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News Stories Archives - Since 1998
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King Targets Solana and Ether
The folks at a Connecticut fund firm are rolling out one spot crypto ETF and prepping another...
MutualFundWire.com -
Friday, July 11, 2025
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Who Will Take Over a 4,500-Person Insurance Brokerage's KPA Aggregator?
Word is that the Midwestern firm's RPS chief is moving over to a competitor...
401kWire.com -
Friday, July 11, 2025
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Near Philly, a Product Chief Joins a West Coast RKer
The senior leader most recently worked with a publicly traded insurer's retirement plan business...
401kWire.com -
Friday, July 11, 2025
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GPS Teams With Voya, LeafHouse and Hunnex In the Central Valley
Several providers are partnering with firms in Central California to build a PEP...
401kWire.com -
Friday, July 11, 2025
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Freshly Rebranded, a 10YO Bond Fund Hits 10-Figure Territory
The folks at a Midwestern firm are celebrating a pair of milestones for one of their subadvised mutual funds...
MutualFundWire.com -
Friday, July 11, 2025
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Broadridge Plugs Matrix Into a Back-Office Ally to RKers
The partnership includes integrating Congruent's CORE platform...
401kWire.com -
Friday, July 11, 2025
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Reader Rating: 5
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A $25B-AUM AM Teams Up For a $310.5MM-AUM Launch
The freshly launched fund already has $310.5 million in AUM...
MutualFundWire.com -
Thursday, July 11, 2024
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Jordan Brings a 9-Year Hancock Vet to Principal
The new hire started earlier this week at the publicly traded RKer...
401kWire.com -
Thursday, July 11, 2024
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SSGA Upgrades a TDF Ret Income Combo and Plugs Into a Titan
Updated | Watch for a large 401(k) plan sponsor to make the retirement income solution available to participants early next year...
401kWire.com -
Thursday, July 11, 2024
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Two Vanguard Alums Join an RKer's Senior Leadership Team
News of the hirings comes four months after a private equity firm bought the recordkeeper and brought in a new CEO...
401kWire.com -
Thursday, July 11, 2024
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An OCIO's 1st Fund Reaches $100MM
The mutual fund debuted a year ago and offers two share classes...
MutualFundWire.com -
Thursday, July 11, 2024
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A Garden State PPP Becomes an RIA, Too
The firm has registered with the SEC...
401kWire.com -
Thursday, July 11, 2024
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Surloff Brings an 11-Year Russell Vet Up to the C-Suite, And ...
The fund firm's chief legal officer made a pair of key promotions last month as a 13-year C-suiter retired...
MutualFundWire.com -
Tuesday, July 11, 2023
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A PA TPA Vet Joins RMC
The TPA veteran most recently came from TRA...
401kWire.com -
Tuesday, July 11, 2023
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Murray Welcomes a $4B-AUA, 13,000-Participant Plan
The new client has hired Voya for both 401(k) and non-qual services...
401kWire.com -
Tuesday, July 11, 2023
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Reader Rating: 5
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3 Years, 26 ETFs, and $2B In AUM
A Gotham startup's team celebrates a milestone...
MutualFundWire.com -
Tuesday, July 11, 2023
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Eric Promotes a 9-Year Nationwide Vet
Updated | The executive will now serve in a key role on the retirement solutions chief's team...
401kWire.com -
Tuesday, July 11, 2023
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Two NYL Shops Team Up On Active ETFs
The duo's teams rolled out a pair of new ETFs last month...
MutualFundWire.com -
Monday, July 11, 2022
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A Louisiana KPA Joins RayJay
He's part of a three-advisor team that recently moved to the B-D...
401kWire.com -
Monday, July 11, 2022
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The Financial Wellness Gap Between Sponsors and Participants
New research suggests that the vast majority of participants aren't yet taking advantage of financial wellness programs...
401kWire.com -
Monday, July 11, 2022
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Despite an Ally's Sale, a KPA Stays Put
Both KPAs continue to affiliate with the same indie B-D...
401kWire.com -
Monday, July 11, 2022
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Week In Preview, July 11 - July 17
This week, the teams at DCIIA, Fi360, and Spark will host events...
401kWire.com -
Monday, July 11, 2022
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Week In Preview, July 11 - July 17
This week, the team at MFDF is hosting events, and several firms in the fund business are releasing earnings reports...
MutualFundWire.com -
Monday, July 11, 2022
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MFS Hires a 23-Year OpFunds Vet
An ex-OpFunds vice president and senior advisor consultant joins MFS..
MutualFundWire.com -
Thursday, July 11, 2019
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An Ex-Voya Strategy Leader Joins Pru
After half a decade with Voya, an exec transitions to a new company. ..
401kWire.com -
Thursday, July 11, 2019
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Reader Rating: 4
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An Ex-B-D CEO Advises Custodia
The 401(k) loan insurer's SAC now includes four members...
401kWire.com -
Thursday, July 11, 2019
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Rogers Shares the Reins
The Ariel founder anoints a co-CEO to lead the fund firm alongside him...
MutualFundWire.com -
Thursday, July 11, 2019
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The Goodwin Team Welcomes an Ex-Kirkland Partner
A former Kirkland & Ellis partner joined Goodwin’s ERISA and executive compensation practice earlier this month. ..
401kWire.com -
Thursday, July 11, 2019
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A Relocating Fundster CEO Finds His New HQ
The move comes after the asset manager recently closed on its biggest acquisition ever...
MutualFundWire.com -
Thursday, July 11, 2019
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Employees Crave Financial Wellness Support
New research suggests that a sizable portion of employees are unsatisfied with the level of support their employers deliver...
401kWire.com -
Thursday, July 11, 2019
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A Ten-Year Voya Vet Moves On
The Braintree, Massachusetts based director has retired from the company...
401kWire.com -
Wednesday, July 11, 2018
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Reader Rating: 1.5
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Americans are Largely on Track for Retirement
The newest edition of an annual report finds that American workers are going in the right direction for sufficient income replacement, but demographic differences and plan design play a crucial role...
401kWire.com -
Wednesday, July 11, 2018
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Reader Rating: 5
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For Deal #10, Hennessy Heads to Dallas
The acquisitive fundster entrepreneur is taking over a pair of mutual funds in the energy sector...
MutualFundWire.com -
Wednesday, July 11, 2018
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BPG Expands Up North
The Chicago-based advisor opens its eighth location. ..
401kWire.com -
Wednesday, July 11, 2018
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Reader Rating: 5
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From Atlanta to Portland, Arnerich Hires a Senior Consultant
The Portland KPA shop added a new consultant to their institutional team...
401kWire.com -
Wednesday, July 11, 2018
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AI Isn't an Asset Management Panacea
Execs with a pair of giants caution fundsters about the applications of machine learning...
MutualFundWire.com -
Wednesday, July 11, 2018
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What's Next for KraneShares After the Sale?
MFWire talks to Brendan Ahern about the deal.....
MutualFundWire.com -
Tuesday, July 11, 2017
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A VP at Newport Departs
An 11-year employee at Newport leaves the company...
401kWire.com -
Tuesday, July 11, 2017
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Reader Rating: 5
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This Michigan KPA Shop Leaves LPL
...to align with a new broker-dealer...
401kWire.com -
Tuesday, July 11, 2017
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Broadridge Buys an Institutional Asset Management Data Specialist
Broadridge expands to combine retail and institutional data analytics. ..
MutualFundWire.com -
Tuesday, July 11, 2017
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Advisor Group Unveils a Data Aggregation Platform
Advisor Group's president and CEO Jamie Price has unveiled some news about its new data aggregation advisory tool.....
401kWire.com -
Tuesday, July 11, 2017
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Mesirow Makes a Fidu Partnership
Mesirow partners with a recordkeeper to provide fiduciary services. ..
401kWire.com -
Tuesday, July 11, 2017
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Reader Rating: 5
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LFG Adds Three to its Sales Team
The three hires come as LFG wants to grow their business. ..
401kWire.com -
Tuesday, July 11, 2017
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TRA Hires a Regional Sales Consultant
In the wake of a recent retirement, TRA hires... ..
401kWire.com -
Tuesday, July 11, 2017
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Reader Rating: 3.67
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DCIIA Talks Benefits of Financial Wellness
The paper addresses a problem many plan sponsors face.....
401kWire.com -
Tuesday, July 11, 2017
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Who is the Most Afraid to Save?!
LFG's new study highlights financial wellness and retirement... ..
401kWire.com -
Tuesday, July 11, 2017
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Szilagyi Hires Two and Makes an Alliance
Catalyst Funds names new chief risk officer and chief operating officer in expanding its risk team...
MutualFundWire.com -
Tuesday, July 11, 2017
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An ESG Startup Comes to the NYSE
The Washington D.C.-based firm takes a "solutions first" approach in evaluating ESG characteristics in a company and also employs the U.N. Sustainable Development Goals metrics.....
MutualFundWire.com -
Tuesday, July 11, 2017
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Reader Rating: 5
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Fintech Firm Teams Up With Vestwell
The newly integrated platforms intend to create a one stop shop for advisors.....
401kWire.com -
Tuesday, July 11, 2017
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Oregon's Pilot Program Takes Flight
The nation's first SARP now has participants. ..
401kWire.com -
Tuesday, July 11, 2017
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Reader Rating: 5
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Post-Pioneer, Amundi Freezes Hiring and Plans Cuts
Yet it's not clear what effect the cost-savings initiative will have on this side of the pond...
MutualFundWire.com -
Tuesday, July 11, 2017
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Follow the Fundsters - July 11, 2017
The latest hires, fires, and more!..
MutualFundWire.com -
Tuesday, July 11, 2017
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Empower Scores a Midwestern Insurer's 401k
The motivation for the switch was three-pronged. ..
401kWire.com -
Monday, July 11, 2016
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Reader Rating: 4.88
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A 15-Year Victory Vet Departs
The distro exec moves on as the Ohio-based mutual fund shop is buying another firm...
MutualFundWire.com -
Monday, July 11, 2016
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Stork and Reaper -- July 11, 2016
The latest filings from the SEC!..
MutualFundWire.com -
Monday, July 11, 2016
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An Epic Advisor Moves Up...
Manny Marques appoints a senior level employee.....
401kWire.com -
Monday, July 11, 2016
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Judge Tosses Case Against Edison International
The plaintiff has 21 days to amend her complaint. ..
401kWire.com -
Monday, July 11, 2016
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Reader Rating: 5
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Ascensus Appoints Two Regional VPs
Two retirement plan consultants move up in the ranks of Ascensus' sales team...
401kWire.com -
Monday, July 11, 2016
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Reader Rating: 4.5
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DC Plan Audits Are on the Rise
Willis Towers Watson expects the pace of audits to continue for the foreseeable future. ..
401kWire.com -
Monday, July 11, 2016
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Reader Rating: 3.5
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The Brexit Hedge, Fundster Style
Starring ... the finance chief of a multinational, publicly-traded asset manager...
MutualFundWire.com -
Monday, July 11, 2016
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Gundlach Makes a Play for His Hometown NFL Team
The Western New York-native has shown interest in the Buffalo Bills...
MutualFundWire.com -
Friday, July 11, 2014
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Reader Rating: 2
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Will Russell's Plum Asset Arm Agree With Buyers' Stomachs?
Seems like there are other people besides MFWire who see a buying opportunity in the LSE-Russell deal, the question is how to pull it off...
MutualFundWire.com -
Friday, July 11, 2014
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Aspiring Fundster? Then Answer These Nine Questions
Two SEI executives are putting together a list of things you need to think about before you decide to enter the '40 Act Space...
MutualFundWire.com -
Friday, July 11, 2014
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The "Adams" Family: Nevin Decides to Move Out
The ex-PlanSponsor editor-in-chief's decision leaves a hole at EBRI...
401kWire.com -
Friday, July 11, 2014
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Reader Rating: 5
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USI Consulting Group Picks a President for Its RIA
USI Consulting Group announced a new promotion for a former vp...
401kWire.com -
Friday, July 11, 2014
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Fido's Driving a Fortune 500 Sponsor's $609MM 401k
Updated | The Boston Behemoth landed recordkeeping and consulting services for a company based in Illinois. ..
401kWire.com -
Friday, July 11, 2014
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Reader Rating: 5
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A Giant Indie B-D Group Hunts for 401k Experts
The B-Ds support more than 8,000, and their new retirement plan services chief is hiring...
401kWire.com -
Friday, July 11, 2014
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Reader Rating: 2
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AUM Up for Charm City Manager
June AUM is up nearly $13B, or 2 percent, compared to nearly a year ago...
MutualFundWire.com -
Thursday, July 11, 2013
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PM Changes at a Davis Fund
The Davis Opportunity Fund has amended its PM information. [SEC Filing].
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MutualFundWire.com -
Thursday, July 11, 2013
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Shareholders at Cornerstone Approve New Sub-Advisor
On June 28, 2013, shareholders of the Cornerstone Advisors Global Public Equity Fund approved a new investment sub-advisory agreement between Cornerstone Advisors, the investment advisor of the fund, and Numeric Investors. [SEC Filing].
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MutualFundWire.com -
Thursday, July 11, 2013
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New Research Group Decides Not to Wait For Washington
So they're changing the 401(k) by themselves...
401kWire.com -
Thursday, July 11, 2013
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Value Line Funds Amend Fees
Effective August 1, 2013, The Value Line Fund's [profile] Rule 12b-1 fee will be charged at a rate of 0.25% of the fund’s average daily net assets. Effective August 1, 2013, Value Line Larger Companies Fund's Rule 12b-1 fee will be charged at a rate of 0.15% of the fund’s average daily net assets after giving effect to a waiver equal to 0.10% of the fund’s average daily net assets. [SEC Filing:I] [SEC Filing:II].
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MutualFundWire.com -
Thursday, July 11, 2013
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A Series Trust Passes $5B
It doubled its AUM in less than a year...
MutualFundWire.com -
Thursday, July 11, 2013
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A Beta Fund Adopts a New Distribution Plan
The GMG's Defensive Beta Fund has adopted a distribution plan pursuant to which the fund may pay the fund's distributor an annual fee for distribution and shareholder servicing expenses of up to 0.25% of the fund's average daily net assets. [SEC Filing]. ..
MutualFundWire.com -
Thursday, July 11, 2013
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A RiverNorth/Oaktree Fund Welcome New PM
Effective June 30, 2013, Shannon Ward was added as a co-PM for the RiverNorth [profile] Oaktree [profile] High Income Fund. [SEC Filing]...
MutualFundWire.com -
Thursday, July 11, 2013
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PMC's Board Approves a Sub-Advisory Agreement
On June 20, 2013, The board of trustees of the PMC Diversified Equity Fund approved a sub-advisory contract between Envestnet Asset Management and Delaware Investments Fund Advisers in accordance with an exemptive order granted to the PMC Diversified Equity Fund by the U.S. Securities and Exchange Commission effective as of September 26, 2007. [SEC Filing].
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MutualFundWire.com -
Thursday, July 11, 2013
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BlackRock International Limited No Longer Sub-Advisor for a Fund
Effective July 1, 2013, BlackRock International Limited is no longer a sub-advisor to BlackRock's [profile] Global Allocation V.I. Fund – Class III. [SEC Filing].
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MutualFundWire.com -
Thursday, July 11, 2013
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Like Our SMA? Buy Our Fund, and Vice Versa.
Boutique plays down differences between SMA and mutual fund. "You just want to provide clients with choice," says firm's head of marketing and biz development...
MutualFundWire.com -
Thursday, July 11, 2013
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Bond ETFs and MFs Behave Differently Under Market Stress
Index Universe''s Matt Hougan writes about the specific pros and cons of holding bond ETFs vs, bond mutual funds. ..
MutualFundWire.com -
Thursday, July 11, 2013
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Delaware Updates PMs
The Delaware Pooled Trust has amended its PM information for the Emerging Markets Portfolio. [SEC Filing]...
MutualFundWire.com -
Thursday, July 11, 2013
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Vanguard Urges Advisors to Calm Clients, Business Insider Agrees
Vanguard's latest commentary tells advisors to focus clients' allocations based on their needs not their wants...
MutualFundWire.com -
Thursday, July 11, 2013
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BlackRock Strategist: Three Risks Could Hurt Market Rally
Russ Koesterich, BlackRock investment strategist, lists three things that could halt the market rally...
MutualFundWire.com -
Thursday, July 11, 2013
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Park Avenue Firm Surfs Mutual Fund Wave
Asset manager's first fund is a fixed income product that will try to be "interest rate neutral" by way of derivatives and other strategies...
MutualFundWire.com -
Thursday, July 11, 2013
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Reader Rating: 4
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Portfolio of 3 Simple ETFs Effective As 3 MFs
IndexUniverse's Paul Britt uses Anna Prior's WSJ story on simple mutual fund portfolios as a jumping off point for a discussion on ETF portfolios. ..
MutualFundWire.com -
Thursday, July 11, 2013
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Distributor Slashes Fee on Covered Call Fund
Northern Lights Distributors move is just the latest example of lowering fees in the industry...
MutualFundWire.com -
Thursday, July 11, 2013
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How Did Gross' "New Normal" Prediction Pan Out?
Bill Gross 2009 prediction of the new normal didn't come to fruition in every way,CBS' Larry Swedroe explains...
MutualFundWire.com -
Thursday, July 11, 2013
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Personal Capital Changes Up Its Company Structure
The retirement plan business has been spun off...
401kWire.com -
Thursday, July 11, 2013
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Reader Rating: 1
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A Top Financial Engines Vet Takes Over a Booming DC I-O
A Beantown asset manager names a new retirement solutions chief after an industry veteran departs...
401kWire.com -
Thursday, July 11, 2013
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Bond Fund Carnage Abates, Money Funds See Inflows
Though bond funds are still experiencing outflows, they decreased sharply this week...
MutualFundWire.com -
Thursday, July 11, 2013
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Fundsters Are Bullish About Hiring
The Future is bright for job applicants to mutual fund companies next year, as more investment management executives plan to hire in 2014...
MutualFundWire.com -
Thursday, July 11, 2013
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Massachussetts Slaps 15 Firms With Subpoenas on Alts
The sale of high-risk alternatives to seniors has raised the eyebrow of Massachusetts investigators...
MutualFundWire.com -
Thursday, July 11, 2013
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Brown Brothers Has High Hopes for Vanguard's European ETFs
Brown Brothers Harriman will provide custody services for Vanguard's first European ETFs...
MutualFundWire.com -
Wednesday, July 11, 2012
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An Ex-MassMutual Wholesaler Lands
Brian Armstrong is one of two new hires for regional sales spots at a insurer-owned plan provider...
401kWire.com -
Wednesday, July 11, 2012
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Reader Rating: 5
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USAA Drops Batterymarch, Hires Two
USAA terminates Batterymark's contract for the $1.1 billion USAA Small Cap Stock Fund...
MutualFundWire.com -
Wednesday, July 11, 2012
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Schwab Pairs with Mondrian ... Again
Schwab's latest mutual fund is sub-advised by Mondrian Investment Partners Limited and geared towards international diversification...
MutualFundWire.com -
Wednesday, July 11, 2012
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J.P. Morgan Lights Up with a New RKing Client
Washington Gas Light Company's $119M plan has switched to J.P. Morgan Retirement Services..
401kWire.com -
Wednesday, July 11, 2012
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Reader Rating: 4
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Molewski Financial Partners Adds an Educator
Former Prudential employee will focus on expanding participation...
401kWire.com -
Wednesday, July 11, 2012
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Surprise, Surprise: Alternatives Are Popular
Growth for alternatives slowing but still strong, Cerulli says...
MutualFundWire.com -
Wednesday, July 11, 2012
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Columnists Say "Eh" to NYTimes' JPMorgan Exposé
The media weighs in on the New York paper's slamming of JPMorgan last week and come to the conclusion about how big (or little) the issue really is...
MutualFundWire.com -
Wednesday, July 11, 2012
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Reader Rating: 3
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Wells' Real Estate Nixes REIT Fee
The real estate specialist is internalizing an unpopular fee. ..
MutualFundWire.com -
Wednesday, July 11, 2012
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Money Funds and the One Percent
A senior SEC official estimates proposed 'cushion'..
MutualFundWire.com -
Wednesday, July 11, 2012
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BMO's Sales SVP Decamps
Former national sales director looking for new gig in sales...
401kWire.com -
Wednesday, July 11, 2012
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Reader Rating: 5
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Aberdeen to Acquire a Pair of Credit Suisse Funds
Credit Suisse Asset Management says 'managing benchmark-driven, long-only and short-extension quantiative equity strategies is longer consistent' with the asset manager's overall business strategy...
MutualFundWire.com -
Monday, July 11, 2011
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Wells Fargo Marries Compliance with an Enrollment Campaign
The plan provider is also adding a few more products and services to its lineup...
401kWire.com -
Monday, July 11, 2011
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Reader Rating: 4
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EBRI Attacks a Proposal to Limit Contributions
The industry think tank shows that it's the high and low income earners who will hurt the most under a proposal to restrict DC deferrals...
401kWire.com -
Monday, July 11, 2011
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American Beacon Unveils an Unconstrained Bond Fund
The Texas-based firm tapped three sub-advisors, including Pimco...
MutualFundWire.com -
Monday, July 11, 2011
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Russell Boosts its Bank Channel Team
The Seattle-based firm promotes two as part of efforts to grow its presence in the bank channel...
MutualFundWire.com -
Monday, July 11, 2011
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Brokerage Windows Capture the Gray Lady's Eye
A columnist for the national paper returns to the subject of 401ks, this time to push an investing option...
401kWire.com -
Monday, July 11, 2011
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UBS Taps a Mercer Vet for a DC Post
A 23-year veteran of Mercer Investment Consulting has moved on to UBS...
401kWire.com -
Monday, July 11, 2011
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Reader Rating: 1
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Wagner Teams Up With a Tech Firm
Updated | A Beantown ERISA legal eagle will support a new disclosure offering for the DC biz...
401kWire.com -
Monday, July 11, 2011
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Fresh from an Acquisition, Sentinel Ponders More Deals
A national RIA acquirer helps an RKing, producing TPA make a second acquisition near the Big Apple...
401kWire.com -
Monday, July 11, 2011
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Old Mutual Hires an Institutional Retirement Exec
The new hire, an alum of Artisan Partners, Ixis and Fidelity, will focus on expanding the asset manager's sub-advisory and DC I-O business...
401kWire.com -
Monday, July 11, 2011
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An Ex-Rainier CEO Joins Russell
The exec will run the EMEA business...
MutualFundWire.com -
Monday, July 11, 2011
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An Analyst Downgrades Legg Mason's Stock to Sell
A ratings agency slashes its rating of the Maryland mutual fund firm...
MutualFundWire.com -
Monday, July 11, 2011
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Three Fund Firms Have Made Official IPO Plans: Who's Next?
A trade pub wonders which asset managers will try to go public in the wake of S-1 filings by Artisan, Manning & Napier, and Oaktree...
MutualFundWire.com -
Monday, July 11, 2011
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Hewitt Hires a Leader for its B-D Arm
The plan recordkeeper has tapped a former Ameritrade and Invesmart executive to head its brokerage business. ..
401kWire.com -
Friday, July 11, 2008
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Loomis Sayles Puts a Cap on a Fund
Loomis, Sayles is closing its small cap value fund to new investments...
MutualFundWire.com -
Friday, July 11, 2008
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Schwab Gives TPAs More Fund Choice
Nearly two dozen new fund families will have shelf space on Schwab's TPA platform. ..
401kWire.com -
Friday, July 11, 2008
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Reader Rating: 3
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Calvert Gets its Feet Wet With a New Fund
Calvert is tapping into the commodities boom with a new fund...
MutualFundWire.com -
Friday, July 11, 2008
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More Foreign Competition May Be Coming for U.S. B-Ds
The SEC has proposed to amend rule 15a-6 of the 1934 Securities Exchange Act...
MutualFundWire.com -
Friday, July 11, 2008
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Schroders is Exploring a New Retirement Solution
A Merrill Retirement alum now with Schroders talks to The 401kWire about what kind of product the asset manager is looking at creating...
401kWire.com -
Friday, July 11, 2008
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Gross Gets Dragged into the Lehman Mess
Pimco's chief investment officer did his part to dispel rumors about whether the fund firm had cut ties to Fannie Mae on Thursday...
MutualFundWire.com -
Friday, July 11, 2008
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PowerShares Looks to the Middle East and Africa
The Invesco unit has launched an ETF that provides access to equity markets in the Middle East and North Africa...
MutualFundWire.com -
Friday, July 11, 2008
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Tsai Dies: Go-Go Era Fund Manager Passes Away
There is an old Hollywood legend that stars die in threes. Today the fund industry learned that it may be following that tradition as another fund industry legend passed away. ..
MutualFundWire.com -
Friday, July 11, 2008
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Reader Rating: 5
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Management Wins Funds' Proxy Vote
The Friday WSJ Fund Track focuses on findings from ICI's study on proxy votes cast by 160 of the biggest fund firms...
MutualFundWire.com -
Friday, July 11, 2008
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Legg Mason's Miller is in Last Place. Can He Come Back?
A year ago Legg Mason's flagship fund had more than $20 billion of AUM, that number is down to under $7 billion and still falling thanks to Bill Miller's big bets on Freddie and Fannie...
MutualFundWire.com -
Friday, July 11, 2008
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Reader Rating: 4.33
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Fallout From TPA Bankruptcy Hits AIG
After the collapse last fall of their DC advisory and administration firm, eight plan sponsors sue the insurance BD network for more than $4 million. The plaintiffs claim AIG should have known something was amiss...
401kWire.com -
Wednesday, July 11, 2007
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Reader Rating: 3
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Pru Melds Guaranteed Income Solution With Asset Allocation Offering
The Newark-based provider has unveiled an in-plan asset allocation option that comes with a guaranteed withdrawal benefit...
401kWire.com -
Wednesday, July 11, 2007
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Reader Rating: 5
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Ex-Ibbotson Exec Hedges His Future
A year after the sale to Morningstar, one of the managed account provider's top dogs moves to a new role alongside a familiar face.
..
401kWire.com -
Wednesday, July 11, 2007
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Guardian Picks Managed Account QDIA Provider
The Empire State insurance provider will offer its sponsors a long-time partner's product as a plan default...
401kWire.com -
Wednesday, July 11, 2007
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Reader Rating: 5
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MG Advisory Services Links Up With Florida RIA
The Matrix subsidiary will make a Sunshine State firm's asset allocation program available to TPAs...
401kWire.com -
Wednesday, July 11, 2007
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Securities America Fined Over Improper Directed Brokerage Commissions
The case involves directed brokerage commissions, but NASD officials say it is unlike any other case they've pursued in the past...
MutualFundWire.com -
Wednesday, July 11, 2007
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SEC Approves Anti-Fund Fraud Rule
The SEC voted unanimously on Wednesday in favor of the new regulation, which will affect mutual funds and hedge funds...
MutualFundWire.com -
Wednesday, July 11, 2007
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Big B-Ds Probed Over Sales of Structured Products
Massachusetts' chief financial regulator is investigating large B-Ds over the sale of complex investment products...
MutualFundWire.com -
Wednesday, July 11, 2007
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Reader Rating: 2.91
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FundQuest Launches Retirement Income Platform
The Beantown-based managed account provider has completed the national rollout of its retirement income distribution platform...
401kWire.com -
Wednesday, July 11, 2007
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Discount Broker Adds Options and Funds
Clients of the Washington, D.C.-based broker can now trade options and mutual funds, and market-on-open / market-on-close order trading is coming soon, too...
MutualFundWire.com -
Wednesday, July 11, 2007
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Reader Rating: 4.33
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Clearbrook Advisors Names President
Clearbrook Advisors has tapped an executive from UBS as its president...
MutualFundWire.com -
Wednesday, July 11, 2007
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Reader Rating: 3.14
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Claymore Adds Two to ETF Menu
The Lisle, Illinois-based firm has broadened its lineup of offerings with two international ETFs...
MutualFundWire.com -
Wednesday, July 11, 2007
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Reader Rating: 3
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Study Spotlights Link Between Plan Participation and Employee Turnover
New research from a Big Apple consulting firm provides
further support to the view that increased plan participation can lead to lower employer turnover...
401kWire.com -
Wednesday, July 11, 2007
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Provider Discloses $7.3 Million Endorsement Payment
An insurance giant reveals the size of the check it's writing this year to a government organization that's pushing the firm's retirement plans.
..
401kWire.com -
Wednesday, July 11, 2007
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Reader Rating: 5
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NASD Finds A.G. Edwards Liable In California Case
An NASD arbitration panel has found A.G. Edwards liable for $258,300 for failure to properly supervise an Irvine, California broker...
MutualFundWire.com -
Wednesday, July 11, 2007
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Reader Rating: 3
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Post BofA-US Trust Deal, What Will Happen to Excelsior Funds?
With the completion of Bank of America's acquisition of U.S. Trust from Charles Schwab, what will happen to Excelsior Funds?..
MutualFundWire.com -
Wednesday, July 11, 2007
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Reader Rating: 2.83
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UK Firm Adds to US Family
Continuing to build its U.S. fund family, a London-based asset manager has rolled out a new bond fund for the American market...
MutualFundWire.com -
Tuesday, July 11, 2006
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MassMutual Adds Relationship Managers
There are two new faces at the Springfield, Massachusetts-based firm's Detroit office...
401kWire.com -
Tuesday, July 11, 2006
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Time to Present Your STAR Qualities
The MFWire has received a reminder that next Monday, July 17th, marks the deadline for entries to the 10th anniversary STAR awards competition for fund companies...
MutualFundWire.com -
Tuesday, July 11, 2006
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Reader Rating: 4
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Major Fund Firm Featured on Financial Site for Women
A large financial company has built an addition to its Web site especially for women, and the new pages include information on the offerings of a well-known fund company...
MutualFundWire.com -
Tuesday, July 11, 2006
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ExpertPlan Makes Changes at the Top
The outsourced recordkeeper's COO ascends to its presidency as Tim O'Brien relinquishes the reins...
401kWire.com -
Tuesday, July 11, 2006
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Reader Rating: 3.33
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First Trust Sees Future of ETFs in Alpha
First Trust Advisors has set itself a goal of 15 ETFs by yearend, and gradually it's getting there: Tuesday's debut of the First Trust DB Strategic Value Index Fund on the American Stock Exchange marked their eighth...
MutualFundWire.com -
Tuesday, July 11, 2006
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Reader Rating: 2.33
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New CFO At Wachovia's Capital Management Group
The new CFO will oversee all finance operations for the financial services company's capital management group...
401kWire.com -
Tuesday, July 11, 2006
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Show Me State Investment Manager Shows You How to Spend
The firm recently announced enhancements to its specialized investment planning services for those at or near retirement...
401kWire.com -
Tuesday, July 11, 2006
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American Century Gives Newly Retired a Hand
With America's retirees in jeopardy of outliving their savings, American Century Investments has developed a new service to assist those whose problems are down to miscalculation...
MutualFundWire.com -
Tuesday, July 11, 2006
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DailyAccess Hires Two Senior Consultants
The new recruits complete the consulting team lineup...
401kWire.com -
Tuesday, July 11, 2006
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Rollover Provider Gets CFO
The appointment comes amid the expansion in the firm's offerings...
401kWire.com -
Tuesday, July 11, 2006
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Reader Rating: 1
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DTCC: Upgrades Almost Ready
Those awaiting enhanced data services from the Depository Trust & Clearing Corporation received assurances Tuesday that the organization is on course to deliver.
..
MutualFundWire.com -
Tuesday, July 11, 2006
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PA Newcomer Seeks Foreign Dividends
An infant Pennsylvania fund firm has launched a new open-end mutual fund to invest in foreign securities...
MutualFundWire.com -
Tuesday, July 11, 2006
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Reader Rating: 5
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Proffer Could Be Key in Security Trust Trial
A judge will decide whether to allow statements made by ex-STC executive William Kenyon under proffer...
401kWire.com -
Monday, July 11, 2005
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Fido Gives DeSano New Task
The top equity trader at Fidelity remains with the Boston Behemoth, but with a new job title amd duties away from the trading desk .....
MutualFundWire.com -
Monday, July 11, 2005
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MetLife Names 401k Sales Director
The insurer has reorganized its sales force targeting the small- and mid-plan markets...
401kWire.com -
Monday, July 11, 2005
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Reader Rating: 2.5
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Financial Engines Rolls Managed Accounts for Alcoa
The advice provider is finishing part two of its mandate with Alcoa...
401kWire.com -
Monday, July 11, 2005
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Church Combines DB and DC Mandates
The Wesleyan Pension Funds has tapped its defined contribution plan provider for a $20 million defined benefit plan mandate...
401kWire.com -
Monday, July 11, 2005
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U.S. Bank Boost NorCal Sales Team
The bank's trust department hires two for sales in the NorCal region...
401kWire.com -
Monday, July 11, 2005
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Reader Rating: 1.5
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ICON Names National Sales Manager
ICON Advisors has tapped both a national sales manager and expanded its ranks of regional wholesalers. The Greenwood Village-based firm said that it created the national sales manager post and filled it by promoting Elvis Medica. ICON also hired one wholesaler and promoted an existing executive to a second wholesaler post...
MutualFundWire.com -
Monday, July 11, 2005
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Evergreen Launches Short Term Bond Fund for Institutions
Evergreen Investments is targeting institutional investors with a new fixed income fund. The Evergreen Institutional Enhanced Income Fund (NASDAQ: EIEIX) will invest primarily in short term bonds and carry a $1 million initial investment...
MutualFundWire.com -
Monday, July 11, 2005
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Ed Jones Slapped With Suit
A Texas law firm has hit the broker dealer with a potential class action over it selling of shelf space...
MutualFundWire.com -
Monday, July 11, 2005
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SEC Subpoenas Morningstar
The SEC formally requests documents concerning Morningstar’s retirement consulting business...
MutualFundWire.com -
Monday, July 11, 2005
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Reader Rating: 5
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Speculation Starts on AMR Bidders
ARM put its asset management arm on the block last fall. Who are the willing buyers?..
MutualFundWire.com -
Friday, July 11, 2003
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Morgan Admits to SEC Probe
The SEC is looking into how the broker-dealer sells fund shares to investors...
MutualFundWire.com -
Friday, July 11, 2003
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Are Hedge Funds Safe at Any Speed?
The blowup at Lancer should be making fund firms take a step back...
MutualFundWire.com -
Friday, July 11, 2003
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Reader Rating: 5
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Managed Accounts Gain Attention
The ERISA Advisory Council is exploring how the new product will impact the industry as it readies a report for the DoL...
401kWire.com -
Friday, July 11, 2003
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Reader Rating: 4
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Fido Canada Names Distribution Chief
The fund firm has tapped a high net worth specialist from a Canadian bank for the job...
MutualFundWire.com -
Friday, July 11, 2003
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Model Building Made Easier
DailyAccess rolls out Web-tools designed to help plans and advisors building model portfolios...
401kWire.com -
Friday, July 11, 2003
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Reader Rating: 4.2
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e401k Opens Its Doors
After a long travail (and a fight with Fidelity) the site is open for business with a new partner...
401kWire.com -
Thursday, July 11, 2002
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Forging a New Vendor
A Rust Belt sponsor is evaluating its options...
401kWire.com -
Thursday, July 11, 2002
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Janus Denies Selling Rumors
The fund firm says Wall Street rumongers are making things up as the markets sink...
MutualFundWire.com -
Thursday, July 11, 2002
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Energy South Selects
The company makes a decision for its DB plan...
MutualFundWire.com -
Thursday, July 11, 2002
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Jumping Up
There is a new cio at a New Hampshire fund family...
MutualFundWire.com -
Thursday, July 11, 2002
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Get Out There
That is the advice from one public relations exec to the mutual fund industry...
MutualFundWire.com -
Thursday, July 11, 2002
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Software Upgrade for SAs
There is a new system that is designed to benefit those in the wrap business...
MutualFundWire.com -
Thursday, July 11, 2002
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Aon Unaware of SEC Probe
Aon officials say that they are not aware of any SEC probe into the brokerage firm's accounting...
401kWire.com -
Thursday, July 11, 2002
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Joining EnvestnetPMC
There is a new cto at the firm...
MutualFundWire.com -
Thursday, July 11, 2002
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A Loss for Fido
A recent plunge for a drug company affects the Boston Behemoth...
MutualFundWire.com -
Thursday, July 11, 2002
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Reader Rating: 3
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British Unions Fight for DB
A new report is rallying British unions to preserve traditional defined benefit plans...
401kWire.com -
Thursday, July 11, 2002
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Some International Flair, Please
A plan is seeking an international equity fund...
401kWire.com -
Thursday, July 11, 2002
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Quarter End Boom
A number of funds specializing in tech and small caps benefited with a quarter-end boost after a wacky day on the Nasdaq June 29.
..
MutualFundWire.com -
Wednesday, July 11, 2001
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Reader Rating: 3
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Wealth Management Companies in the Dark?
Boston Consulting releases study ... Nance back at Putnam ... Wolf leave Fido...
MutualFundWire.com -
Wednesday, July 11, 2001
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Reader Rating: 3
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Wealth Management Companies in the Dark?
Boston Consulting releases study ... Nance back at Putnam ... Wolf leave Fido...
401kWire.com -
Wednesday, July 11, 2001
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Reader Rating: 3
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Lutherans Join Forces
The joining of two Fortune 500 firms creates a fund complex with $13 billion in assets.
..
MutualFundWire.com -
Wednesday, July 11, 2001
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Reader Rating: 3
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Good Grief, More Education
New York Life is the latest firm to enhance its educational offerings...
401kWire.com -
Wednesday, July 11, 2001
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Reader Rating: 3
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FE Just Too Darn Busy
The advice provider has another three clients for its services...
401kWire.com -
Wednesday, July 11, 2001
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Reader Rating: 3
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Another Stamp in Northern Trust's Passport
The vendor has made some educational enhancements to its web service...
401kWire.com -
Wednesday, July 11, 2001
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Reader Rating: 3
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Invesmart is in the Money
Defined contribution plan recordkeeping may not seem like a sexy dot-com business, but that hasn't stopped Invesmart from raising nearly $100 million in venture capital...
401kWire.com -
Tuesday, July 11, 2000
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Reader Rating: 3
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Advisor Anxiety
The members of the Schwab AdvisorSource program have been having a few sleepless nights since the acqusition of U.S. Trust...
MutualFundWire.com -
Tuesday, July 11, 2000
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Reader Rating: 3
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Software Pulls Plan Data for Portals
Pyramid Digital roles out a middleware product to ease the integration of plan data into benefit portals and other Web sites...
401kWire.com -
Tuesday, July 11, 2000
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Reader Rating: 3
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Ohio Tuition Program Taps Putnam
The Boston-based fund company is the latest to land a Section 529 college tuition savings program...
MutualFundWire.com -
Tuesday, July 11, 2000
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Reader Rating: 3
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American Century Antes Up
Who's giving money to FOLIOfn? American Century Ventures today announced that it is part of the company's mezzanine financing...
MutualFundWire.com -
Tuesday, July 11, 2000
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Reader Rating: 3
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Putnam Proffers New Portal
The fund company debuts a benefits portal for 401k clients featuring thrid-party content...
401kWire.com -
Tuesday, July 11, 2000
-
Reader Rating: 3
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July 11, 2000
Value Line's CEO files suit again ... More on MAXfunds...
401kWire.com -
Tuesday, July 11, 2000
-
Reader Rating: 3
|
July 11, 2000
Value Line's CEO files suit again ... More on MAXfunds...
MutualFundWire.com -
Tuesday, July 11, 2000
-
Reader Rating: 3
|
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