338 Specialists Gather in LA
An RFP shop gathers about 30 DC and DB industry insiders to talk about reporting standards for discretionary investment management services...
401kWire.com -
Monday, December 10, 2018
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Reader Rating:4
Week In Preview, December 10-16
This week the teams at FIASI, the SEC, and T. Rowe Price are all hosting events...
MutualFundWire.com -
Monday, December 10, 2018
Week In Preview, December 10-16
This week the teams at EBRI and North Pier are hosting events...
401kWire.com -
Monday, December 10, 2018
When Doing a Deal, Check For Neckties
RIA industry dealmakers and custodians share some M&A tips with advisors. KPAs looking to buy others should take heed...
401kWire.com -
Thursday, December 10, 2015
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Reader Rating:3
The 2015 Market Counsel Summit In Pictures
This week about 500 people, mostly RIAs and their vendor allies, gathered in south Florida for MarketCounsel's eighth annual summit. Here's a few glimpses of how it all went down...
MutualFundWire.com -
Thursday, December 10, 2015
An OpFunds Vet Builds Out Retail For a $25B Shop
A publicly-traded, institutional asset manager hired an intermediary distribution chief earlier this year. Now he's hiring a sales force...
MutualFundWire.com -
Thursday, December 10, 2015
RIABiz to Vendors: Shape Up!
The trade pub takes fundsters, software shops, and custodians to task for bringing non-RIA sales speak and practices to the RIA channel...
MutualFundWire.com -
Thursday, December 10, 2015
Gundlach Enters 401k Territory
DoubleLine just launched its first collective trust. More are coming, and so is a DC I-O chief...
401kWire.com -
Wednesday, December 10, 2014
Neuberger's Word For 2015: Divergence
This morning reporters gathered at the mutual fund shop's HQ to hear from its top PMs...
MutualFundWire.com -
Wednesday, December 10, 2014
This RKer Aims For Ubiquity
A West Coast-based open architecture provider will rebrand next week...
401kWire.com -
Wednesday, December 10, 2014
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Reader Rating:5
A NorCal KPA Aligns With NFP
...a 401(k) plan advisor is now licensed with NFP as a B-D...
401kWire.com -
Wednesday, December 10, 2014
Next Week, Neuberger Will Be Free At Last
George Walker talks about the asset manager and its slow divorce from the fallen Lehman Brothers...
MutualFundWire.com -
Wednesday, December 10, 2014
Nordquist Says Wells' 401k Biz Won't Miss a Beat
Laurie Nordquist is leaving Wells Fargo's institutional retirement business to head up an insurance division at the bank. She disclosed to 401kWire why she's leaving and what will happen to the firm's retirement biz. ..
401kWire.com -
Tuesday, December 10, 2013
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Reader Rating:4.33
M* Says Goodbye to a Public Voice
The Chitown mutual fund ratings giant is searching for a new media relations chief for one of its business lines...
MutualFundWire.com -
Tuesday, December 10, 2013
Woods Leaves DWS
The departure comes as a new hire takes over as president and head of fund administration for DWS Funds in the U.S...
MutualFundWire.com -
Tuesday, December 10, 2013
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Reader Rating:5
Transamerica Brings Four Mandates In-House
Updated | The Aegon subsidiary will hire a sibling as subadvisor for four mutual funds...
MutualFundWire.com -
Tuesday, December 10, 2013
Retirement's Racial Divide
A think tank released a new study pointing to the disparity between the retirement readiness of minorities and whites. ..
401kWire.com -
Tuesday, December 10, 2013
Schwab Wins Over a Fifth Third 401k Alum
The brokerage giant adds an East Coast retirement plan wholesaler focused on consultants...
401kWire.com -
Tuesday, December 10, 2013
Is Mansueto About to Buy Another Pub?
The M* founder is reportedly interested in buying the company behind a high-profile magazine...
MutualFundWire.com -
Tuesday, December 10, 2013
New York Life Adds 100K Participants
The RKer tells us just how much in a year-end release...
401kWire.com -
Monday, December 10, 2012
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Reader Rating:2
A Consultant Grades Stable Value Risk
The latest Chris Tobe research assigns a number grade to stable value funds based on their risk...
401kWire.com -
Monday, December 10, 2012
SEC Smites Morgan Keegan Fund Directors
The regulatory agency alleges that the executives violated federal asset pricing laws...
MutualFundWire.com -
Monday, December 10, 2012
The Megamarket Demands TDFs and TIPS
The latest Callan study shows what large plans are doing...
401kWire.com -
Monday, December 10, 2012
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Reader Rating:3
Borzi Tells a Fee Disclosure Tale
The EBSA chief's latest e-mail tells the story of a woman who thought her accounts were free..
401kWire.com -
Monday, December 10, 2012
A DC I-O Kicks Its Platform Up a Notch
Firm partners with software vendor MPI to enhance its system...
401kWire.com -
Monday, December 10, 2012
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Reader Rating:1.6
Marsico Out-Houdinis Houdini
The Denver Post profiles the mutual fund chief...
MutualFundWire.com -
Monday, December 10, 2012
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Reader Rating:1
Fidelity Falls One Rung on a Forbes List
Fido was the only mutual fund firm to rank on Forbes' annual list of the biggest private companies in the United States.
..
MutualFundWire.com -
Monday, December 10, 2012
$25B Flows Into ETPs
ETFs and other exchange-traded products collectively hit year-to-date inflow record...
MutualFundWire.com -
Monday, December 10, 2012
A Babson Prof Enters the Mutual Fund Biz
The college professor launched his debut mutual fund last month...
MutualFundWire.com -
Friday, December 10, 2010
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Reader Rating:5
Want to Be Part of Vanguard's Sales Crew?
The Valley Forge, Pennsylvania-based firm has openings on its financial advisor services sales team...
MutualFundWire.com -
Friday, December 10, 2010
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Reader Rating:2
WSJ Spotlights a Lazard Fund
A Lazard Fund is pushing all the right buttons in the small-to-mid cap space.
..
MutualFundWire.com -
Friday, December 10, 2010
Bill Gross Sees First Outflows in Two Years
Last month was the first month in two years that Pimco Total Return had net outflows...
MutualFundWire.com -
Friday, December 10, 2010
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Reader Rating:1
OppFunds Boasts the Only 'Excellent' Website For Advisors
DALBAR, the Boston-based market research firm, revealed the 'best mutual fund websites' in its quarterly report released on Thursday...
MutualFundWire.com -
Thursday, December 10, 2009
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Reader Rating:5
Ascensus Accelerates the Sales Process
The Keystone State-based recordkeeper beefs up one of its services...
401kWire.com -
Thursday, December 10, 2009
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Reader Rating:2
Principal Offers TPAs an Expense Allowance
The Des Moines, Iowa-based plan provider is making the expense allowance program available in the first quarter...
401kWire.com -
Thursday, December 10, 2009
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Reader Rating:2
Standard Makes a Trio of Sales Hires
The Standard brings in Fidelity, Diversified and Alger alums...
401kWire.com -
Thursday, December 10, 2009
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Reader Rating:2.67
Vanguard CEO to Add Chairman to His Title
Bill McNabb will succeed Jack Brennan as chairman next month...
MutualFundWire.com -
Thursday, December 10, 2009
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Reader Rating:5
Maggioncalda and Co Prep For an IPO
Financial Engines files its S-1, with the backing of four underwriters...
401kWire.com -
Thursday, December 10, 2009
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Reader Rating:5
FaithShares Debuts Denomination-based ETFs
The Oklahoma City-based investment adviser launched three new ETFs designed to reflect the various teachings of different Christian denominations on Tuesday...
MutualFundWire.com -
Thursday, December 10, 2009
T. Rowe's ETF Ambitions Draw the WSJ's Notice
In Thursday's WSJ Fund Track, Sam Mamudi picks up on T. Rowe's plans to enter the active ETF fray...
MutualFundWire.com -
Thursday, December 10, 2009
Great-West Bags Awards for Client Campaigns
The plan provider wins five trophies at an international competition for marketing and communications professionals...
401kWire.com -
Wednesday, December 10, 2008
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Reader Rating:3
Mercer Finds that Plan Participants Remain Committed to Saving
Mercer finds virtually no change in the number of participants who plan to keep contributing to their savings plans compared to the past two years...
401kWire.com -
Wednesday, December 10, 2008
Two More Large Plan Sponsors Suspend Their 401k Match
Company contributions to defined contribution plans continue to suffer as companies slash expenses amidst the now-official recession...
401kWire.com -
Wednesday, December 10, 2008
Principal Trims its Staff
It was not immediately clear if the insurer's mutual fund unit is affected by the layoffs...
MutualFundWire.com -
Wednesday, December 10, 2008
Principal Cuts Jobs
The insurer is trimming its workforce by 3.5 percent...
401kWire.com -
Wednesday, December 10, 2008
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Reader Rating:2
WSJ: Commodities Drop Pummels Some ETFs
Not surprisingly, oil and commodity-tracking exchanged-traded products are having a tough time...
MutualFundWire.com -
Wednesday, December 10, 2008
Federated Completes its Prudent Purchase
The Pittsburgh investment manager has completed the acquisition of David Tice & Associates...
MutualFundWire.com -
Wednesday, December 10, 2008
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Reader Rating:5
BenefitStreet Freezes Sales of its ETF 401k Platform
The San Ramon, California-based recordkeeper has decided to temporarily stop selling plans for its ETF 401k platform...
401kWire.com -
Monday, December 10, 2007
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Reader Rating:3.5
Suer Sees More CDO/401k Suits
State Street was first 401k asset manager class-action specialists targeted for losing plan assets in bad CDOs, but it may not be the last...
401kWire.com -
Monday, December 10, 2007
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Reader Rating:2
SEC Saps Sapio
Richard Sapio and two other former Mutuals.com execs have recently settled with the SEC...
MutualFundWire.com -
Monday, December 10, 2007
ALPS Rocks a New Private Equity Fund
ALPS Fund Services is offering a new mutual fund that invests in the common stock of publicly-traded private equity companies...
MutualFundWire.com -
Monday, December 10, 2007
Hartford Execs Give Their '08 Forecast
Executives at the Connecticut-based insurer have revealed their outlook for retirement plan deposits and net flows for 2008...
401kWire.com -
Monday, December 10, 2007
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Reader Rating:4.75
Online BD Turns to WMSI
The Garden State rollover specialists add a twelfth IRA provider to their 'IRA Marketplace.'..
401kWire.com -
Monday, December 10, 2007
Pershing Gives its Clients Access to a 10b5-1 Trading Plan Solution
Pershing's broker-dealer and independent registered investment advisor (RIA) customers now have access to Restricted Stock Systems, Inc.'s 10b5-1 Trading Plan solution...
MutualFundWire.com -
Monday, December 10, 2007
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Reader Rating:3
BGI to Relocate S&P GSCI Commodity-Indexed Trust
Barclays Global Investors is planning to transfer the NYSE-listed iShares S&P GSCI Commodity-Indexed Trust to the NYSE Arca...
MutualFundWire.com -
Monday, December 10, 2007
Amid the ETF Boom, Merrill's Holdrs Dwindle in Popularity
Even as the ETF market has seen tremendous growth, Merrill Lynch's Holdrs products have steadily bled assets over the past several years, The Wall Street Journal reported...
MutualFundWire.com -
Monday, December 10, 2007
Franklin Makes Bet Against B Shares
The number four fund firm will stop selling B class shares effective January 14, 2005. Will others follow suit?..
MutualFundWire.com -
Friday, December 10, 2004
Yardeni to Manage New Oak Fund
Former Prudential strategist Ed Yardeni, who joined Oak Associates three months ago, will co-manage a new core growth fund.
..
MutualFundWire.com -
Friday, December 10, 2004
Philly EBSA Offices Sues NLOCI
The EBSA Philadelphia office is suing former president of West Chester, Pennsylvania-based NLOCI Corporation to recover $17,000 in missing employee contributions plus interest...
401kWire.com -
Friday, December 10, 2004
Harrigan’s Return?
Sean Harrigan, the recently ousted CalPERS president may regain a seat on the pension plan board. Harrigan was voted out by the California Personnel Board after what he characterized as a political campaign led by California Governor Arnold Schwarzenegger. Harrigan, a union member, had been active in using the CalPERS assets to push for corporate reform.
..
401kWire.com -
Friday, December 10, 2004
BoA Promises Beantown 300 More Jobs
Bank of America will relocate 300 more jobs to Boston to build out its wealth and investment unit, the company announced in a press release on Thursday...
MutualFundWire.com -
Friday, December 10, 2004
Will Strong Get His Payoff?
Strong’s mutual fund shareholders vote today to decide whether to join the Wells Fargo family. Did they take the Oracle of Omaha’s suggestion?..
MutualFundWire.com -
Friday, December 10, 2004
Ed Provider to Take Online Orders
A Northwest firm rolls out a new website highlighting its products...
401kWire.com -
Friday, December 10, 2004
Fido Gets Korea Entree Approved
Fidelity’s application to manage money in Korea was approved by the country’s Financial Supervisory Committee on Friday, reported Reuters...
MutualFundWire.com -
Friday, December 10, 2004
ETF Creator Dies
Nathan Most, the American Stock Exchange executive most responsible for the exchange-traded mutual fund. died last week at age 90. His passing was announced even as Barclays announced assets in its iShares ETFs surpassed $100 billion for the first time...
MutualFundWire.com -
Friday, December 10, 2004
The Hartford Keeps Eyes Open for Acquisitions
Attention all beleaguered, embattled, or otherwise struggling fund firms. Do you have a 401(k) unit that just doesn't fit anymore?..
401kWire.com -
Friday, December 10, 2004
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Reader Rating:5
JPMorgan Gets Shareholder O.K.
401k ASP is the latest firm to offer an ETF solution to its clients.First American International Fund shareholders gave a thumbs up to the hiring of JPMorgan Fleming Asset Management as subadvisor. The hiring was greenlighted at a December 8 shareholder meeting U.S. Bancorp Asset Management officials said Thursday. Clay Finlay, Inc. lost the mandate to the London-based arm of JPMorgan Chase...
MutualFundWire.com -
Friday, December 10, 2004
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Reader Rating:2.33
Florida Provider Adds ETFs
401k ASP is the latest firm to offer an ETF solution to its clients...
401kWire.com -
Friday, December 10, 2004
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Reader Rating:2
Schadenfreude for DeSano
Reports that Fidelity is disciplining traders for accepting gifts from broker-dealers are being more widely reported. Thursday the Boston Herald reported that Fidelity may fire some of those involved. Friday other media outlets picked up the story, including the Wall Street Journal that reported that two two traders may be placed on leave while Fidelity awaits a meeting with the SEC set for early next week...
MutualFundWire.com -
Friday, December 10, 2004
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Reader Rating:4
First Command Halts Contract Plan Sales
The broker-dealer accused by the New York Times of gauging military officers when they purchase mutual funds through contractual plans has changed its course. The Times reported Friday that last week First Command Financial Services stopped selling the plans which carry commissions of up to half the first-year contribution. The company said it discontinued the product in response to media and Congressional concerns...
MutualFundWire.com -
Friday, December 10, 2004
Principal Global Adds To Managed Accounts
Co. teams up with Jersey City-based firm for information services...
MutualFundWire.com -
Wednesday, December 10, 2003
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Reader Rating:1
Sponsors Raise Their Concerns About Fund Scandals
Seminar designed to bring sponsors up to date on scandals also addressed their concerns about what they should do...
401kWire.com -
Wednesday, December 10, 2003
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Reader Rating:5
Pru Brokers Take Case to Court
The three brokers continue to deny that they did anything wrong in submitting timing trades to funds...
MutualFundWire.com -
Wednesday, December 10, 2003
PR Firm Lands New Clients
Several firms hire a Denver-based firm to handle their marketing efforts...
401kWire.com -
Wednesday, December 10, 2003
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Reader Rating:5
SEC Will Take Up Disclose
Get ready for a storm. The SEC is looking at requiring funds to disclose both their expenses and their portfolios more often...
MutualFundWire.com -
Tuesday, December 10, 2002
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Reader Rating:4
CIBC Unloads Oppenheimer
The price tag on the deal is just $257 million...
MutualFundWire.com -
Tuesday, December 10, 2002
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Reader Rating:2.25
Business Logic Sees Growth via OFX
The integrations specialist sees growing industry interest in the next version of the protocal, which is to extend beyond Quicken and MS Money...
401kWire.com -
Tuesday, December 10, 2002
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Reader Rating:3.5
US Air Hires New Consultant
The airline has walked away from CRA RogersCasey and hired a new investment consultant for its retirement plans...
401kWire.com -
Tuesday, December 10, 2002
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Reader Rating:4
Bear Stearns Mulls Small KPlan Offering
The new product would be a complement to its new solo-K product...
401kWire.com -
Tuesday, December 10, 2002
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Reader Rating:3
SSRM Puts $74 Million Up For Grabs
Its decision to exit the international asset management business means institutional investors will need new homes for their funds. Quantitative wins the fund mandate...
MutualFundWire.com -
Tuesday, December 10, 2002
FleetBoston Decides on Columbia
The various fund brands will get a makeover in 2003...
MutualFundWire.com -
Tuesday, December 10, 2002
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Reader Rating:2
Donaldson Will be SEC Nominee
The formal submission of his name is expected later today. Donaldson has both Wall Street and Bush family ties...
MutualFundWire.com -
Tuesday, December 10, 2002
Vanguard Will Add Employer Distribution
The Valley Forge-based firm is targeting rollout for the second quarter of 2003...
MutualFundWire.com -
Tuesday, December 10, 2002
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Reader Rating:4
Friday Said to be Deadline for Pitt Replacement
The White House is said to be rushing to find a nominee. The leading candidate may be a familiar face from Schwab...
MutualFundWire.com -
Tuesday, December 10, 2002
401(k) Limits May Get a Boost for Christmas
The White House is said to be putting together a list of stimuli for the economy. Higher contribution limits may be on it...
401kWire.com -
Tuesday, December 10, 2002
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Reader Rating:4.1
mPower Exec Decamps
Employee number two at the advice provider has resigned and started a new firm...
401kWire.com -
Monday, December 10, 2001
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Reader Rating:3
Reps Get 401k Idea Swap
401kExchange is creating an annual meeting for intermediaries seeking to build their qualified plans.
..
401kWire.com -
Monday, December 10, 2001
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Reader Rating:3
Morley Adds to Staff
As equity managers retrench, the stable value unit of Nationwide sees opportunity.
..
401kWire.com -
Monday, December 10, 2001
Morley Adds to Staff
As equity managers retrench, the stable value unit of Nationwide sees opportunity.
..
401kWire.com -
Monday, December 10, 2001
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Reader Rating:3
American Skandia Goes to College with Strong
In a day of 529 product launches, American Skandia announce its own college savings program...
MutualFundWire.com -
Monday, December 10, 2001
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Reader Rating:3
Any Port in a Storm
Touchstone pushes intermediate term bond fund...
MutualFundWire.com -
Monday, December 10, 2001
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Reader Rating:3
Blodget Under Investigation
New York State Investigates ... Friess Accepts Humanitarian Award ... Pru IPO...
401kWire.com -
Monday, December 10, 2001
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Reader Rating:3
Blodget Under Investigation
New York State Investigates ... Friess Accepts Humanitarian Award ... Pru IPO...
MutualFundWire.com -
Monday, December 10, 2001
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Reader Rating:3
Facelift for Regions Funds
The fund family has a new name and welcomes a new offering...
MutualFundWire.com -
Monday, December 10, 2001
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Reader Rating:3
Week of December 10, 1999 RFP Roundup
The Weekly Roundup is a regular column examining the RFPs that appeared on our pages and the pages of other publications this week. ..
401kWire.com -
Friday, December 10, 1999
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Reader Rating:3
CitiStreet's First Mistake?
Welcome to business in the Tweny-First Century! Wednesday CitiGroup and State Street Global Advisors swung front-page branding in The Wall Street Journal by exclusively announcing the creation of their jointly-owned CitiStreet defined contribution business. At an estimated $200 billion of assets under management, CitiStreet clearly is one of the top three defined contribution players...
MutualFundWire.com -
Friday, December 10, 1999
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Reader Rating:3
CitiStreet's First Mistake?
Welcome to business in the Tweny-First Century! Wednesday CitiGroup and State Street Global Advisors swung front-page branding in The Wall Street Journal by exclusively announcing the creation of their jointly-owned CitiStreet defined contribution business. At an estimated $200 billion of assets under management, CitiStreet clearly is one of the top three defined contribution players...
401kWire.com -
Friday, December 10, 1999
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Reader Rating:3
Alps Outsources GE Money Fund Marketing
Alps Distributors has handed the corporate cash management marketing of a GE money market fund to a new Denver money management firm...
MutualFundWire.com -
Friday, December 10, 1999
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Reader Rating:3
Odd Lots, December 10, 1999
Janus snags Fidelity exec ... Funds get polished ... Hancock is given the nod ... Funds invested in Tyco sweat it out ... Internet fund gets five stars...
MutualFundWire.com -
Friday, December 10, 1999
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Reader Rating:3
Does a New COO Mean a Move to Advice?
Arnerich Massena has named Rick Meigs to the new position of chief operating officer, Sherri Fitts, director of education and corporate communications, told the 401kWire.com...
401kWire.com -
Friday, December 10, 1999
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Reader Rating:3
*All rates are for non-benefit responsive, investment-only contracts with a value of $5 million.
Rates are net of all expenses, with no commissions payable. Treasury quotes are for close of business Wednesday.
AERS Adds New Funds
At this late date, most bundled programs have all of their fund offerings set. But there are, apparently, a few opportunities still available. Though the core offerings in 401(k) plans may now be in place, there is still room for the niche players. ..
401kWire.com -
Thursday, December 10, 1998
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Reader Rating:3
Former PSCA Prez Passes Away
Walter Holan, 79, who was president of the Profit Sharing/401(k) Council of America from 1980 to 1987, passed away in his home on December 3, 1998. He lived in Chicago, Illinois...
401kWire.com -
Thursday, December 10, 1998
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Reader Rating:3
Ameristeel Considers Funds
Tampa, Florida-based Ameristeel is considering adding funds to its 401(k) plan, Gretchen Harris, employee benefits manager, told the 401kWire.com. The plan has 1850 participants and is just shy of $50 million in assets, according to The Judy Diamond Directory, 1998...
401kWire.com -
Thursday, December 10, 1998
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Reader Rating:3
Fidelity Plans to Recommend Allocations to Participants
Fidelity may have opened a new front in the battle among bundled 401(k) providers to give state-of-the-art education with today’s announcement that it will provide asset allocation advice as a part of its Internet education package. Fidelity has not sought an exemption from the DoL for the program since Fidelity believes that it does not meet the definition of advice under Section 404(c), according to Robert L. Reynolds, president of Fidelity Investments Institutional Retirement Group. ..
401kWire.com -
Wednesday, December 10, 1997
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Reader Rating:3
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