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News Stories Archives - Since 1998
TD's Fava Hunts For More Model Managers
Eight managers already offer models through the new TD Ameritrade Institutional Platform..
MutualFundWire.com - Friday, January 19, 2018
Is It Worth Nurturing A Long Term Relationship With Advisors?
New research suggests that asset managers looking to win new business should look to invest in long-term relationships with advisors. ..
MutualFundWire.com - Friday, January 19, 2018
In Pennsylvania, a Seven-Year Principal Vet Departs
A regional director of business development is moving on from the insurer's retirement plan recordkeeping arm...
401kWire.com - Friday, January 19, 2018
Schwab Adds Participants For a Fifth Month In a Row
Schwab sees an overall plan participant increase in 2017. ..
401kWire.com - Friday, January 19, 2018
An ETF Newcomer Ties BlackRock In an Awards Race
A trade pub reveals the finalists for its fifth annual awards. The winners will be revealed at a Gotham dinner in March...
MutualFundWire.com - Friday, January 19, 2018
KPAs, Where's Your Blog?
As a 401(k) plan advisor (KPA), are you annoyed when you see multiple blog posts from your connections on LinkedIn? There are ongoing debates on whether it is beneficial or unnecessary, but let's talk about a few valuable reasons why you should consider having a blog...
401kWire.com - Thursday, January 19, 2017
US Group of Mayors Returns to Nationwide
The United States Conference of Mayors selected a new plan provider. ..
401kWire.com - Thursday, January 19, 2017
The New Fund Fuss - January 19, 2017
The latest funds about to make their debut!..
MutualFundWire.com - Thursday, January 19, 2017 Views
Vanguard, BlackRock, and SSgA Won 2016
17 of the 46 biggest mutual fund shops brought in net inflows last year...
MutualFundWire.com - Thursday, January 19, 2017 Views
New York 457 Plan Issues an RFP
The state of New York is searching for financial institutions to help manage its 457 plan's investments. ..
401kWire.com - Thursday, January 19, 2017
71 Percent of Big Fund Firms Suffered in December
Only 13 of the 46 biggest mutual fund shops saw net inflows for the last month of 2016. The winners were the big indexers...
MutualFundWire.com - Thursday, January 19, 2017 Views
Video Tool Connects KPAs and TPAs
The firm aims the product to help recordkeepers and TPAs educate and engage advisors. ..
401kWire.com - Thursday, January 19, 2017
So Long, Mary Jo
When Barack Obama passes the presidential baton to Donald Trump tomorrow, Obama's SEC chief will also leave...
MutualFundWire.com - Thursday, January 19, 2017 Views
MassMutual's McKenzie Passes Away
Mckenzie was most recently a senior vice president and head of retirement services operations. ..
401kWire.com - Thursday, January 19, 2017 - Reader Rating: 4.5
Class Action Lawyers Claim Empower is a Fiduciary
Industry standard practices of revenue sharing are really a "pay-to-play" scheme, alleges a Connecticut lawfirm...
401kWire.com - Tuesday, January 19, 2016 - Reader Rating: 4.44
Graff Sees Only Two Chances to Stop the Fiduciary Reg
While moderating a lunch panel discussion at the GRPAA conference outside Phoenix, the ARA/ASPPA/NAPA chief offers insight into the DoL's process around reissuing the proposal...
401kWire.com - Tuesday, January 19, 2016
A Seminole State KPA Wins Three Plans
He credits his frenetic start to 2016 to a strong finish to 2015. ..
401kWire.com - Tuesday, January 19, 2016
Polefrone Extends Fundsters' Access to a New Prospecting Tool
Last year a Broadridge unit unveiled a new service for to help mutual fund sales folk figure out where to spend their time in the intermediary channels...
MutualFundWire.com - Tuesday, January 19, 2016 Views
2016 GRPAA Participant Advice & Financial Wellness Summit In Pictures
Last week more than 180 KPAs and other industry insiders converged in Arizona...
401kWire.com - Tuesday, January 19, 2016 - Reader Rating: 1.17
Which Fund Firm Won 2015?
M*'s full-year numbers are in, and Vanguard had a great December and a great year...
MutualFundWire.com - Tuesday, January 19, 2016 Views
This $41MM 457 Sticks with Its RKer
A Kansas county rehires their bundled 457 provider...
401kWire.com - Tuesday, January 19, 2016
A Texas RKer Welcomes A New Regional Wholesaler
A Waco, Texas-based retirement plan provider brings on a new sales consultant...
401kWire.com - Tuesday, January 19, 2016
Class-Action Lawyers Attack Third Avenue
On Friday a Gotham law firm that specializes in securities fraud cases filed a $500MM lawsuit against the embattled mutual fund shop...
MutualFundWire.com - Tuesday, January 19, 2016 Views
These Advisors See Greater Client Satisfaction and Loyalty
A recent LIMRA study surveys financial decision makers in U.S. households...
401kWire.com - Tuesday, January 19, 2016
403b Specialists Make a Bold Hire in Texas
An acquisition-hungry, Garden State firms brings on a VP of practice management in the Lone Star State...
401kWire.com - Thursday, January 19, 2012
BNY Mellon Puts Two Chiefs Over U.S. Fund Services
The mutual fund back-office provider has new leadership thanks to a reorg...
MutualFundWire.com - Thursday, January 19, 2012 Views - Reader Rating: 1
Putnam's Phoenix Lands Two New Hires
They're new additions to the firm's global institutional management consultant relations team...
MutualFundWire.com - Thursday, January 19, 2012 Views
Direxion Names Another Advisor-Focused Wholesaler
The alternative mutual fund firm is focusing on educating and selling to advisors with its latest addition...
MutualFundWire.com - Thursday, January 19, 2012 Views
Wells Fargo Reveals 'Record' Year for Retirement Biz
The firm added 186 new DC clients, according to its head of sales...
401kWire.com - Thursday, January 19, 2012 - Reader Rating: 4.67
A Columbia DC I-O Vet Rocks an Advisory Gig
A Centennial State retirement plan advisor adds a second advisor to her practice...
401kWire.com - Thursday, January 19, 2012
New York Life Adds More Sales Boots
New York Life's Patrick Murphy takes on two new wholesalers...
401kWire.com - Thursday, January 19, 2012
A Jumbo Plan Reups with Fido
Fideity secures a new five-year contract with a jumbo 401(k) plan...
401kWire.com - Thursday, January 19, 2012 - Reader Rating: 3
An Ex-Neuberger Analyst Pleads Guilty in Insider Trading Probe
The SEC claims that the analyst leaked info about Dell to a 'circle of friends'...
MutualFundWire.com - Thursday, January 19, 2012 Views
ETFs are on Fetting's Plate for 2012
Mark Fetting talks about his priorities for the year...
MutualFundWire.com - Thursday, January 19, 2012 Views
MStar, USAA and Baird Are Among the 'Best Companies to Work For'
Fortune unveils its list of the 100 Best Companies to Work For...
MutualFundWire.com - Thursday, January 19, 2012 Views
SSgA Posts a 9 Percent Drop in Investment Management Fees in Q4
State Street unveils its latest earnings report...
MutualFundWire.com - Thursday, January 19, 2012 Views
Sheri Fitts Finds a New Home
It's a new start for the Standard executive. ..
401kWire.com - Wednesday, January 19, 2011 - Reader Rating: 1
One Compass Slashes Covenant Fund Fees
The investment adviser to the Covenant Funds is slashing management fees...
MutualFundWire.com - Wednesday, January 19, 2011 Views
DoubleLine Tactically Aligns With a Chitown Manager
Jeff Gundlach and his team will subadvise two slices of a new mutual fund...
MutualFundWire.com - Wednesday, January 19, 2011 Views
DailyAccess Hires in the Midwest
The Alabama-based firm names its wholesaler for the upper Midwest...
401kWire.com - Wednesday, January 19, 2011
Newport Hires a Mercer Vet
A Mercer executive has found a new home...
401kWire.com - Wednesday, January 19, 2011
Geier Officially Unveils its Maiden Mutual Fund
The Marriottsville, Maryland-based firm unveals its first mutual fund...
MutualFundWire.com - Wednesday, January 19, 2011 Views
Buddy Donahue's Successor Hails From Goldman
The SEC names the new investment management division director...
MutualFundWire.com - Wednesday, January 19, 2011 Views
Berkowitz Bids Adieu to Two PMs
A pair of PMs from Fairholme Fund is making a break from the large cap-centric company...
MutualFundWire.com - Wednesday, January 19, 2011 Views - Reader Rating: 3
Schwab Shelled Out $433M on Money Fund Fee Waivers in '10
Meanwhile, the YieldPlus settlement also dips into the brokerage giant's profits...
MutualFundWire.com - Wednesday, January 19, 2011 Views
Artisan Makes a Change at the Top
The Milwaukee-based firm appoints a new CEO...
MutualFundWire.com - Tuesday, January 19, 2010 Views - Reader Rating: 3
Hartstein Reveals Hancock's Sales Target
The top executive of John Hancock Funds talks about his unit's sales goal for 2010...
MutualFundWire.com - Tuesday, January 19, 2010 Views
McCann Puts a Fellow Merrill Alum in Charge of UBS' Advisor Group
Jamie Price is moving to an advisory role as he mulls over new career opportunities...
MutualFundWire.com - Tuesday, January 19, 2010 Views
Rowley Jumps to FRC to Head Sales
Stoddard Rowley makes the leap to the Boston-based research firm...
MutualFundWire.com - Tuesday, January 19, 2010 Views - Reader Rating: 3
Great-West Hires in Florida
Great-West is at it again -- Bill Harmon has made another addition to his gang of regional wholesalers...
401kWire.com - Tuesday, January 19, 2010
Supreme Court Turns Down a Fee Suit Appeal
The Supreme Court rejected an appeal by Deere employees who want to revive their excessive fee suit against Deere and Fidelity...
401kWire.com - Tuesday, January 19, 2010
TIAA-CREF CEO Pushes Annuities
Roger Ferguson spoke to another national publication on the problems with the 401(k) industry..
401kWire.com - Tuesday, January 19, 2010
A DC Benchmarker Creates a Participant Fee Report and Rollover Center
Watch for the startup to create more online tools for participants...
401kWire.com - Tuesday, January 19, 2010 - Reader Rating: 5
A Mutual Fund Servicer is Back on the Block
Will the search end with a deal this time around?..
MutualFundWire.com - Tuesday, January 19, 2010 Views - Reader Rating: 3
Vanguard's New Ad Campaign Could Set Sail in March
Vanguard, which switched ad agencies last fall, could be rolling out its new campaign in March...
MutualFundWire.com - Tuesday, January 19, 2010 Views
PowerShares Preps Ten Small-Cap ETFs
The Illinois-based Invesco subsidiary filed last week to launch ten ETFs focusing on small-cap sectors such as energy, financials, and health care. ..
MutualFundWire.com - Tuesday, January 19, 2010 Views - Reader Rating: 4
DeFazio's Tax Proposal Could Be a Boon to Index Funds
In the Tuesday issue of the Wall Street Journal Fund Track column, Ian Salisbury looks at how Rep. Peter DeFazio's tax proposal could 'do some good' to Main Street investors...
MutualFundWire.com - Tuesday, January 19, 2010 Views
BlackRock Makes Another Acquisition
The New York City-based asset manager buys a Charlotte firm...
MutualFundWire.com - Tuesday, January 19, 2010 Views
ETF Shops are Readying Their Own Trade Group
The ETF Council could be up and running by mid-February...
MutualFundWire.com - Tuesday, January 19, 2010 Views
Martin Luther King Day
The 401kWire is observing the Martin Luther King Day holiday. We will return on Tuesday...
401kWire.com - Monday, January 19, 2009
The MFWire Took Martin Luther King Day Off
Look for more stories on Tuesday!..
MutualFundWire.com - Monday, January 19, 2009 Views
MassMutual Adds Managing Director
The Springfield, Massachusetts-based firm continues to expand its team...
401kWire.com - Friday, January 19, 2007 - Reader Rating: 1
Search Firm Lures Lineberry
The former head of MetLife's 401(k) business has a new gig...
401kWire.com - Friday, January 19, 2007 - Reader Rating: 2
AST Merger Consolidation is Over
The trust firm has finished digesting its purchase. ..
401kWire.com - Friday, January 19, 2007
Hackers Gain Access to TSP Accounts
Hackers penetrated the accounts of around 25 plan participants and stole $35,000...
401kWire.com - Friday, January 19, 2007 - Reader Rating: 3
401k Without Advice is Like Bull Without Horns
A Prairie State advisory firm unleashes a new DC product. ..
401kWire.com - Friday, January 19, 2007 - Reader Rating: 2
Convergent Forms Pact With Archimedes
The two firms will develop Web-based retirement tools aimed at financial advisors and individual investors...
401kWire.com - Thursday, January 19, 2006
TIAA-CREF Names Chief Compliance Officer
The specialist in retirement plans for educators has tapped a compliance chief...
401kWire.com - Thursday, January 19, 2006
AIM Unveils Retirement Planning Tool
The fund manager is adding another module to its materials designed to inform advisors about 401k plans...
401kWire.com - Thursday, January 19, 2006
CPI Adds Funds On Platform
The plan administrator has added a asset allocation funds to its platform...
401kWire.com - Thursday, January 19, 2006 - Reader Rating: 5
Turner Adds Client Services Manager
Turner Investment Partners has promoted Siobhan Frieary to manager in its client service team. She reports to Janna Forte, director of the client service team and a principal of the Berwin, Pennsylvania-based firm...
MutualFundWire.com - Thursday, January 19, 2006 Views
Indy Fiduciary Group Names Nine-Member Board
The Fiduciary Guild adds several JDs, an MBA, a PhD, an FSPA and others to a special advisory board...
401kWire.com - Wednesday, January 19, 2005
Nuveen Ends Year with a Bang
Nuveen Investments continued chug away in the fourth quarter. The money manager grew assets under management by eight percent in the fourth quarter, from $106.9 billion to $115.4 billion. Year over year, the Chicago-based asset manager added more than 21 percent in AUM...
MutualFundWire.com - Wednesday, January 19, 2005 Views
Resumes and Rollovers, A Good Match?
The classic combo is peanut butter and chocolate, but we will soon see if resumes and rollovers are also a match made in heaven...
401kWire.com - Wednesday, January 19, 2005
Following the Money Trail to the Inaugural Balls
Skeptics in the mainstream press seem convinced that asset managers are hoping to influence Social Security reform with their donations. Is there any evidence?..
401kWire.com - Wednesday, January 19, 2005
SEC Exec Says Goodbye
Patrick Von Bargen, managing executive for policy and staff, will leave the agency at the end of February. A replacement for Von Bargen, who reports to Chairman William Donaldson, has not yet been named...
MutualFundWire.com - Wednesday, January 19, 2005 Views - Reader Rating: 2.33
Lord Abbett Bulks up Internal Sales Desk
Lord, Abbett & Co.'s has promoted Paul Schieber to head of its internal sales desk. Schieber, as director of internal wholesaling, will be responsible for managing more than 60 internal sales employees that provide sales support for the firm's regional managers and clients...
MutualFundWire.com - Wednesday, January 19, 2005 Views
Midwest TPA Names Sales Director
The firm promotes an insider...
401kWire.com - Wednesday, January 19, 2005 - Reader Rating: 4.75
Participation Still an Issue in 2005
A Hewitt survey reveals that sponsors will likely focus on tried-and-true issues in the new year...
401kWire.com - Wednesday, January 19, 2005
Lincoln Offers K-Plan in the Empire State
Delaware and others manage the plan's assets...
401kWire.com - Wednesday, January 19, 2005
Gabelli Names Prez for Alternative Group
Gabelli Asset Management's alternative investment arm, Gabelli & Partners, LLC, has named Frederick W. Scholz as president. Scholz will report to Douglas Jamieson, president and chief operating officer of GAM...
MutualFundWire.com - Wednesday, January 19, 2005 Views - Reader Rating: 2.33
Expense Growth Dims State Street's Earnings Call
A strong increase in its assets under management does not mean that State Street employees will be spared from the axe. Top executives at the Boston bank said Tuesday the bank's assets under management grew 22 percent to $1.4 trillion in 2004. They had started the year at about $1.1 trillion. Yet, CEO Ron Logue told analysts that he is still not satisfied with the level of expenses at the firm and that he expects more cuts. ..
MutualFundWire.com - Wednesday, January 19, 2005 Views
Investors Bombard Funds with Another Type of Lawsuit
Fund firms are facing another breed of lawsuit. More than 40 fund managers have been named in complaints alleging that firms did not live up to their fiduciary duty to claim money from class-action settlements on behalf of their investors, reports the NY Times...
MutualFundWire.com - Wednesday, January 19, 2005 Views - Reader Rating: 2.33
Schwab's OneSource Assets Drop 11.5%
Fund assets in the broker's own funds grew in the fourth quarter even as those held in third-party OneSource funds slid 11.5 percent...
MutualFundWire.com - Friday, January 19, 2001 - Reader Rating: 3
Worse-Case Scenario
Even proponents of the SEC's newly-adopted after-tax rule objected to maximum rate methodology...
MutualFundWire.com - Friday, January 19, 2001 - Reader Rating: 3
Football Frenzy
While many marketers are going into hibernation, Invesco is going all out. ..
MutualFundWire.com - Friday, January 19, 2001 - Reader Rating: 3
DoL Appointees Celebrate Final Day
Tomorrow's Presidential inauguration marks the changing of the guard in Washington. Among those sending out resumes are 153 DoL staffers. ..
401kWire.com - Friday, January 19, 2001 - Reader Rating: 3
Feds Nab Denver TPA Exec
The FBI and US Attorney's Office throw the book at a Denver TPA executive caught taken funds from a defined contribution plan...
401kWire.com - Friday, January 19, 2001 - Reader Rating: 3
Allocation Threatened When Funds Catch a Drift
Plan sponsors should want their fund managers to steer a steady course and not drift with the latest hot sector, writes Nationwide's Stephen Rose...
401kWire.com - Friday, January 19, 2001 - Reader Rating: 3
Stable Value Rates for January 19, 2001
..
401kWire.com - Friday, January 19, 2001 - Reader Rating: 3
January 19, 2001
Is it Time for Munis? ..
401kWire.com - Friday, January 19, 2001 - Reader Rating: 3
January 19, 2001
Is it Time for Munis? ..
MutualFundWire.com - Friday, January 19, 2001 - Reader Rating: 3
E*Trade Fund Head to Resign
The president of E*Trade Asset Management will be stepping down in the next few weeks, in order to pursue other opportunities...
MutualFundWire.com - Wednesday, January 19, 2000 - Reader Rating: 3
e-harmon Plans I-Funds
A new San Francisco firm, founded by the creator of Internet Stock Index, has filed to launch two new Internet Funds in the spring and plans is to create a "hybrid" investment platform...
MutualFundWire.com - Wednesday, January 19, 2000 - Reader Rating: 3
Morningstar Teams with 401kWire
Coinciding with the launch of our new site, the 401kWire.com is pleased to announce its new relationship with Morningstar...
401kWire.com - Wednesday, January 19, 2000 - Reader Rating: 3
High Performing Advisors Taking Cyber-Route to Top (Part II)
LightPort.com's president expounds on the necessity of a web presence for registered investment advisors and the steps involved in successfully managing an RIA site...
MutualFundWire.com - Wednesday, January 19, 2000 - Reader Rating: 3
E*Trade Gathers A New Position
Amy Errett goes online as E*Trade's (and the world's) first chief asset gathering officer...
MutualFundWire.com - Wednesday, January 19, 2000 - Reader Rating: 3
Odd Lots, January 19, 2000
Buy one, get one free ... Putnam's new CIO ... Another move at Kemper ... Is Schwab skewed? ... Fidelity changes direction...
MutualFundWire.com - Wednesday, January 19, 2000 - Reader Rating: 3
mPower Blazing IPO Trail
mPower has hired the co-founder of a well-known consulting firm. She paints a clear picture of the future for the advice service...
401kWire.com - Wednesday, January 19, 2000 - Reader Rating: 3
IRS Offers 403b Guidelines
The IRS has released procedures for correcting defects in 403(b) plans. The rules, which are effective immediately, cover both procedures for self-correction of problems and for voluntary correction coupled with fees and an IRS filing, and procedures for defects found on audit. ..
401kWire.com - Tuesday, January 19, 1999 - Reader Rating: 3
PeopleServe Keeps Incumbent
Dublin, Ohio-located PeopleServe, Inc., a company that serves the needs of the disabled, has decided to retain incumbent bundled provider American Express Retirement Services (AERS) for its 401(k) plan, an AERS spokesperson told the 401kWire.com. The plan has $5 million in assets...
401kWire.com - Tuesday, January 19, 1999 - Reader Rating: 3
Clinton Proposes National 401k
*Updated* President Clinton made retirement security a key theme if his State of the Union. Much to the industry's surpise, his vision includes a "national 401k"...
401kWire.com - Tuesday, January 19, 1999 - Reader Rating: 3
Pyramid Buys Benefit Systems Technologies
Pyramid Digital Solutions, Inc. of Birmingham, Alabama has acquired Benefits Systems Technologies, Inc. (BST) of Boston, Massachusetts. Pyramid will now develop its Professional Services Group, a consulting and implementation service for Pyramid and SunGard's recordkeeping systems...
401kWire.com - Tuesday, January 19, 1999 - Reader Rating: 3
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