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News Stories Archives - Since 1998
Is It Time For KPAs to Have the Talk ... About DBs?
A prominent ERISA legal eagle is urging retirement plan advisors like you to broach this uncomfortable subject with your plan sponsors...
401kWire.com - Thursday, August 09, 2018
15 Months Post-401k Reorg, What's Next For Paychex?
Two key senior leaders talk with 401kWire about the payroll giant's changing retirement plan business...
401kWire.com - Thursday, August 09, 2018
A Crypto-Robo? Watch This ETF Shop
A West Coast shop is rumored to be prepping a new online platform for investors...
MutualFundWire.com - Thursday, August 09, 2018
Mrozek Hires In Florida and Louisiana
The new hires joins as external 401(k) wholesalers...
401kWire.com - Thursday, August 09, 2018
Schreiber Hires in Houston
A veteran 401(k) wholesaler joins TRA to cover Louisiana, Mississippi, and east Texas...
401kWire.com - Thursday, August 09, 2018 - Reader Rating: 4.67
Getting to Know a Publicity-Shy Fundster Titan
A local magazine offers a glimpse into the life of one of the mutual fund industry's most important, and least visible, leaders...
MutualFundWire.com - Thursday, August 09, 2018
A Womens' Non-Profit Welcomes Its 18th New Sponsor
The national organization had brought on more than a dozen sponsors this year...
401kWire.com - Thursday, August 09, 2018
A Boutique's Co-Founder Steps Back, For Now
He is currently on medical leave from the eight-year-old company.....
MutualFundWire.com - Wednesday, August 09, 2017 Views
Ohl Hires an Opps Chief
This newly named SVP has been in the biz for over 30 years... ..
401kWire.com - Wednesday, August 09, 2017
Filings for Fundsters - August 9, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Wednesday, August 09, 2017 Views
The DoL Submits Another Fidu Delay to OMB
Looks like uncertainty around the fiduciary rule will still be a thing in 2019. ..
401kWire.com - Wednesday, August 09, 2017 - Reader Rating: 5
SCM Merges with a Cali RIA
This RIA believes that this partnership will help to expand services provided to clients... ..
401kWire.com - Wednesday, August 09, 2017
Task Completed! A Bay Area 401k Startup Raises $15MM to Expand
A top retirement plan academic is working with them too. ..
401kWire.com - Wednesday, August 09, 2017
PEI Hires an RKer Vet
The consulting firm just brought on a provider vet with more than 20 years in the industry. ..
401kWire.com - Wednesday, August 09, 2017
Will Gundlach Ease Up On DoubleLine's Throttle?
The star bond fund PM tells Bloomberg that his shop might limit its growth once its AUM reaches a certain point...
MutualFundWire.com - Wednesday, August 09, 2017 - Reader Rating: 1
A SunGard Vet Leaves OneAmerica
The move comes seven months after a new CEO took over the retirement business at the insurer.....
401kWire.com - Wednesday, August 09, 2017 - Reader Rating: 5
After 29 Years and $222MM, a Midwestern Mutual Fund Shop Exits
This RIA will liquidate its four mutual funds by the end of Q1 2017...
MutualFundWire.com - Tuesday, August 09, 2016 Views
Schlichter Targets Three Universities for Excessive Fees
The cases against these universities are unprecedented. ..
401kWire.com - Tuesday, August 09, 2016 - Reader Rating: 4
Stork and Reaper - August 9, 2016
The latest SEC filings in the industry!..
MutualFundWire.com - Tuesday, August 09, 2016 Views
The Product Dreams of an $11B ETF Shop's Chief
MFWire talks with this fundster about what he's looking for in new ETFs...
MutualFundWire.com - Tuesday, August 09, 2016 Views
Americans Feel Regret Over Retirement Savings
Meanwhile, employees would prefer a 401(k) over a higher salary. ..
401kWire.com - Tuesday, August 09, 2016 - Reader Rating: 5
Prudential Retirement Sees Q2 Decline
Prudential Financial releases its earnings for the second quarter of 2016...
401kWire.com - Tuesday, August 09, 2016 - Reader Rating: 1
A Northwest RKer Surpasses $20B AUA Post-Acquisition
A northwest recordkeeper has acquired a neighboring recordkeeper...
401kWire.com - Tuesday, August 09, 2016
The Billion-Dollar Share Class
Yes, you read that right. A mutual fund shop has created a share class with ten-figure minimum investment...
MutualFundWire.com - Tuesday, August 09, 2016 Views
A Fund Manager Moves to Midtown
The Japanese fund firm leaves Manhattan's Two World Financial Center...
MutualFundWire.com - Friday, August 09, 2013 Views
An AllianceBernstein Fund Will Use a New Subsidiary in the Caymans
AllianceBernstein [profile] has approved of a proposal by the adviser to create a wholly-owned subsidiary organized under the laws of the Cayman Islands, named AllianceBernstein Global Risk Allocation (Cayman) Ltd. The AllianceBernstein Global Risk Allocation Fund will start the use of the subsidiary around October 15. [SEC Filing]...
MutualFundWire.com - Friday, August 09, 2013 Views
Charlie Nelson is the Latest to Write DoL
Another letter on retirement income...
401kWire.com - Friday, August 09, 2013 - Reader Rating: 4
BlackRock Rebrands a Global Fund
BlackRock Funds [profile] has renamed its BlackRock Global Dividend Income Portfolio to BlackRock Global Dividend Portfolio. [SEC Filing]...
MutualFundWire.com - Friday, August 09, 2013 Views
Goldman Adds a Sub-Advisor to an Alts Fund
Goldman Sachs Funds [profile] has added Graham Capital Management, L.P. as an underlying manager of the Goldman Sachs Multi-Manager Alternatives Fund. Goldman Sachs Funds has also revised multiple sections in the prospectus. [SEC Filing]...
MutualFundWire.com - Friday, August 09, 2013 Views
Schwab Reprices an Index Fund
Schwab [profile] has revised the prospectus of its Schwab Small-Cap Index Fund. The “Fund Fees and Expenses” section has been changed. [SEC Filing]...
MutualFundWire.com - Friday, August 09, 2013 Views
Nuveen Puts Two Tradewinds Funds on the Chopping Block
Nuveen Investments [profile] plans to shut down two of its funds. After the close of business on October 11. the Nuveen Tradewinds Global Resources Fund and Nuveen Tradewinds Small-Cap Opportunities Fund will be liquidated. [SEC Filing]...
MutualFundWire.com - Friday, August 09, 2013 Views
John Hancock Proposes Collapsing a Bond Fund Into Another
John Hancock Funds [profile] has proposed a meeting between shareholders on Thursday, October 10. The purpose is to consider a proposal to approve an agreement and plan of reorganization that would merge the John Hancock High Income Fund into the John Hancock High Yield Fund. [SEC Filing]...
MutualFundWire.com - Friday, August 09, 2013 Views
John Hancock Adjusts a Bond Fund
John Hancock Funds [profile] has amended its Emerging Markets Debt Fund, specifically modifying the “Organization of John Hancock Funds II,” "Principal Investment Strategies” and “Investment strategies” sections of the fund's prospectus. [SEC Filing I]. [SEC Filing II]...
MutualFundWire.com - Friday, August 09, 2013 Views
TD Tweaks a Fund
TD Asset Management USA Funds [profile]TD Asset Management USA Funds has amended prospectus of the TDAM Target Return Fund. The sections that have been amended are the “Summary—TDAM Target Return Fund—Principal Investment Strategies,” “Summary—TDAM Target Return Fund—Principal Risks,” and “Details About the Funds—Principal Risks.” [SEC Filing]...
MutualFundWire.com - Friday, August 09, 2013 Views
The Entrepreneurship Series Trust Plans an All-Cap Fund
Entrepreneurshares Series Trust has filed plans for a new fund, the All Cap Impact Fund. The fund seeks long term capital appreciation and investment results that exceed the performance of the Russell 3000 Index. [SEC Filing]...
MutualFundWire.com - Friday, August 09, 2013 Views
Invesco Transforms a Fund's H1 Shares
Invesco [profile] has approved of a plan of recapitalization to which Class H1 shares of the Invesco Global Markets Strategy Fund will convert into Class Y shares.The recapitalization is expected to occur on or about August 28. [SEC Filing]...
MutualFundWire.com - Friday, August 09, 2013 Views
Trust Roads Files For Three New Funds
Trust Roads Shared Trust has filed plans for three new funds.

The first fund that was filed was West Shore Real Asset Income Fund, which will seek a combination of capital growth and current income. West Shore Group, LLC serves as investment adviser to the Fund, and Steve Cordasco, Michael Shamosh, and James G. Rickards serve as PMs.

The second fund that was filed was the Larkin Point Equity Preservation Fund. The fund's investment objective is that it seeks capital preservation and capital appreciation. The fund will be managed by Larkin Point Investment Advisors LLC and PMed by Michael Winchell and Charlie H.C. Hon.

The last fund to be filed is the Redwood Managed Volatility Fund, with the goal of total return. The fund will be advised by Redwood Investment Management and PMed by Michael Messinger and Bruce DeLaurentis. [SEC Filing I]. [SEC Filing II]. [SEC Filing III]...

MutualFundWire.com - Friday, August 09, 2013 Views
Hennessy's FBR Deal Bolsters Earnings
Hennessy Advisors announced third quarter earnings, which reflect the benefits of its FBR acquisition. Hennessy chats with MFWire on appetite for M&A...
MutualFundWire.com - Friday, August 09, 2013 Views
ERISA Nominations Deadline Has Been Extended
Voters now have until September 6th to submit their nominations. ..
401kWire.com - Friday, August 09, 2013
BlackRock Unveils a New Index
The iShares Dow Jones-UBS Roll Select Commodity Index Trust tracks 22 commodities exposure through commodity index futures contracts...
MutualFundWire.com - Friday, August 09, 2013 Views
Fido Solidifies a 401k Fee Suit Victory on Appeal
The U.S. Third Circuit Court of Appeals upholds a lower court's decision to toss an excessive fee lawsuit against the Boston Behemoth...
401kWire.com - Friday, August 09, 2013
Tremko Has Two New Positions to Fill at USI
The insurance brokerage's retirement and investment services chief searches for an account manager and a producer as he ponders acquisitions...
401kWire.com - Friday, August 09, 2013
Two Writers Note Bill Miller's Comeback
Bill Miller is making a comeback. Chuck Jaffe of MarketWatch and Dan Culloton of Morningstar covered Miller's fund's performance. ..
MutualFundWire.com - Friday, August 09, 2013 Views
Citi Equities Guru Leaves for iShares Post
Bloomberg reports that one of Citigroup's equity heads left to work at BlackRock. ..
MutualFundWire.com - Friday, August 09, 2013 Views
ETF Roundup: Rick Ferri Isn't a Fan of SEC Ruling
Rick Ferri wrote a column at Forbes on the self indexing ruling from the SEC. ..
MutualFundWire.com - Friday, August 09, 2013 Views
Fund Firms Are Getting The Facebook Bug
More PMs consider Facebook a safe investment and are adding shares to their funds portfolios. ..
MutualFundWire.com - Friday, August 09, 2013 Views - Reader Rating: 1
Gross: Don't Worry, Bond Selloff is Like Grenada
Bill Gross pontificated on bond funds on CNBC and likened the bond selloff to various wars and battles...
MutualFundWire.com - Friday, August 09, 2013 Views
Fido Retirement Bolsters Its AUM
Boston Behemoth details retirement business wins...
MutualFundWire.com - Thursday, August 09, 2012 Views
Stork and Reaper for August 9, 2012
The MFWire's daily report on mutual fund births, deaths, and changes...
MutualFundWire.com - Thursday, August 09, 2012 Views
VALIC Goes Back to School
A Massachusetts college chooses VALIC as its recordkeeper...
401kWire.com - Thursday, August 09, 2012
Carlyle Buys TCW
As expected, MetWest's chief takes over as private equity swoops in to buy up SocGen's U.S. asset manager...
MutualFundWire.com - Thursday, August 09, 2012 Views
ING Holds On to a $461MM Plan
The RKer retains a mandate it has held for seven years...
401kWire.com - Thursday, August 09, 2012 - Reader Rating: 5
Hatteras Rehires Hutten
Michael Hutten rejoins the firm as executive director...
MutualFundWire.com - Thursday, August 09, 2012 Views
SEC Plans an Experts' Meeting to Discuss High-Tech Trading
In response to Knight Capital's losses, Schapiro schedules a roundtable discussion on market stability...
MutualFundWire.com - Thursday, August 09, 2012 Views
A Knight's Tale: A History of the LMM's Trading Crisis
Here's the day-by-day breakdown of the events since Knight's big software glitch last Wednesday and MFWire's coverage of it all...
MutualFundWire.com - Thursday, August 09, 2012 Views
Barstein Midwifes a TRAU Sibling
The DC industry guru launches a new training program for plan sponsors...
401kWire.com - Thursday, August 09, 2012
UBS-SSgA Deal Close But No Cigar
A potential merger of asset management divisions died in June...
MutualFundWire.com - Thursday, August 09, 2012 Views - Reader Rating: 4
Former ING Exec Making a Move
John Simmer is looking to buy a small broker-dealer...
MutualFundWire.com - Thursday, August 09, 2012 Views - Reader Rating: 5
Janus PM Leaves
Manager of US All Cap Growth fund has left the shop...
MutualFundWire.com - Thursday, August 09, 2012 Views
Money Fund Firms Hedge Their Bets
InvestmentNews reports on money-fund firms' contingency plans in case the SEC decides to enact Schapiro's changes...
MutualFundWire.com - Thursday, August 09, 2012 Views
Fido Posts Earnings For Q2
Boston firm sees big growth...
MutualFundWire.com - Thursday, August 09, 2012 Views
Knight Back on Its Trading Throne
Knight recovers from the trading crisis with some help...
MutualFundWire.com - Thursday, August 09, 2012 Views
Will Russell Do a FocusShares on Its ETFs?
There has been speculation that Russell will be the next to close some of its ETFs...
MutualFundWire.com - Thursday, August 09, 2012 Views
Market Volatility Bites an Advice Specialist
A publicly-traded firm focused on the 401k business sees its stock dip more than 22 percent in two weeks...
401kWire.com - Tuesday, August 09, 2011 - Reader Rating: 3
Morningstar Downgrades Schwab's and DWS' Target-Date Ratings
The Chicago firm unveils its latest quarterly target-fund series report...
MutualFundWire.com - Tuesday, August 09, 2011 Views - Reader Rating: 1
MassMutual Names its National Sales Manager
The newly minted national sales manager is one of four execs that MassMutual promoted last week...
401kWire.com - Tuesday, August 09, 2011 - Reader Rating: 3.12
Emerging Global Launches a New ETF
The mutual fund firm unveils its latest offering...
MutualFundWire.com - Tuesday, August 09, 2011 Views
Android and the iPhone Add Pru
The retirement plan provider makes a tool available to the general public, and offers a new tool to intermediaries...
401kWire.com - Tuesday, August 09, 2011 - Reader Rating: 4.6
The Standard Hires Two Wholesalers
The provider brings on new retirement sales experts in Colorado and Southern California...
401kWire.com - Tuesday, August 09, 2011 - Reader Rating: 1
FRC Teams Up With a 401k Data Specialist
The Beantown mutual fund research firm unveils a report on target date funds...
MutualFundWire.com - Tuesday, August 09, 2011 Views - Reader Rating: 3
Investing Pros Discuss the Downgrade
Investing pros from Fidelity, Vanguard, Eaton Vance and Franklin weigh in on the possible implications of S&P's downgrade of US debt...
MutualFundWire.com - Tuesday, August 09, 2011 Views
During the Debt Ceiling Fight, Gross Bought Treasuries
The star PM of the world's largest bond mutual fund shifted to net positive exposure to Treasuries...
MutualFundWire.com - Tuesday, August 09, 2011 Views - Reader Rating: 4
A Stable Value Vet Starts His Own Shop
An industry insider creates a new consulting firm focused specifically on the niche DC capital preservation options...
401kWire.com - Monday, August 09, 2010
DWS's Top Marketer Jumps to a Rival Firm
The exec is heading to OppenheimerFunds...
MutualFundWire.com - Monday, August 09, 2010 Views - Reader Rating: 5
An NRP Team Engineers the Switch of Two Plans to Pru
A SoCal plan moves its two DC plans to a single provider and a single advisory firm...
401kWire.com - Monday, August 09, 2010
Federal Judge Moves a $15 Million 401k Settlement Forward
Will a proposed end to one 401k fee suit meet with court approval?..
401kWire.com - Monday, August 09, 2010 - Reader Rating: 5
Fidelity Boosts its Non-Profit Presence
The Boston Behemoth is increasing its consultants aimed at 403b participants...
401kWire.com - Monday, August 09, 2010
M&I Names an Advisor Distribution Chief
The provider hires a successor for Kevin Harley...
401kWire.com - Monday, August 09, 2010
Change of Control Looms for a Chicago Fund Firm
The firm's founder inks a tentative agreement that will transfer majority control of the company...
MutualFundWire.com - Monday, August 09, 2010 Views
New York Life's Kim Will Add Another Hat
The former head of Pru Retirement who became CEO of New York Life Investments will add another title at yearend...
401kWire.com - Monday, August 09, 2010 - Reader Rating: 5
Kim Will Have a Bigger Role at New York Life
John Kim is adding another title at the end of the year...
MutualFundWire.com - Monday, August 09, 2010 Views
CM Funds Adds a Smallcap to its Family
The mutual fund firm is seeking out new opportunities with its third mutual fund...
MutualFundWire.com - Monday, August 09, 2010 Views
A Veteran 401k Exec Bids Guardian Adieu
The New York-based provider says goodbye to a top member of its retirement team...
401kWire.com - Monday, August 09, 2010 - Reader Rating: 5
Morningstar Says Fees are the 'Strongest Predictor' of a Fund's Success
The Journal gets an early look at a Morningstar study set to be released today...
MutualFundWire.com - Monday, August 09, 2010 Views
Who Uses Commodities Inside Target Date Funds?
Not all firms are embracing commodities in their portfolios...
MutualFundWire.com - Monday, August 09, 2010 Views
Jaffe Warns That Commodity Funds Are Still a Gamble
The MarketWatch columnist discusses the impact, or lack thereof, that financial regulation reform will have on a niche sector of the mutual fund business...
MutualFundWire.com - Monday, August 09, 2010 Views
Bear Stearns Names New Asset Management Chief
Bear Stearns has picked Steven Begleiter to take on the responsibility of managing the firm's asset management division...
MutualFundWire.com - Thursday, August 09, 2007 Views - Reader Rating: 3.5
Money Managers Not Immune to Sub-Prime Flu
Publicly traded mutual fund companies saw their stocks dip as the DOW falls 387 points...
MutualFundWire.com - Thursday, August 09, 2007 Views - Reader Rating: 2.93
Another Senior Exec To Exit Fidelity
Yet another high-level Fidelity executive is moving on...
401kWire.com - Thursday, August 09, 2007 - Reader Rating: 5
Report: Asset Management M&A Focuses on Finding a Diamond in the Rough
A Putnam Lovell director sees more deals coming in the global asset management business...
MutualFundWire.com - Thursday, August 09, 2007 Views - Reader Rating: 3
Market Worry Spreads to Asset Managers
There was a sell off of money manager stocks late this afternoon, as sub-prime worries continue to drag the market lower...
MutualFundWire.com - Thursday, August 09, 2007 Views - Reader Rating: 3.17
Update 5 | B-D Q2 Earnings Round-Up
B-Ds have begun reporting their earnings for the second quarter...
MutualFundWire.com - Thursday, August 09, 2007 - Reader Rating: 3
Company Stock Plans Beware, the DoL is Here!
The regulatory agency will publish a final regulation on the subject tomorrow. ..
401kWire.com - Thursday, August 09, 2007 - Reader Rating: 3.86
Campos to Depart the SEC
Commissioner Roel Campos is leaving the commission to return to the private sector...
MutualFundWire.com - Thursday, August 09, 2007 Views - Reader Rating: 2.86
Giovinazzo's Team Tracks Target Date Funds
The Southern California-based retirement specialists beef up one of their tools to address asset allocation investments, and says some existing offerings are lacking. ..
401kWire.com - Thursday, August 09, 2007
Cayne in Hot Water Too?
Has Bear Stearns' CEO become the latest casualty of the sub-prime meltdown?..
MutualFundWire.com - Thursday, August 09, 2007 - Reader Rating: 3
Banking Giant Revamps Lifecyle Offering
A recently appointed DC leader makes good on one of his first promises. ..
401kWire.com - Thursday, August 09, 2007
Boston Globe Spotlights Fido's 'New Odd Couple'
Today, Ross Kerber of The Boston Globe muses on what the Ned Johnson-Rodger Lawson tandem will mean for Fidelity...
MutualFundWire.com - Thursday, August 09, 2007 Views - Reader Rating: 3
Study: Soft Dollar Use To Rise
The use of soft dollars will increase, according to a new study...
MutualFundWire.com - Thursday, August 09, 2007 Views - Reader Rating: 2
Bear Stearns Pens Letter to Reassure Clients
In an effort to prevent client defections, Bear Stearns has reassured its customers that the it is financially sound...
MutualFundWire.com - Thursday, August 09, 2007 - Reader Rating: 3
Bear Stearns Pens Letter to Reassure Clients
In an effort to prevent client defections, Bear Stearns reassured its customers that the it is financially sound...
MutualFundWire.com - Thursday, August 09, 2007 Views
A New Sales Investment for Diversified
The Empire State provider and advisory firm hires a new vice president to lead half its sales team, after the retirement of a veteran...
401kWire.com - Wednesday, August 09, 2006
ExpertPlan: Hungry Like the Wolf?
The outsourced recordkeeper is on the prowl...
401kWire.com - Wednesday, August 09, 2006 - Reader Rating: 1
Great-West Campaign Earns Props
Great-West Retirement Services has bagged awards for a campaign pitching its managed account and online advice services...
401kWire.com - Wednesday, August 09, 2006
Letting Somebody Else Do It
A Wolverine State start-up specializes in handling your 401k for you...
401kWire.com - Wednesday, August 09, 2006 - Reader Rating: 5
New Book Tackles Pension Reform Legislation
Less than a week after the Senate sent the pension reform bill to President Bush, CCH, a Riverwoods, Illinois-based information services company, has launched a book that zeroes in on the legislation...
401kWire.com - Wednesday, August 09, 2006
Matrix Is 22c-2 Ready
The Denver-based firm says it's prepared to help customers comply with the requirements of the rule...
401kWire.com - Wednesday, August 09, 2006 - Reader Rating: 3.5
Wellington's Growth Forces Hartford Changes
Wellington's success is causing changes at The Hartford. The insurer is building its own investment capabilities for funds in response to Wellington Management's message that it has filled its capacity to manage equities. Wellington is currently the subadvisor for a number of Hartford's mutual funds...
MutualFundWire.com - Wednesday, August 09, 2006 Views - Reader Rating: 3.5
Commerce Capital Markets Seeks New Yorker
The brokerage arm of Commerce Bank is looking to hire scores of advisors and a New York metro market president to watch over them...
MutualFundWire.com - Wednesday, August 09, 2006
Thornburg Goes Global
Thornburg chief Brian McMahon likes to point out that the fund firm has "always done things a little differently." That description now applies to the firm's newest equity fund, says the Thornburg president and chief investment officer...
MutualFundWire.com - Wednesday, August 09, 2006 Views
National Planning Holdings Creates and Fills New VP Spot
The California BD's new senior vice president is set to oversee the NPH network of investment firms...
MutualFundWire.com - Wednesday, August 09, 2006
A Golden Opportunity at Golden Rule?
Health Savings Accounts (or HSAs) hold out the promise of a 401(k)-like distribution avenue for the fund industry. Until now, though, that channel has remained theoretical as few if any plan administrators have allowed participants to invest their funds. That may be starting to change. This week, for example, United Healthcare affiliate Golden Rule Insurance Company took the wraps off an HSA product that offers participants the choice of eight mutual funds as investments...
MutualFundWire.com - Wednesday, August 09, 2006 Views - Reader Rating: 3.5
MS Offers Second Hedge Fund
The new fund is an answer to growing demand from institutional investors, says Michael Kiley...
MutualFundWire.com - Wednesday, August 09, 2006
Scottrade Readies Three More Branches
The discount broker has named the branch managers for two of the new locations as it builds its network out to 275 offices...
MutualFundWire.com - Wednesday, August 09, 2006
Vice Gets New Advice
The Vice Fund and the Generation Wave Growth Fund both have a new sub-advisor. The funds' advisor, Mutual Advisors, said that registered investment advisor GNI Capital Inc. has been named sub-advisor to both funds, with the blessing of the funds' shareholders and trustees...
MutualFundWire.com - Wednesday, August 09, 2006 Views
OppFunds Rolls Out Retirement Income Planning Program
The New York-based firm has released tools advisors can use to help boomer clients...
MutualFundWire.com - Wednesday, August 09, 2006 Views
PE Shop Acquires Fund Servicer
The company will continue to be run by existing management and workers...
MutualFundWire.com - Tuesday, August 09, 2005 Views
Insurer Debuts Small Market 401k Plan
An outside TPA will do the recordkeeping for the new product...
401kWire.com - Tuesday, August 09, 2005 - Reader Rating: 4.76
Two Jersey Sponsors in the Dumps
One trustee has pled guilty to theft of more than $100,000 in plan assets...
401kWire.com - Tuesday, August 09, 2005 - Reader Rating: 1.5
Rate-of-Return Makes its Way to Schwab's TPA Clients
Unbundled clients get access to the personalized return tool...
401kWire.com - Tuesday, August 09, 2005 - Reader Rating: 2
LA Hunts for Consultant
The advisor will serve a three-year term...
401kWire.com - Tuesday, August 09, 2005 - Reader Rating: 1
Edward Jones Dishes out $1.5 MM for State Settlement
The brokerage settles revenue sharing allegations with Missouri regulators, but still faces California .....
MutualFundWire.com - Tuesday, August 09, 2005
E Trade Buys Fund Firm
Just one day after E*Trade Financial announced that it was acquiring the domestic operations of Harrisdirect, the discount brokerage is at it again, this time with a famed Fidelity watchdog .....
MutualFundWire.com - Tuesday, August 09, 2005 Views - Reader Rating: 3
SEI Wins Fund Admin Contract
New York City-based Water Island Capital, the adviser to The Arbitrage Fund, has hired SEI Investments to provide fund administration, accounting, distribution and compliance .....
MutualFundWire.com - Tuesday, August 09, 2005 Views
ETF Providers Launch Specialized Funds
Barclays Global Investors and Powershares are heating up the race to provide even more specialized exchange-traded funds .....
MutualFundWire.com - Tuesday, August 09, 2005 Views
Web-Advisor Offers Retail Services
LTSave has set a price on its advice for retail investors...
401kWire.com - Monday, August 09, 2004 - Reader Rating: 3
Alliance Parent Reports Earnings
Alliance reports higher revenues, AUM for the first half of 2004...
MutualFundWire.com - Monday, August 09, 2004 Views
SEC Closes in on New Targets
Regulators allege insurers market timed mutual funds; Conseco, Inviva get hit with $20 million fine...
MutualFundWire.com - Monday, August 09, 2004
Plan Keeps on Ticking with NYLIM
The largest watchmaker in the U.S. taps a new provider for its defined contribution plan based in Connecticut...
401kWire.com - Monday, August 09, 2004 - Reader Rating: 4
SSRM Plans Energy Fund
State Street files to launch a global resources fund...
MutualFundWire.com - Monday, August 09, 2004 Views
Watson Wyatt Adds 10 Investment Consulting Staff
Professionals are added in New York, Atlanta and Los Angeles...
MutualFundWire.com - Monday, August 09, 2004 Views
Principal Tries a Way to Increase Deferrals
With the markets falling and participation flat, there is one sure way left to increase plan assets...
401kWire.com - Monday, August 09, 2004
Ex-Putnam Manager Rejoins Firm
European equity team gets reinforcements...
MutualFundWire.com - Monday, August 09, 2004 Views
Web Tool Quickens Fund Sheet Making
A number of fund firms are considering adopting a new service that promises to let them turn fund sheets around more quickly...
MutualFundWire.com - Friday, August 09, 2002 Views
Ziegler Reports Earnings
The advisor to North Track funds reports a 25 percent drop in earnings...
MutualFundWire.com - Friday, August 09, 2002 Views
Five Keys to Your Excellent Marketing Plan
Wholesalers take note: How advisors can build and implement a marketing plan?..
MutualFundWire.com - Friday, August 09, 2002 Views
Franklin Confirms July Wilt
The San Mateo-based fund firm saw assets shrink with the market last month...
MutualFundWire.com - Friday, August 09, 2002 Views
Pru To Hand Off More Plans
The insurer will move TPA plans to Bisys after it finishes the initial transfer of small plans...
401kWire.com - Friday, August 09, 2002
e401k Firm Gives Notices
A nextgen platforms lets go 15 staffers as it backs off startups in favor of alliances and private-labeling...
401kWire.com - Friday, August 09, 2002 - Reader Rating: 4
New Bundled Vendor Inks First Deals
The newest full-service provider says it is having a hot summer in the with its advisor-sold e401k product...
401kWire.com - Friday, August 09, 2002
Franklin Assets Slip
W&R Fights $27 Million NASD Ruling ... Franklin Assets Slipped in July ... MetaMarkets.com Models Replace Funds ... Fidelity Adds Sectors to VAs ... Nationwide Buys Provident Mutual ... Thornburg Mortgage Completes Secondary ... Fido LifeStyles More Popular ... Neuberger Customizes Web ... National City Aggregates ... Spanish 401ks From Ingham. ..
MutualFundWire.com - Thursday, August 09, 2001 Views - Reader Rating: 3
Fido LifeStyles Gain Popularity
W&R Fights $27 Million NASD Ruling ... Franklin Assets Slipped in July ... MetaMarkets.com Models Replace Funds ... Fidelity Adds Sectors to VAs ... Nationwide Buys Provident Mutual ... Thornburg Mortgage Completes Secondary ... Fido LifeStyles More Popular ... Neuberger Customizes Web ... National City Aggregates ... Spanish 401ks From Ingham. ..
401kWire.com - Thursday, August 09, 2001 - Reader Rating: 3
Hancock Adds e401k Distribution
Web-based recordkeeping platforms may not provide significant assets in the near term, but Hancock is willing to make the bet. ..
401kWire.com - Thursday, August 09, 2001 - Reader Rating: 3
Kelmoore Keeps Hiring
The firm continues to add bodies as it names a handful of new wholesalers. ..
MutualFundWire.com - Thursday, August 09, 2001 - Reader Rating: 3
Gathering the Green
Socially conscious funds may triple their assets in the next decade claim futurists. ..
MutualFundWire.com - Thursday, August 09, 2001 - Reader Rating: 3
Fido Plans Advisor Baskets
The Boston Behemoth is working on an institutional version of its new basket platform. ..
MutualFundWire.com - Thursday, August 09, 2001 - Reader Rating: 3
Sprint Calls for Indexing
The telephone company has picked two new index funds for its participants. ..
401kWire.com - Thursday, August 09, 2001 - Reader Rating: 3
Contracting for a Vendor
A building contractor has tapped a firm for 401k services. ..
401kWire.com - Thursday, August 09, 2001 - Reader Rating: 3
Russell Explores Global Opportunities
Former Jones & Babson chief marketer Roy Moura is heading a team looking at ways to grow Frank Russell's global fund business. ..
MutualFundWire.com - Wednesday, August 09, 2000 - Reader Rating: 3
Plan Rings Up Fidelity
The National Telephone Cooperative Association is added investment options and administrative services from Fidelity for its $570 million plan...
401kWire.com - Wednesday, August 09, 2000 - Reader Rating: 3
The GoldK Web Plan
Can this startup change the retirement business with no-fee plan administration? ..
401kWire.com - Wednesday, August 09, 2000 - Reader Rating: 3
Former MetLife Exec Joins 401Konnect
The Palo Alto startup has filled two senior sales posts as it builds it business development team for its Web-based 401k marketplace...
401kWire.com - Wednesday, August 09, 2000 - Reader Rating: 3
Fidelity Allies with CPA
The Boston Behemoth is eyeing accountants as a path to grow its back office business. ..
MutualFundWire.com - Wednesday, August 09, 2000 - Reader Rating: 3
AXA Advisors Adds Morningstar
AXA will offer Morningstar's new ProWeb product as a tool for its 7,400 advisors. Meanwhile, Morningstar will also offer a 401(k) selection tool through its advisor site...
MutualFundWire.com - Wednesday, August 09, 2000 - Reader Rating: 3
Morningstar to Add 401k RFP Tool
Startup Search401k.com has entered into a revenue-sharing agreement with Morningstar to add its vendor selection tools to the Chicago fund trackers advisor site...
401kWire.com - Wednesday, August 09, 2000 - Reader Rating: 3
Will Janus Lose its Vision?
Jim Craig, the architect of Janus' investment process, will leave the firm in September. His duties will be taken over by a committee...
MutualFundWire.com - Wednesday, August 09, 2000 - Reader Rating: 3
August 9, 2000
Is Janus' Run Over? ... Janus opposes more disclosure ... BONY to buy hedge fund manager ... Summer sales in Europe are up ... Details of German Pension reform surface...
MutualFundWire.com - Wednesday, August 09, 2000 - Reader Rating: 3
August 9, 2000
Is Janus' Run Over? ... Janus opposes more disclosure ... BONY to buy hedge fund manager ... Summer sales in Europe are up ... Details of German Pension reform surface...
401kWire.com - Wednesday, August 09, 2000 - Reader Rating: 3
Fund Scope
Firstar launches new fund, RhumbLine's new Internet Index and the Scottish Widows hire U.S. fund manager...
MutualFundWire.com - Monday, August 09, 1999 - Reader Rating: 3
Reserve Ramps Up Retail Efforts
Reserve Funds recently hired a new director of marketing and now is also planning to expand its sales force in the next few weeks, in an effort to grow retail sales...
MutualFundWire.com - Monday, August 09, 1999 Views - Reader Rating: 3
Fresh 401k Advice
Westlake Village, California-based Dole Food Co. (Nasdaq: DOL) is serving up a new 401(k) service to its employees. 401k Forum announced it has signed up Dole Food as a new client and will be advising them on retirement planning. Dole has about 1,890 participants and $104 million in assets, according to The Money Market Directory...
401kWire.com - Monday, August 09, 1999 - Reader Rating: 3
Oakmark Adds Redemption Fee
Oakmark is throwing in the towel in its quest to keep market timers out of its funds and adding redemption fees instead...
MutualFundWire.com - Monday, August 09, 1999 - Reader Rating: 3
Odd Lots, August 9, 1999
Confessions of a Fidelity Insider ... The growth and income cushion gets flat ... Ventures in British cross-trading ... Neuberger enters dim IPO arena...
MutualFundWire.com - Monday, August 09, 1999 - Reader Rating: 3
SSB Chooses First Data
Salomon Smith Barney and SSB Citi Asset Management announced that First Data Investor Services Group will be providing full recordkeeping and administrative services for (k) Choice -- a 401(k) program for small to mid-sized companies...
401kWire.com - Monday, August 09, 1999 - Reader Rating: 3
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