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News Stories Archives - Since 1998
The Gotham Giant's Active Flows Jump By $8.7B The M* team updates U.S. flows data for May 2025 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Thursday, June 26, 2025
Guideline Teams With an Ally to 100K Small Businesses The partnership focus is on 401(k) plan distribution... 401kWire.com - Thursday, June 26, 2025 - Reader Rating: 1
Mrozek Hires In NorCal, SoCal, and Texas Two Voya alumni and an ex-KPA are joining Lincoln's retirement plan wholesaling team... 401kWire.com - Thursday, June 26, 2025
Alerus Builds a 2nd June PEP The new offering was slated to debut yesterday... 401kWire.com - Thursday, June 26, 2025
An NYL-Backed PE Interval Fund Reaches 5 Years The folks at a 22-year-old alts shop in Colorado are celebrating a big milestone for their '40 Act offering... MutualFundWire.com - Thursday, June 26, 2025
An MA Entrepreneur Joins 401GO's C-Suite The new hire now serves in a newly created senior leadership role at the retirement plan provider... 401kWire.com - Thursday, June 26, 2025
Midsize Flows Rebound By $2.197B, With Baird Threepeating The M* team updates U.S. flows data for May 2024 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Wednesday, June 26, 2024
A 10-Year-Old, $4.75B-AUM KPA Biz Will Spin Out The unit will separate soon from its 45-year-old, $275-billion-AUA parent... 401kWire.com - Wednesday, June 26, 2024
Transamerica Teams Up With a $202B-AUA Aggregator The two firms are preparing to launch a new solution next week... 401kWire.com - Wednesday, June 26, 2024 - Reader Rating: 5
Insurers and DC I-Os Bet $5MM More On a Ret Income Tech Ally The new round brings the total funding raised by the startup to more than $11 million... 401kWire.com - Wednesday, June 26, 2024
Vanguard Wins Again Amid a $34B Reversal The M* team updates U.S. flows data for May 2024 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Wednesday, June 26, 2024
Envestnet's Active Passive Funds Net $339MM The M* team updates U.S. flows data for May 2023 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Monday, June 26, 2023
Six Years In, a Voya C-Suiter Bids Adieu The move follows the departure two months ago of the executive's former boss, another C-suiter... 401kWire.com - Monday, June 26, 2023 - Reader Rating: 5
A 401k Advice Shop's Co-Founder Dies At 95 The famed economist became a Nobel laureate 33 years ago, nearly a decade before the firm's launch... 401kWire.com - Monday, June 26, 2023
Week In Preview, June 26 - July 2 This week, the teams at Broadridge, DCIIA, ERIC, NAPA, Spark, and WIPN will host events... 401kWire.com - Monday, June 26, 2023
Week In Preview, June 26 - July 2 This week, the teams at IDC and MFDF will host events... MutualFundWire.com - Monday, June 26, 2023
A $518B-AUM Firm's Chief Gets a New Boss The new hire has worked in both asset management and wealth management... MutualFundWire.com - Friday, June 26, 2020
A PA RKer's Team Preps a Tools Suite Revamp The recordkeeper's KPA support upgrades are expected later this summer. .. 401kWire.com - Friday, June 26, 2020 - Reader Rating: 2.33
BofA, Schwab, and Fidelity Win Big With Participants New research ranks providers, by participant satisfaction, across three different market segments. Other top-ranked recordkeepers include AIG, Nationwide, OneAmerica, and Principal... 401kWire.com - Friday, June 26, 2020 - Reader Rating: 5
A CIT Specialist Gets 31 Funds on Nasdaq The funds will get tickers. Watch for the CIT shop to add more funds to the Nasdaq Fund Network, too... 401kWire.com - Friday, June 26, 2020
Near Gotham, a Transamerica Alum Joins an RIA The former wholesaler is switching to the KPA side of the business... 401kWire.com - Friday, June 26, 2020 - Reader Rating: 3
Money Fund Flows Plunge 88 Percent, But ... The M* team updates May 2020 flows data for money market mutual funds in the U.S... MutualFundWire.com - Friday, June 26, 2020
An RKer and a Managed Account Provider Waive Some Fees The cuts apply to new plan sponsor clients... 401kWire.com - Friday, June 26, 2020 - Reader Rating: 4.96
A Wells Fargo KPA Duo Switches to GRPF Another Wells Fargo firm has gone independent with GRP Financial. .. 401kWire.com - Wednesday, June 26, 2019 - Reader Rating: 5
Invesco and a National Sales Manager Say Goodbye After 18 years, a national sales manager leaves Invesco... MutualFundWire.com - Wednesday, June 26, 2019
Employees Call For Financial Help A recent survey shows employees want retirement-planning help.. 401kWire.com - Wednesday, June 26, 2019
T. Rowe Finds a Gendered 401k Savings Gap A recent report shows women have some catching up to do with their 401(k) savings.. 401kWire.com - Wednesday, June 26, 2019
An Ex-DFA Chief Teams Up For a Comeback He and a fellow former Dimensional Fund Advisors bigwig launch a new arm for another fund firm in the heartland... MutualFundWire.com - Wednesday, June 26, 2019
Deschutes Veterans Step Up Two Deschutes employees assume partner title.. 401kWire.com - Wednesday, June 26, 2019
Davison Finds OneAmerica's New Retirement Chief Theres a new president of retirement services at OneAmerica, a longtime vet. .. 401kWire.com - Tuesday, June 26, 2018 - Reader Rating: 4.9
An East Coast Fund Servicer Expands to 40 The chief adds a c-suite spot, replaces the general counsel, and adds another a new hire... MutualFundWire.com - Tuesday, June 26, 2018
Schultze's Latest Hire Will Push ICMA-RC Into New Territory ICMA-RC's recordkeeping services will no longer be focused exclusively on government plans... 401kWire.com - Tuesday, June 26, 2018
Krawcheck vs the Apple Pie of Capitalism The roboadvisor chief calls out asset managers and other Wall Street firms for the massive gender gaps in their workforce... MutualFundWire.com - Tuesday, June 26, 2018
GRP and GRPAA Move Last week the team at the super-OSJ/RIA and its sister KPA network moved into new offices in the same town in southern California... 401kWire.com - Tuesday, June 26, 2018 - Reader Rating: 5
Participant Loans Are at Its Lowest Since the Recession T. Rowe Price releases its latest report..... 401kWire.com - Monday, June 26, 2017
An ETF Vet Co-Launches an App Biz A co-founder of PowerShares is starting a new venture..... MutualFundWire.com - Monday, June 26, 2017
Stig Nybo Has a New Gig A veteran in the retirement industry takes on a new role... 401kWire.com - Monday, June 26, 2017
Wingate Departs Allianz Wingate departs Allianz, and moves on..... 401kWire.com - Monday, June 26, 2017
intellicents Says Hello to Financial Wellness This financial advisory firm intends to set its 401(k) and 403(b) clients up for success by implementing more financial wellness..... 401kWire.com - Monday, June 26, 2017
Pentegra Recruits a 403b Consultant Pentegra just hired their latest non-ERISA 403(b) consultant, and they're looking to expand advisor relationships too..... 401kWire.com - Monday, June 26, 2017
Filings for Fundsters - June 26, 2017 A compilation of the latest SEC filings!.. MutualFundWire.com - Monday, June 26, 2017
A 17-Year Schwab Vet Departs A Schwab VP is no longer with the firm..... MutualFundWire.com - Monday, June 26, 2017
Week In Preview, June 26-July 2 401(k) folk are gathering in the Midwest, while other retirement industry insiders and fixed income veterans are converging in the Big Apple... MutualFundWire.com - Monday, June 26, 2017
BPAS Unleashes a New HSA Offering Barry Kublin, CEO of BPAS, just released its latest HSA offering..... 401kWire.com - Monday, June 26, 2017 - Reader Rating: 5
Bill Chetney's GRPAA Reels In Four Bill Chetney is adding four new players to its already formidable group of retirement plan advisors... 401kWire.com - Friday, June 26, 2015
Where Stands Pimco Today? Doug Hodge and Dan Ivascyn take the stage at M* a year after Bill Gross' famous speech... MutualFundWire.com - Friday, June 26, 2015
Senate Panel Will Not Allow Any Money For DoL Fiduciary Rule Uh oh, it looks like the senate panel is saying "no money" for Dol's proposed fiduciary rule. .. 401kWire.com - Friday, June 26, 2015 - Reader Rating: 4
John Hancock Opens Up Product to TRS Clients There's a new option out there for TRS..... 401kWire.com - Friday, June 26, 2015
OneAmerica Acquires, Swells Its AUA By $26 Billion OneAmerica has reached an agreement to acquire a retirement services business..... MutualFundWire.com - Friday, June 26, 2015 - Reader Rating: 5
OneAmerica Acquires, Adds $26 Billion in AUA OneAmerica has reached an agreement to acquire a retirement services business... 401kWire.com - Friday, June 26, 2015 - Reader Rating: 5
Wells Fargo's Ready Talks Retirement Readiness Retirement planning just got simpler. .. 401kWire.com - Friday, June 26, 2015
M* Tweaks the Active Passive Debate Mansueto and Co. unveil a new report that reinforces the importance of cost... MutualFundWire.com - Friday, June 26, 2015
The Mutual Fund Boom Is Thanks to You You and other 401k advocates have driven the exponential growth of the mutual fund industry. Don't forget it... 401kWire.com - Thursday, June 26, 2014
You Should Buy Russell's Fund Biz, and Pay This Much for It The London Stock Exchange has bought all of Russell Investments for $2.7B, but will put the firm's investment management biz under "comprehensive review." This is what you should bid if you're interested in their funds... MutualFundWire.com - Thursday, June 26, 2014
Retirement Is More of a Dimmer Switch Than a Light Switch A trio of retirement gurus, including SSgA's global head of DC Fredrik Axsater, discussed DC trends and participant behavior at the DC I-O's recent media briefing. .. 401kWire.com - Thursday, June 26, 2014
Balancing the Supreme Court's Fiduciary Scales of Justice: It's Time To Tear Up Those Memos Some leading figures in the industry discuss the Supreme Court's ruling on ESOPs... 401kWire.com - Thursday, June 26, 2014 - Reader Rating: 4
A Guggenheim Distro Chief Switches to Charity The asset manager moves a top exec to lead its corporate social responsibility and philanthropy efforts... MutualFundWire.com - Thursday, June 26, 2014
Anova Hires Two DC Consultants Two DC consultants joined Anova. .. 401kWire.com - Thursday, June 26, 2014
Three of Five Investors Want ETFs in 401ks Investors want to see ETFs in 401ks, says a new Schwab survey. .. 401kWire.com - Thursday, June 26, 2014
Popp Takes Over Retirement for a B-D Updated \| The CapTrust advisor and former J.P. Morgan Retirement Plan Services chief will take a new post on September 2... 401kWire.com - Thursday, June 26, 2014 - Reader Rating: 5
Transamerica Carts In a $34MM RKing Win The plan provider won the $34MM 401k plan of a Texas-based funeral and cemetery services provider. .. 401kWire.com - Thursday, June 26, 2014 - Reader Rating: 3.5
A $15MM 401k Sponsor Gives TIAA-CREF an RKing Olive Branch The higher-ed giant won the $15MM 401k plan of a university in North Carolina. .. 401kWire.com - Thursday, June 26, 2014
A Law Firm Investigates a $221MM Sponsor's Stock Drop A large plan sponsor's stock drop is being investigated, and could ultimately lead to litigation. .. 401kWire.com - Thursday, June 26, 2014
Chiricotti Wants the 401kTruth to Reach The Public Phillip Chiricotti has a few things to say about 401(k) plan coverage..... 401kWire.com - Thursday, June 26, 2014 - Reader Rating: 5
Meet NIPA's New President The trade group announces its 2014-2015 board of directors and officers... .. 401kWire.com - Thursday, June 26, 2014
32 Percent of Participants Do Not Have Financial Education A third of employees do not utilize financial education.... 401kWire.com - Thursday, June 26, 2014
Chepenik Adds a New Wealth Manager A retirement plan advisor based in central Florida expands his wealth management team by one. .. 401kWire.com - Thursday, June 26, 2014
Beating a Field of Six, the LSE Buys Russell for $2.7B The acquisition will be partially funded by a $1.6-billion rights issue... MutualFundWire.com - Thursday, June 26, 2014
Google Searches ... For You? The king of search is hunting for a retirement plan provider. Who's on the short list?.. 401kWire.com - Wednesday, June 26, 2013 - Reader Rating: 4
Broadridge Acquires Mutual fund system vendor builds up portfolio by buying another developer... MutualFundWire.com - Wednesday, June 26, 2013
Graziano Uses a "Center City" Approach to Doubling AUM The strategy, which he named after Philly's central metropolitan district, involves a lot of focus... MutualFundWire.com - Wednesday, June 26, 2013
New York Life Tees Off on an RFP Callaway Golf switches recordkeepers.. 401kWire.com - Wednesday, June 26, 2013 - Reader Rating: 2.5
A Nuveen Fund Updates Annual Operating Expenses The Nuveen [profile] Winslow Large-Cap Growth Fund has updated their annual fund operating expenses. [SEC Filing]... MutualFundWire.com - Wednesday, June 26, 2013
Clear River Fund Changes Secondary Benchmark Index On February 12, 2013, the board of trustees of the Inner Circle Fund II approved a change in the Clear River Fund's secondary benchmark index from an 80/20 hybrid of the Russell 3000 and MSCI EAFE Indices to a 70/30 hybrid of the Russell 3000 and MSCI EAFE Indices in order to better reflect Abbot Downing Investment Advisors', the fund's investment advisor, long-term strategic allocation to international equities.[SEC Filing]... MutualFundWire.com - Wednesday, June 26, 2013
A Small-Mid Cap Fund Replaces Sub-Advisor Effective June 18, 2013, Fred Alger Management [profile] no longer serves as a sub-advisor to the Strategic Advisers Small-Mid Cap Fund. On June 7, 2013, the board of trustees approved the appointment of RS Investment Management [profile] as a new sub-advisor. [SEC Filing]... MutualFundWire.com - Wednesday, June 26, 2013
A Nuveen Fund Rebrands The board of directors of Nuveen Investment Funds [profile] has approved the reorganization of Nuveen International Fund into the Nuveen International Select Fund. The reorganization must be approved by the shareholders of the fund. [SEC Filing]... MutualFundWire.com - Wednesday, June 26, 2013
FS Energy and Power Fund Enters Into Agreement With Deutsche On June 24, 2011, the FS Energy and Power Fund entered into a credit facility with Deutsche Bank though a wholly-owned subsidiary. The credit facility was amended on May 30, 2012, August 28, 2012, October 18, 2012 and June 24, 2013. The credit facility provides for borrowings in an aggregate amount up to $240.0 million with an interest rate equal to the London Interbank Offered Rate (LIBOR) plus 1.80% per annum on all borrowings thereunder. [SEC Filing]... MutualFundWire.com - Wednesday, June 26, 2013
A SunAmerica Fund Authorizes Redemption The board of directors of the SunAmerica Series [profile] has authorized the redemption of all Class Z shares of the Focused Large-Cap Growth Portfolio outstanding on August 26, 2013, at the net asset value per share of Class Z shares determined on the Redemption Date. The Class Z shares of the Focused Large-Cap Growth Portfolio will then be terminated as soon as practicable following the Redemption Date. [SEC Filing]... MutualFundWire.com - Wednesday, June 26, 2013
BlackRock Funds Update the Minimum Initial Investment BlackRock Funds [profile] has amended their purchase and sale of fund shares for the following funds: BlackRock Short Obligations Fund, BlackRock Ultra-Short Obligations Fund, BlackRock Total Return Fund, BlackRock Core Bond Portfolio, BlackRock GNMA Portfolio, BlackRock High Yield Bond Portfolio, BlackRock Inflation Protected Bond Portfolio, BlackRock Long Duration Bond Portfolio, BlackRock Low Duration Bond Portfolio, BlackRock U.S. Government Bond Portfolio, BlackRock National Municipal Fund, and the BlackRock Short-Term Municipal Fund. The minimal initial investment is $5,000,000 for institutions and individuals. There is no minimum initial investment requirement for fee-based programs with an annual fee of at least 0.50% or certain employer-sponsored retirement plans. BlackRock Shares are available to clients of registered investment advisors who have $250,000 invested in the fund. [SEC Filing:I]. [SEC Filing:II]... MutualFundWire.com - Wednesday, June 26, 2013
More PM Changes At Columbia Neil Eigen, PM of the Columbia Select Large Cap Value ETF, Columbia Select Large-Cap Value Fund, and the Columbia Select Smaller-Cap Value Fund, has announced that he plans to retire from Columbia Management [profile]. Effective January 2, 2014, Kari Montanus will join Richard Rosen as PM of the fund. [SEC Filing]... MutualFundWire.com - Wednesday, June 26, 2013
Columbia Adds A New PM Effective July 8, 2013, Hugh H. Mullin will serve as PM to the Columbia [profile] Diversified Equity Income Fund. [SEC Filing]... MutualFundWire.com - Wednesday, June 26, 2013
A PM is Replaced at Diamond Hill Effective June 30, 2013, Richard Snowdon replaces William Dierker as assistant PM to Diamond Hill's [profile] Small Cap Fund, Small-Mid Cap Fund, Large Cap Fund, Select Fund, Long-Short Fund, Research Opportunities Fund, Financial Long-Short Fund, and the Strategic Income Fund. [SEC Filing]. .. MutualFundWire.com - Wednesday, June 26, 2013
Rekenthaler Questions "Efficient Frontier," Raises Specter of Multimarkets John Rekenthaler reflects on whether or not it is possible to find the perfect high yield and low volatility sweet spot... MutualFundWire.com - Wednesday, June 26, 2013
Target Date Growth Outpaces 401ks Overall The ICI releases its retirement market data for Q1 2013... 401kWire.com - Wednesday, June 26, 2013
Natixis Shop Strategist: Diversify With Alternatives A Natixis shop strategist wrote a guest column for On Wall Street about the last real diversification option: Alternatives... MutualFundWire.com - Wednesday, June 26, 2013
BMO Lures an Equity Honcho from Barclays New hire will serve as co-head of equity products. .. MutualFundWire.com - Wednesday, June 26, 2013
Diving Bond Funds Continue To Scare The bond market has bled record outflows in June... MutualFundWire.com - Wednesday, June 26, 2013
A $400MM 401a Reups With Great-West A Southern state chooses to stick with the provider for another five years... 401kWire.com - Wednesday, June 26, 2013 - Reader Rating: 5
Asset Manager Appoints Five Distribution Folk Three months after announcing a major reorganization of its sales force, the fund firm brings on two new divisional vice presidents and three advisor consultants... MutualFundWire.com - Wednesday, June 26, 2013
WisdomTree Unveils New Japan ETF Offerings After high enthusiasm for its recent Japan ETF, DXK Wisdom Tree continues to launch new Japan ETFs... MutualFundWire.com - Wednesday, June 26, 2013
Great-West Renews a $450MM 457 Client A Mountain state reups with the provider for another five years... 401kWire.com - Wednesday, June 26, 2013 - Reader Rating: 5
A $918MM State Client Sticks With Great-West A Midwestern state signs a new four-year contract for two plans... 401kWire.com - Wednesday, June 26, 2013
Goldman Takes Over a Dwight Client's Stable Value Fund The investment banking giant's asset management arm will roll the 26-year-old fund into a brand new stable value offering... 401kWire.com - Wednesday, June 26, 2013 - Reader Rating: 5
HSBC and Citi Can Deal Out Mutual Funds in China Now After China changed rules in 2011 allowing foreign banks to deliver mutual funds, China has taken its time granting licenses. HSBC and Citigroup are the most recent recipients of a license... MutualFundWire.com - Wednesday, June 26, 2013
A Baltimore RKer Has a New Communications Chief Transamerica's new corporate communications leader is an Aegon veteran... 401kWire.com - Wednesday, June 26, 2013 - Reader Rating: 1
Janus Gets Serious in the Sunshine State New hire will spearhead intermediary growth in Florida... MutualFundWire.com - Wednesday, June 26, 2013
Uneasy Lies the Head That Wears the Bond Crown Bill Gross' Pimco Total Return Fund has seen a dark two months but the bond market declines broke today... MutualFundWire.com - Wednesday, June 26, 2013
Merrill Revamps Adviser Platforms Its mutual fund wrap offering will be among the programs impacted, according to InvestmentNews... MutualFundWire.com - Wednesday, June 26, 2013
Sullivan Vows To Acquire Again Sullivan talked about Legg Mason's future plans and management model on CNBC... MutualFundWire.com - Wednesday, June 26, 2013
Barron's Interviews St. Jack Bogle again waxes poetic and pugnacious during video interview... MutualFundWire.com - Wednesday, June 26, 2013
Aston Gains Dividends from River Road Ties River Road Asset Management is prepping a new fund in the Aston mutual fund family. .. MutualFundWire.com - Tuesday, June 26, 2012
Vanguard Participants Not Using Advisory Programs Just three percent of RKer's participants used customized plan advisor... 401kWire.com - Tuesday, June 26, 2012
A Mega Plan Takes Off With AllianceBernstein's "DB Target Date" Its new product is a TDF that functions like a DB plan.. 401kWire.com - Tuesday, June 26, 2012 - Reader Rating: 4.67
Old Westbury Funds Has a New CEO David Rossmiller is new CEO at the mutual fund branch of Bessemer Trust... MutualFundWire.com - Tuesday, June 26, 2012
Introducing: 401k, the Facebook Game A new online game teaches about retirement savings... 401kWire.com - Tuesday, June 26, 2012 - Reader Rating: 5
T. Rowe Dials Your iPhone The new app lets investors check their accounts and research funds... MutualFundWire.com - Tuesday, June 26, 2012
Thwaites Amps Up Sentinel's Sales Team The Vermont-based mutual fund shop. promotes a new national sales manager and vice president... MutualFundWire.com - Tuesday, June 26, 2012
Putnam's Murphy Hires Three Updated \| RKing and DC-IO get a boost at the Beantown shop... 401kWire.com - Tuesday, June 26, 2012 - Reader Rating: 4.8
A 401k RIA Expands Into Florida and Minneapolis An LPL shop adds a pair of new offices... 401kWire.com - Tuesday, June 26, 2012
Fink May Trade His Deal Maker's Hat for a Pol's, Reuters Speculates Reuter's reporter wonder what connects several high level departures at the world's largest asset manager... MutualFundWire.com - Tuesday, June 26, 2012
Columbia Fund Gets a New Name New PMs hope to turn around performance under a new banner.. MutualFundWire.com - Tuesday, June 26, 2012
Kinnel Spotlights Funds from Four Institutional Heavyweights A quartet of mutual funds that have won the hearts and minds of institutional investors may get a retail distribution boost ..... MutualFundWire.com - Tuesday, June 26, 2012
Techies Launch an ETF Database For Quants A financial data and services provider incorporates a decade worth of ETF and index data into its new offering... MutualFundWire.com - Tuesday, June 26, 2012
Schlichter Sees the Silver Lining in His Latest Setback The Seventh Circuit's ruling was a tossup for the DoL as the court sided both against it and with it in Hecker v. Deere. Hecker's lawyer sees opportunity in the ruling. .. 401kWire.com - Friday, June 26, 2009 - Reader Rating: 3
OppFunds Guides Advisors to 'Rework' Their Post-Plunge Relationships The Manhattan asset management firm provides intermediaries some insight into how to deal with different types of investors as the markets shake... MutualFundWire.com - Friday, June 26, 2009
Pax Preps for its ETF Debut The New Hampshire-based firm, which specializes in socially responsible funds, is looking for a national ETF sales manager... MutualFundWire.com - Friday, June 26, 2009
DailyAccess Pulls the Trigger on its First Deal The Alabama-based recordkeeper will add a Midwestern office as well as new lines of business as it picks up 150 DC clients through an acquisition... 401kWire.com - Friday, June 26, 2009 - Reader Rating: 4.8
Styling in New Digs in Edina A Midwestern plan advisor switches offices after adding to her team and helping move a $40 million plan... 401kWire.com - Friday, June 26, 2009
Stock Analysts Share Their Views On Legg Mason's Future FBR Capital Markets analysts say a sale or break up of Legg Mason is unlikely... MutualFundWire.com - Friday, June 26, 2009
Fidelity Scoffs at Lawson Rumors It is just not true that Roger Lawson is losing his power at the Boston Behemoth says its spokesperson... MutualFundWire.com - Friday, June 26, 2009
Aberdeen Hunts for Added U.S. Distribution Who wants to buys U.S. asset managers?.. MutualFundWire.com - Friday, June 26, 2009
SEC Supports Jones Against Oakmark Funds Harris Associates is now facing a heavyweight adversary in the fee case involving its Oakmark Funds... MutualFundWire.com - Friday, June 26, 2009
A Senior Wachovia Retirement Marketer is Out The bank-owned retirement plan provider has shaken up its marketing ranks, costing a least one top executive a job... 401kWire.com - Thursday, June 26, 2008 - Reader Rating: 5
Citi Stock Sinks to a 10-Year Low The beleaguered company took another hit Thursday when a Goldman analyst recommended that investors short-sell its stock... MutualFundWire.com - Thursday, June 26, 2008
Is Merrill Cooking Up a 403b Version of MLConnect? At least one 403b vendor is in talks with Merrill Lynch... 401kWire.com - Thursday, June 26, 2008 - Reader Rating: 5
TPA Suggests Course of Action to 403b Plan Sponsors A Texas-based firm comes up with its own way of helping non-profit employers deal with the new regs from the IRS... 401kWire.com - Thursday, June 26, 2008
Now Hiring: Chief Metrics Officer? A new kasina study mulls the creation of a new type of position to collect and interpret sales metrics. .. MutualFundWire.com - Thursday, June 26, 2008
McKinsey Sees a $5-Trillion Opp for Recordkeepers The consulting firm has released its DC projections through 2015... 401kWire.com - Thursday, June 26, 2008
Wells Fargo Shares Numbers on Target-Date Take-Up The firms reveals how many plan sponsors have added target-date funds since the relaunch of the lifecycle lineup two years ago... 401kWire.com - Thursday, June 26, 2008
SEC Review of Credit Ratings Agencies Could Have Implications for Money Market Funds Fund firms that have money market funds will want to keep an eye on the SEC proceedings regarding the legitimacy of credit-ratings agencies... MutualFundWire.com - Thursday, June 26, 2008 - Reader Rating: 1
MassMutual Relationship Management Team Grows The Springfield, Massachusetts-based provider has brought on board Putnam and Principal Financial alums... 401kWire.com - Thursday, June 26, 2008 - Reader Rating: 5
JPMorgan Taps Insider as a Liaison to Advisors The New York firm has named the head of its RIA channel... MutualFundWire.com - Thursday, June 26, 2008
Natixis Junks a Just-Adopted 130/30 Strategy Showing that the 130/30 monniker may not be a magic elixer, Natixis will liquidate a fund that recently changed its strategy to become more hedge-like... MutualFundWire.com - Thursday, June 26, 2008 - Reader Rating: 2
First Eagle Alums Prep Their Debut Funds Charles de Lardemelle, Charles De Vaulx and co. are working on two mutual funds... MutualFundWire.com - Thursday, June 26, 2008 - Reader Rating: 5
Rydex Parent Takes a Ratings Hit Security Benefit has a lot riding on the success of its deal with Rydex Investments... MutualFundWire.com - Thursday, June 26, 2008 - Reader Rating: 4.83
Hedgers and ETFs: An Explosive Mix? The WSJ Fund track picks up on hedgers using levered ETFs. Marketing and sales executives from traditional funds should be aware that ETFs are a double-edged sword... MutualFundWire.com - Thursday, June 26, 2008 - Reader Rating: 3
S&P Adds New Index to Shariah-Compliant Series S&P has added the the S&P Pan Asia Shariah Index to its S&P Global Shariah Index Series... MutualFundWire.com - Tuesday, June 26, 2007 - Reader Rating: 3
Fido Beefs Up RIA Sales The Boston Behemoth adds 10 new team members, including one executive lured from a back office specialist. .. MutualFundWire.com - Tuesday, June 26, 2007 - Reader Rating: 3.33
PowerShares Celebrates ETF Launch with Trading Floor Soiree Yesterday evening, executives from PowerShares Capital Management gathered at the NYSE to ring the closing bell... MutualFundWire.com - Tuesday, June 26, 2007 - Reader Rating: 3
McKinsey Vet Joins BPO Firm's Board A Garden State outsourcing specialist adds an experienced consultant to its leadership. .. 401kWire.com - Tuesday, June 26, 2007
New Lifecycle Funds Up the Equity An Empire State investment manager gets into the target date game. .. 401kWire.com - Tuesday, June 26, 2007
Mega-Bank Makes DC Move, Prepares Lifecycle Funds: The Next Generation UPDATED: A global asset manager creates a new DC unit and gets its own target date funds ready, but don't expect to see them recordkeeping anytime soon... 401kWire.com - Tuesday, June 26, 2007 - Reader Rating: 5
Fund Family's Wholesalers Learn to Teach Advisors About 401ks As part of its DC I-O push, one investment management firm sets out to put all of its sale force through a Keystone State firm's 401k-specific training program . .. 401kWire.com - Tuesday, June 26, 2007
KKR Said to Be in Talks for BD License The private equity firm Kohlberg Kravis Roberts & Co is in the process of obtaining a broker-dealer license... MutualFundWire.com - Tuesday, June 26, 2007
FTC Gives Wachovia the All Clear Signal Wachovia has gotten the go-ahead from the Federal Trade Comission to buy A.G. Edwards... MutualFundWire.com - Tuesday, June 26, 2007 - Reader Rating: 3.25
JennisonDryden Wholesalers Earn Professional Plan Consultant Status JennisonDryden's team of wholesalers is the first to earn the new Professional Plan Consultant designation from Financial Service Standards through its 401(k) Service Training Program... MutualFundWire.com - Tuesday, June 26, 2007 - Reader Rating: 5
New SEC Tool Allows Investors to Find Out if They Invest in Terrorism The SEC has added a tool to its website that will make public company disclosures more accessible to investors... MutualFundWire.com - Tuesday, June 26, 2007 - Reader Rating: 5
AXA Names New Fund VP Kenneth T. Kozlowski will assume the role of vice president with the New York-based Funds Management Group, a division of AXA Equitable Life Insurance Company... MutualFundWire.com - Tuesday, June 26, 2007 - Reader Rating: 5
DoL Shoots for Summer Release of Final QDIA Regs A labor official told attendees at the Spark Conference the final QDIA regs will likely make their appearance this season. Meanwhile, an SEC official says the proposed 4 p.m. hard close rule is not dead yet... 401kWire.com - Tuesday, June 26, 2007
BD Group Asks Cox to Leave Section 28(e) Alone The Alliance in Support of Independent Research wrote a letter to SEC Chairman Christopher Cox on June 20, 2007, asking him to reconsider his recent request that Congress adopt legislation to repeal or substantially revise Section 28(e) of the Securities and Exchange Act of 1934... MutualFundWire.com - Tuesday, June 26, 2007
BlackRock: Why Hedge When You Can Fund a Long-Short? Robert Doll skips on a hedge fund to focus on new a mutual fund that essentially does the same. .. MutualFundWire.com - Tuesday, June 26, 2007 - Reader Rating: 3
Little Noted PPA Provisions Service Providers Must Learn Steve Saxon shared pointers on three little-discussed provision of the Pension Protection Act that could prove useful to service providers as part of his Spark Conference address... 401kWire.com - Tuesday, June 26, 2007
NYLIM Intros Retirement Funds Line NYLIM has created the new Mainstay Retirement Funds product line... MutualFundWire.com - Tuesday, June 26, 2007 - Reader Rating: 3.2
Great-West Swallows MetLife 401ks -- Still Hungry For More The deal sends close to 2,600 plans representing about 300,000 participants and $7.5 billion in assets to Great-West... 401kWire.com - Monday, June 26, 2006 - Reader Rating: 3.5
Target Date DC Portfolios? A New York-based investment advisory firm takes the next step in DC automation... 401kWire.com - Monday, June 26, 2006
EBSA Bites Again Three executives of a now-dead California company have reached an almost $30,000 settlement agreement with the DoL... 401kWire.com - Monday, June 26, 2006
Keystone Fund Firm Up For Grabs? Expansion is not always enough to save fund firms from takeover... MutualFundWire.com - Monday, June 26, 2006
Midwestern Firm Launches Two New ETFs Exchange traded funds are like rabbits these days -- they just keep on multiplying. First Trust Advisors L.P. just launched two new ETFs, MarketWatch reported Sunday. The two new funds, the First Trust Amex Biotechnology Index Fund and the First Trust Dow Jones Internet Index Fund , are the Lisle, Illinois-based firm's fourth and fifth ETFs on the American Stock Exchange (Amex)... MutualFundWire.com - Monday, June 26, 2006 - Reader Rating: 2.33
Pentegra Broadens Consulting Team The White Plains, New York-based firm has added two senior retirement consultants... 401kWire.com - Monday, June 26, 2006
SEC's Hedge Fund Rule Arbitrary, Court Decides A federal appeals court dealt a blow Friday to the SEC's hopes for hedge fund registration requirements... MutualFundWire.com - Monday, June 26, 2006
PIMCO Trial: Corba Cross-Examined Five years is a long time to remember specific conversations, former PEA Capital CEO Ken Corba has suggested during his testimony in the trial of former PIMCO Advisors Distributors CEO Steve Treadway. So, during cross-examination, Treadway's attorney, Alan Levine, helped Corba refresh his memory by repeatedly referring him to statements he made during an investigative testimony in February 2004... MutualFundWire.com - Monday, June 26, 2006
Watson Wyatt Adds Three Senior Consultants The consultant brings in the trio to bolster its New York City office... 401kWire.com - Thursday, June 26, 2003 - Reader Rating: 3.67
Gartmore Plans Registered Hedge Funds The unit of Nationwide is the latest to register a fund-of-funds... MutualFundWire.com - Thursday, June 26, 2003
Nuveen Fund Raises $2.2 Billion Another closed-end, fixed-income fund is a hit... MutualFundWire.com - Thursday, June 26, 2003
Nationwide Pools Sales Forces for DC, DB Efforts UPDATED: The provider is working very closely with a subsidiary to coordinate DC and DB solutions. The push is likely to strengthen its ties to the advisor channel... 401kWire.com - Thursday, June 26, 2003 - Reader Rating: 3.33
DoL Targets Enron Execs and Board The extensive filing by the DOL claims Lay, Skilling and 19 others seriously breached their fiduciary duties... 401kWire.com - Thursday, June 26, 2003 - Reader Rating: 5
Neuberger for Sale? Rumors of a potential deal drove up the share price of the fund firm yesterday... MutualFundWire.com - Thursday, June 26, 2003
Some Cuts at State Street are Forced Despite the large number of workers taking the severance package, the Boston firm reportedly made some layoffs yesterday... MutualFundWire.com - Thursday, June 26, 2003
DoL to Sue Enron Fiduciaries Look for another company stock to suit to filed. This time it is the Feds who are taking action... 401kWire.com - Thursday, June 26, 2003 - Reader Rating: 1
A 401k Hoax? Why is the author of the anti-401k tome recommending that everyone needs to be in one?.. 401kWire.com - Wednesday, June 26, 2002
eSearch Firm Renews Providers The firm says it has renewed agreements with vendors listing plans on its system... 401kWire.com - Wednesday, June 26, 2002
Victory Opens New Solo K As expected, the bank has launched a new product designed around EGTRRA... 401kWire.com - Wednesday, June 26, 2002
ICI to SEC: More Disclosure The mutual fund trade group agrees with the government organization to strengthen corporate reporting... MutualFundWire.com - Wednesday, June 26, 2002
TPAs Get A Break A deal between a back office firm and an educator will give online financial tools to TPAs... 401kWire.com - Wednesday, June 26, 2002
Piper Jaffray Fined The firm coughs up cash to the Nasdaq... MutualFundWire.com - Wednesday, June 26, 2002
What are 529 Fees? What kinds of fees can financial advisors expect from selling 529 plans? Is there an industry standard? The MutualFundWire.com takes a look at the issues... MutualFundWire.com - Wednesday, June 26, 2002
PlaceMark Finds a Place The firm is getting its feet wet in MMD waters... MutualFundWire.com - Wednesday, June 26, 2002
On the NICSA Board The trade organization has named five to its board of directors... MutualFundWire.com - Wednesday, June 26, 2002
Pru Crosses the Rhine The insurer has purchased a German firm... MutualFundWire.com - Wednesday, June 26, 2002
Phoenix and VAs The wealth manager buys a variable annuity business... MutualFundWire.com - Wednesday, June 26, 2002
Remember the 529 A state selects a 529 plan provider... MutualFundWire.com - Wednesday, June 26, 2002
mPower's Busy Week The San Francisco firm has a new alliance, and it's with one of the big boys... 401kWire.com - Tuesday, June 26, 2001 - Reader Rating: 3
CitiStreet Clients Get More Fund Info Bundled retirement plans under the firm's umbrella now can learn more about their possible investment options from Vestek... MutualFundWire.com - Tuesday, June 26, 2001 - Reader Rating: 3
CitiStreet Clients Get More Fund Info Bundled retirement plans under the firm's umbrella now can learn more about their possible investment options from Vestek... 401kWire.com - Tuesday, June 26, 2001 - Reader Rating: 3
Undiscovered Finds Private Equity The firm is following its business plan as it closes a third round of capital to fund product development and marketing, says Hurley. It will use that money to hire a director of operations... MutualFundWire.com - Tuesday, June 26, 2001 - Reader Rating: 3
To Protect and To Serve A new study from Search401k reveals that while most vendors may be strong on service, they may not be providing as much fiduciary protection as necessary... 401kWire.com - Tuesday, June 26, 2001 - Reader Rating: 3
Hewitt Plus PeopleSoft An HR alliance ... Greenberg steps down at Bear Sterns ... Bessemer in Dallas ... Web upgrade ... Thomson and WSJ ... Barclays to double client base ... GMAC hires ... Moving on up ... Fassnacht of the fund ... The goings-on at Pax World... MutualFundWire.com - Tuesday, June 26, 2001 - Reader Rating: 3
Hewitt Plus PeopleSoft An HR alliance ... Greenberg steps down at Bear Sterns ... Bessemer in Dallas ... Web upgrade ... Thomson and WSJ ... Barclays to double client base ... GMAC hires ... Moving on up ... Fassnacht of the fund ... The goings-on at Pax World... 401kWire.com - Tuesday, June 26, 2001 - Reader Rating: 3
Give Me the Child When Five Salomon Smith Barney relaunches its financial website designed to educate children... MutualFundWire.com - Tuesday, June 26, 2001 - Reader Rating: 3
PFPC Seeks Sales The unit of PNC Bank is seeking sales people to move WyStar... 401kWire.com - Tuesday, June 26, 2001 - Reader Rating: 3
Hancock Joins with Banks for Distribution John Hancock is partnering with three banks to increase the penetration of its fund and variable annuity products... MutualFundWire.com - Monday, June 26, 2000 - Reader Rating: 3
Knowing When To Let Go At the first Morningstar Retirement Conference, consultants gave sponsors some advice about giving funds the heave-ho... 401kWire.com - Monday, June 26, 2000 - Reader Rating: 3
Pyramid Adds Business Development VP The provider of Web and voice technology for retirement recordkeeping platforms taps a former Spectrem consultant for its Business Development group... 401kWire.com - Monday, June 26, 2000 - Reader Rating: 3
401k Channel Manager Wanted! Waddell & Reed is seeking a channel manager for 401ks as part of its effort to broaden distribution... 401kWire.com - Monday, June 26, 2000 - Reader Rating: 3
Waddell & Reed Expands Distribution The fund company is adding wholesalers and a national sales manager as it seeks new distribution channels... MutualFundWire.com - Monday, June 26, 2000 - Reader Rating: 3
Investment Advice: Making the Right Business Decision Do the benefits of offering investment advice outweight the costs?.. 401kWire.com - Monday, June 26, 2000 - Reader Rating: 3
June 26, 2000 What's Morningstar worth? ... Netfolio Aims to replace funds ... Who's Next?.. 401kWire.com - Monday, June 26, 2000 - Reader Rating: 3
June 26, 2000 What's Morningstar worth? ... Netfolio Aims to replace funds ... Who's Next?.. MutualFundWire.com - Monday, June 26, 2000 - Reader Rating: 3
Are Indexed Funds Important? So, it's summer. It's hot. The kids are home from school. That vacation is still weeks away. Yes, the summer doldrums have begun. What could be better than a simple easy question of the week that will guarantee a headline like "100% of All Sponsors Want...."? Well, I'm not going to give it to you... 401kWire.com - Friday, June 26, 1998 - Reader Rating: 3
Week of June 21, 1998: RFP Roundup Here's something for the database. Janet Quintal will be assuming the post of director of DB and DC plans at New York-based RJR Nabisco (NYSE: RN), according to a report in P&I Daily.Her predecessor, Ed Robertiello, has been named a vice president at the company. Quintal formerly served in a similar position at Greenwich, CT-located Fortune Brands, Inc... 401kWire.com - Friday, June 26, 1998 - Reader Rating: 3
Michael Baker Corp. Changes Matching Coraopolis, PA-located Michael Baker Corp. (AMEX: BKR), an engineering company, has changed its system of matching for its employees, Adrian Cook, qualified plan specialist, told the 401kWire. The plan has approximately $90 million in assets with 2,700 participants... 401kWire.com - Friday, June 26, 1998 - Reader Rating: 3

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