrapped up its review...
MutualFundWire.com - Friday, August 07, 2009 Views
The WaMu Stock Drop Suit Heats Up ... for JPMorgan
WaMu employees press forward in stock drop lawsuit against the giant bank...
401kWire.com - Friday, August 07, 2009
401k Match Cuts Enter Mainstream Comedy
A humor publication highlights the woes of defined contribution participants...
401kWire.com - Friday, August 07, 2009
Buffalo Aims to Clear Up Confusion with a Rebranding
A domestic equity fund changes its name...
MutualFundWire.com - Friday, August 07, 2009 Views
MutualDecision's Rating System Forecasts Funds
The fund rater's new product will attempt to predict future alpha...
MutualFundWire.com - Friday, August 07, 2009 Views - Reader Rating: 5
Barclays Shareholders OK the BlackRock Deal
The acquisition, which will make the U.S. fund manager the largest in the world, clears another hurdle...
MutualFundWire.com - Friday, August 07, 2009 Views
Janus Reveals Armour's Stock Grant Size
The Denver fund firm reveals part of the compensation package to get Tim Armour on board as interim CEO...
MutualFundWire.com - Friday, August 07, 2009 Views
Fido Buys a Frankfurter
Fidelity does a deal in Germany...
MutualFundWire.com - Friday, August 07, 2009 Views
First Leveraged Fund Suit Targets ProShares
A New York law firm has filed suit saying the ProShares failed to disclose the risks in one of its leveraged short funds...
MutualFundWire.com - Friday, August 07, 2009 Views
ING Shares a New Online DC Platform
A Seattle-based subsidiary pulls the curtain back on a new retirement plan service for RIAs...
401kWire.com - Friday, August 07, 2009
XShares Sees Another High-Level Departure
A co-founder of the firm will no longer take an active role in the day-to-day management of the company...
MutualFundWire.com - Thursday, August 07, 2008 Views
AllianceBernstein Execs Learn their ABDCs
An internal memo obtained by The 401kWire sheds light on this summer's reorganization at AllianceBernstein's defined contribution unit...
401kWire.com - Thursday, August 07, 2008 - Reader Rating: 4.67
Principal to Advisors: Weigh the Retirement Income Options
With a new white paper, the Des Moines, Iowa-provider argues that there is no universal retirement income solution...
401kWire.com - Thursday, August 07, 2008
Sales Up Slightly, Earnings are Down at Nationwide
The Columbus, Ohio-based provider saw total sales in its retirement unit rise one percent and pre-tax operating profit drop 14 percent during the second quarter...
401kWire.com - Thursday, August 07, 2008
Schwab's YieldPlus Continues to Draw Fire
Another arbitration claim has been filed over the bond fund...
MutualFundWire.com - Thursday, August 07, 2008 Views
Another Bear Vet Lands
The Bear Stearns vet has joined Gartmore...
MutualFundWire.com - Thursday, August 07, 2008
Hancock Reveals the Number of Takers for its Guaranteed Income 401k Product
John Hancock shares how many plan sponsors have adopted the product, which made its debut in April, during the second quarter...
401kWire.com - Thursday, August 07, 2008 - Reader Rating: 4.2
Two Vanguard Funds Set Sail for the Open Market
The firm has reopened two funds and removed the $25,000 annual investment limit for one of them...
MutualFundWire.com - Thursday, August 07, 2008 Views
Hartford Hopes to Entice More Advisors to Sell Plans
The Connecticut-based plan provider has unveiled a four-point sales system for advisors...
401kWire.com - Thursday, August 07, 2008 - Reader Rating: 2
Gross Sees Treasury as Fannie and Freddie's Partner
The two GSEs could get up to $30 billion in Treasury cash by issuing new preferred shares, the bond manager predicts...
MutualFundWire.com - Thursday, August 07, 2008 Views
PRIM Dumps Old-Fashioned Asset Managers for Hedgers
The Bay State pension fund has been seduced by hedge fund charmers and that is bad news for traditional asset managers...
MutualFundWire.com - Thursday, August 07, 2008 Views
Morningstar Gives Alternatives Managers a Place of Their Own
The fund tracker has created a sixth broad asset class in recognition of the growth of alternatives specialists...
MutualFundWire.com - Thursday, August 07, 2008 Views
Windfall From Mutual Fund Deal Could Fill BofA's Buyout Coffers
Tom Marsico will soon cut a $2.7-billion check made out to Bank of America. Look for some of that money to be invested in 401k...
401kWire.com - Tuesday, August 07, 2007 - Reader Rating: 5
PowerShares to Intro First Muncipal Bond ETFs
PowerShares intends to launch the first family of municipal bond ETFs...
MutualFundWire.com - Tuesday, August 07, 2007 Views
National Benefits Firm Expands, Seeks Marketing Chief
A Midwestern benefits firm adds four new team members and looks for more. ..
401kWire.com - Tuesday, August 07, 2007 - Reader Rating: 1
S&P to Add New Index
Standard & Poor's has added a new index to its growing list...
MutualFundWire.com - Tuesday, August 07, 2007 Views - Reader Rating: 3
kasina Survey Ranks Web Sites
A new survey from kasina ranks the websites of plan sponsors and plan participants...
401kWire.com - Tuesday, August 07, 2007 - Reader Rating: 2
McColgan Follows Carney Out Fido's Door
There is more change in Fidelity's top ranks. Ellyn McColgan, seen by many as a possible successor to Fidelity Chairman Ned Johnson, unexpectedly resigned Tuesday afternoon, the MFWire, 401kWire's sister publication, reported...
401kWire.com - Tuesday, August 07, 2007
Another Unexpected Departure From Fidelity
Ellyn McColgan has resigned from Fidelity causing more wondering about who will take over for Ned...
MutualFundWire.com - Tuesday, August 07, 2007 Views - Reader Rating: 2.67
TD Institutional Hunts For Sales Chief to Take on Chuck
TD Ameritrade Institutional is looking both near and far for a new head of advisor sales...
MutualFundWire.com - Tuesday, August 07, 2007 Views - Reader Rating: 3.11
Midwest Asset Manager Named as Sub-Advisor to First Focus Fund
A Minnesota-based investment management firm has signed on a sub-advisor of the The First Focus Funds Large Cap Growth Fund...
MutualFundWire.com - Tuesday, August 07, 2007 Views - Reader Rating: 2.67
Marsico and BofA Find Deal Mutually Beneficial
The price Tom Marsico paid to buy back his namesake company from BofA has been revealed and both sides should be very pleased with the outcome of the deal...
MutualFundWire.com - Tuesday, August 07, 2007 Views - Reader Rating: 2
Bear's Cayne Reportedly Works the Phones
Bear Stearns chief Jimmy Cayne is working the phones to reassure heavy hitters on Wall Street...
MutualFundWire.com - Tuesday, August 07, 2007 - Reader Rating: 3
IXIS Funds Undergo Name Change
Natixis Global Associates has renamed the IXIS Advisor Funds...
MutualFundWire.com - Tuesday, August 07, 2007 Views
Pension Protection Act Sparks Target-Date Boom
Target date funds are expected to be part of the Department of Labor's list of qualified default investment alternatives, leading to many launches this year...
MutualFundWire.com - Tuesday, August 07, 2007 Views - Reader Rating: 3.15
Pru Posts $726M In Full Service Net Sales
The retirement segement's adjusted operating income in the second quarter is unchanged from last year...
401kWire.com - Monday, August 07, 2006
Food Company Joins Pension-Freezing Bandwagon
An Oregon-based company said it will freeze its pension plan next year...
401kWire.com - Monday, August 07, 2006
IBM Wins Cash Balance Appeal
Just days before President Bush is expected to sign pension legislation that would make new cash balance plans legal, a federal court over turned the verdict that barred the hybrid plans in the first case...
401kWire.com - Monday, August 07, 2006
OppFunds Rolls Out Retirement Income Planning Program
The New York-based firm has released tools advisors can use to help boomer clients...
401kWire.com - Monday, August 07, 2006
Hewitt Rumor Sparks Report
A trade publication reports on rumors that Hewitt is on the block and gives the name of a potential buyer. No deal is seen by others...
401kWire.com - Monday, August 07, 2006 - Reader Rating: 3
ExpertPlan Launches Putnam Safe Harbor Option
ExpertPlan has teamed with Putnam Investments to launch the Safe Harbor option for Putnam Small Business 401(k) start-up plans...
401kWire.com - Monday, August 07, 2006 - Reader Rating: 4
Gail Weiss Confirms Deal
Regulators must approve the deal, which has an anticipated September close...
401kWire.com - Monday, August 07, 2006 - Reader Rating: 3
NYLIM Continues Reign In Mid Market
The provider continues to build a good reputation with its clients according to data collected by 401kExchange...
401kWire.com - Monday, August 07, 2006 - Reader Rating: 4
WSJ's Windfall May be a Mirage
Monday's Wall Street Journal promises that the pension reform bill will provide a "windfall for fund firms." However, that windfall will likely prove an inch wide and a mile deep. Just a handful of the 650 or so fund families are in a position to exploit the new law to add assets. Among the few are the three fund firms mentioned in the article -- Fidelity, Vanguard and T. Rowe Price. Each of those firms will most assuredly benefit from an increase in 401(k) deferrals and participation. Few other fund firms will see gains, though...
MutualFundWire.com - Monday, August 07, 2006 Views
LPL is Readying Help for Advisors
The independent giant hopes a dedicated business management unit will help reps better understand their own mission statements...
MutualFundWire.com - Monday, August 07, 2006 - Reader Rating: 5
TD Ameritrade May Make a Retirement Play
The discount broker is buying a puzzle piece that should give its clients a more complete picture...
MutualFundWire.com - Monday, August 07, 2006 - Reader Rating: 2.89
Stodgier Firms Win in Morningstar's Newest Measure
Morningstar has given a sneak peak into the winners and losers of its "investors returns" measure of fund performance. The MFWire first reported on the fund tracker's planned asset-weighted measure in May. The new measure is a response to the ups and downs of the market over the past decade and the finding that many fund investors jump on board after a run-up and too late to gain from the rise. Early reports suggest the biggest fund families may benefit from the measure...
MutualFundWire.com - Monday, August 07, 2006 Views
Lincoln Adds Staff; Anticipates Institutional Deals
The insurer is landing institutional deals, allowing it to build a larger recruiting staff to pursue still more...
MutualFundWire.com - Monday, August 07, 2006
Glassman Plans to Stay in Administration
Washington's revolving door continues to work well. This time it is former SEC Commissioner Cynthia Glassman who is making a return visit to Washington's bureaucracy less than three months after leaving her last post. However, in her new post she will not be having the same influence over the fund industry as she did before...
MutualFundWire.com - Monday, August 07, 2006 Views - Reader Rating: 4
Gabelli Sets Aside $12 Million for Timer Settlement
Settlement payments took a deep bite into the earnings of Gamco Investors, the parent company to Gabelli Funds, during the second quarter. The firm also reported an increase in revenues despite a dip in assets under management...
MutualFundWire.com - Monday, August 07, 2006 Views
SEC May Name Nazareth Replacement
After a year long search, there are reports of a "top contender" for the SEC's market regulations division...
MutualFundWire.com - Monday, August 07, 2006 - Reader Rating: 3
NASD Prescribes More Sunlight
Broker-dealers would be required to disclose any payment for shelf space from fund firms and much more...
MutualFundWire.com - Thursday, August 07, 2003 Views
Hartford Turns to 401k Alliance as Model for 529
The insurer has created a third college savings program exclusively for its key 401k distribution partner...
MutualFundWire.com - Thursday, August 07, 2003 Views
Former Cerulli Analyst Joins Connecticut Consult
Lisa Baird is the new director of research at a firm specializing in advising on top-level strategy for money managers...
MutualFundWire.com - Thursday, August 07, 2003 Views - Reader Rating: 3.33
Milliman Hires Marketer for Dallas Office
The new hire covered sales in the southwest for American Express Retirement Services...
401kWire.com - Thursday, August 07, 2003 - Reader Rating: 2
SoCal Sponsor Swaps Bundlers
The Southern California healthcare provider moves its 12,000-member plan away from Merrill Lynch...
401kWire.com - Thursday, August 07, 2003 - Reader Rating: 4
Principal Offers Multi-Plan Statements
The statements bring all of the participant's retirement and savings accounts together on one page...
401kWire.com - Thursday, August 07, 2003 - Reader Rating: 4.5
Janus May Have Found Buyer for DST Stake
The deal is valued at up to $1.1 billion and may be finalized by year-end...
MutualFundWire.com - Thursday, August 07, 2003 Views - Reader Rating: 5
DailyAccess Regroups for Aggressive Push
In preparation of an aggressive push the recordkeeping platform provider plans names a new CEO and top officers...
401kWire.com - Thursday, August 07, 2003 - Reader Rating: 5
5500 Reference Now Available
Those needing a 5500 reference now have a place to look up the answers...
401kWire.com - Thursday, August 07, 2003
SEC Asks for Comments
Feedback on the blackout changes is due by August 15...
401kWire.com - Wednesday, August 07, 2002
Rogers Joins CRA RogersCasey Board
Consulting firm founder takes seats on the board of directors...
401kWire.com - Wednesday, August 07, 2002
Pru Reshuffle
The corporate organization at the insurer is getting overhauled...
401kWire.com - Wednesday, August 07, 2002
The Rock Restructures
There are major changes in the works at Pru...
MutualFundWire.com - Wednesday, August 07, 2002 Views
Helping Hand for Advisors
AXA Advisors extends a service to provide more information to its financial advisor community...
MutualFundWire.com - Wednesday, August 07, 2002 Views
AERS Lands a Cat
The firm has filled another slot in its non-proprietary funds network...
401kWire.com - Wednesday, August 07, 2002
Have the Jitters?
Your local broker is there to help, say Merrill Lynch and Morgan Stanley...
MutualFundWire.com - Wednesday, August 07, 2002 Views - Reader Rating: 3
The Top Ten
A new list is out with those are the most influential in the world of registered reps...
MutualFundWire.com - Wednesday, August 07, 2002 Views
How to Reach Out
Capital Trust is offering a different kind of conference...
MutualFundWire.com - Wednesday, August 07, 2002 Views
FleetBoston Says Rumors are False
FleetBoston Financial took the unusual step of officially denying that it is takeover talks...
MutualFundWire.com - Wednesday, August 07, 2002 Views
Climbing the State Street Ladder
The firm has a new top dog in its executive suite...
MutualFundWire.com - Wednesday, August 07, 2002 Views
State Street Grows Relationship
The Boston firm has expanded the work itdoes for one of its clients...
MutualFundWire.com - Wednesday, August 07, 2002 Views
Staying the SEI Course
A firm signs on to continue services from the provider...
MutualFundWire.com - Wednesday, August 07, 2002 Views
Putting the Brakes on Volatility
Schwab has a new offering designed to reduce the risks to fluctuations in the markets...
MutualFundWire.com - Wednesday, August 07, 2002 Views - Reader Rating: 3
401kExchange's New Alliances
The firm continues to grow its web of business partnerships...
401kWire.com - Tuesday, August 07, 2001 - Reader Rating: 3
TeamVest Now Has Presence in the Bay Area
The firm has opened a sales office in San Francisco...
401kWire.com - Tuesday, August 07, 2001 - Reader Rating: 3
Fido Finishes Basket Weaving
The Boston Behemoth is the first of the majors to challenge Foliofn as it opens it offering. ..
MutualFundWire.com - Tuesday, August 07, 2001 - Reader Rating: 3
Eaton Vance Selling
Changes at Eaton Vance ... Portfolio Manager Switches at American Century ... New Asian Site for Morningstar ... Towers Perrin Survey ... T. Rowe Partners..
MutualFundWire.com - Tuesday, August 07, 2001 Views - Reader Rating: 3
Eaton Vance Selling
Changes at Eaton Vance ... Portfolio Manager Switches at American Century ... New Asian Site for Morningstar ... Towers Perrin Survey ... T. Rowe Partners..
401kWire.com - Tuesday, August 07, 2001 - Reader Rating: 3
Jetting to 401k
Now that TWA has merged with American Airlines, what will become of the former's 401k plan?..
401kWire.com - Tuesday, August 07, 2001 - Reader Rating: 3
Mutual Fund Cafe is Closed
No more quick eats from the site as its sponsors have turned off the grill. ..
MutualFundWire.com - Tuesday, August 07, 2001 - Reader Rating: 3
Motoring to New Vendor and Advice
A sponsor in the Sunshine State has tapped a new provider, and it will be getting advice as well...
401kWire.com - Tuesday, August 07, 2001 - Reader Rating: 3
Diversified Assigns $750 Million
The retirement plan specialist gives the boot to Putnam and taps three new subadvisors. ..
MutualFundWire.com - Tuesday, August 07, 2001 - Reader Rating: 3
Merrill Sends Accounting to State Street
In the largest transaction of its kind, Merrill Lynch is handing its domestic fund accounting unit to State Street. ..
MutualFundWire.com - Monday, August 07, 2000 - Reader Rating: 3
Director is Sweet Music to Gabelli
The fund company has named a former PaineWebber president to its Board...
MutualFundWire.com - Monday, August 07, 2000 Views - Reader Rating: 3
Fidelity Adds Advisor Tools
The Boston fund giant is fleshing out its tools for financial advisors using its AdvisorXpress Web site...
MutualFundWire.com - Monday, August 07, 2000 - Reader Rating: 3
NYLife Unit Taps Distribution Head
New York Life's asset management unit continues to remake itself with a new name and another new executive. The former Fidelity exec will head the insurer's pension distribution...
401kWire.com - Monday, August 07, 2000 - Reader Rating: 3
AIG Targets European Distribution
AIG has tapped a former UBS exec to build its retail fund distribution in Europe. ..
MutualFundWire.com - Monday, August 07, 2000 - Reader Rating: 3
August 7, 2000
Merrill Drops financial plan sales quota ... Spencer Trask draws investor ire ... Fund companies eye hedge funds ... Retaining shareholders gains importance ... Marsico, Goff share words over URL...
401kWire.com - Monday, August 07, 2000 - Reader Rating: 3
August 7, 2000
Merrill Drops financial plan sales quota ... Spencer Trask draws investor ire ... Fund companies eye hedge funds ... Retaining shareholders gains importance ... Marsico, Goff share words over URL...
MutualFundWire.com - Monday, August 07, 2000 Views - Reader Rating: 3
August 2, 1998: Week in Searches
The Weekly Roundup is a regular Friday afternoon column examining the week's RFPs, both those that appeared on our pages and the pages of other publications..
401kWire.com - Friday, August 07, 1998 - Reader Rating: 3
Evans Joins TeamVest
For the past six years, David Evans has helped plan participants to develop and execute asset allocation and investment education programs at The Scarborough Group. Now, he is taking that experience to TeamVest, LLC (Charlotte, NC). ..
401kWire.com - Friday, August 07, 1998 - Reader Rating: 3
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