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Fund Profiles
News Stories Archives - Since 1998
Lincoln Teams Up For Target Date Portfolios
The recordkeeping giant launched a new investment option this week, with a twist on the traditional TDF...
401kWire.com - Wednesday, August 08, 2018 - Reader Rating: 5
After Two Years, an RKer's National Sales Director Departs
401kWire has learned that a top exec recently left the open architecture firm...
401kWire.com - Wednesday, August 08, 2018 - Reader Rating: 5
Ascensus Brings on a UX Expert
The recordkeeper welcomes a new face to its team...
401kWire.com - Wednesday, August 08, 2018 - Reader Rating: 5
Catalyst Doesn't Lack in New Hires
Jerry Szilagyi makes three additions and one promotion to their team...
MutualFundWire.com - Wednesday, August 08, 2018
Sheridan Road Hires a Sunshine State Ally
The exec now serves as general counsel and chief compliance officer at the Chicagoland KPA shop...
401kWire.com - Wednesday, August 08, 2018
Everett Brings a Top Pru Vet to Principal
The new hire will oversee retirement income products and more...
401kWire.com - Wednesday, August 08, 2018
What IM Acquisitions Would Voya's Chief Hunt For?
Rod Martin and his top lieutenants talk about the firm's Q2 2018 results...
MutualFundWire.com - Wednesday, August 08, 2018
The Bipartisan Policy Center Makes Retirement a Policy Priority
401kWire gets more information about the "Funding Our Future' campaign..
401kWire.com - Wednesday, August 08, 2018
About This Morning ...
Due to technical difficulties, MFWire did not send out an AM email this morning...
MutualFundWire.com - Tuesday, August 08, 2017
Mairs & Power's Next CEO Speaks
MFWire talks to the exec who will take over the Midwestern fund firm, next year. He's not looking to make waves. ..
MutualFundWire.com - Tuesday, August 08, 2017
Trust Builders Readies a New Brand
It has been eleven years since the retirement planning software shop last rebranded and now, they're doing it again...
401kWire.com - Tuesday, August 08, 2017
Follow the Fundsters - August 8, 2017
The latest hires, fires, and more!..
MutualFundWire.com - Tuesday, August 08, 2017 Views
TRA Acquires a Michigan TPA
The Retirement Advantage Inc. just closed this deal. ..
401kWire.com - Tuesday, August 08, 2017 - Reader Rating: 4.67
Vanguard Finds a 403b Ally
The low-cost mutual fund titan makes another small-market alliance with a recordkeeper...
401kWire.com - Tuesday, August 08, 2017
SunTrust Welcomes a KPA in Atlanta
The KPA is no longer registered on BrokerCheck...
401kWire.com - Tuesday, August 08, 2017
A 24-Year Morgan Stanley Vet Forms An RIA
A 401(k) plan advisor (KPA) who has more than 24 years experience working at a large wirehouse has decided to start his own new venture...
401kWire.com - Tuesday, August 08, 2017 - Reader Rating: 2
Is Invesco Becoming a Mini-BlackRock?
The WSJ ponders the reported deal talk between Invesco and Guggenheim...
MutualFundWire.com - Tuesday, August 08, 2017 Views
Cap Group Invests In DC Product, Relationship Management, and More
Bill Anderson talks with 401kWire about where the mutual fund titan is putting its dollars in 2016 when it comes to the retirement plan business...
401kWire.com - Monday, August 08, 2016 - Reader Rating: 4
The New Fund Fuss - August 8, 2016
The latest fund and index launches in the industry!..
MutualFundWire.com - Monday, August 08, 2016 Views
With Two Alliances, an ETF Entrepreneur Steps on the Gas
A SoCal startup teams up with a third-party marketing firm and a third-party distribution firm...
MutualFundWire.com - Monday, August 08, 2016 Views
An Excessive Fee Suit Lives to See Another Day
The case will be reheard by an appellate court. ..
401kWire.com - Monday, August 08, 2016
The Women in Pensions Network Rebrands
An org made of nearly 2,000 retirement professionals has revamped itself...
401kWire.com - Monday, August 08, 2016
Novant Health's Legal Settlement Surpasses $101MM
Attorneys for the plaintiffs in the excessive fee lawsuit have tacked on some additional requests. ..
401kWire.com - Monday, August 08, 2016 - Reader Rating: 5
The GOP and Dem Party Agree to Expand Retirement Security
Democratic leaders and the GOP look to expand retirement security, but in what way?..
401kWire.com - Monday, August 08, 2016
A Different Kind of Superlative For WisdomTree
The FT points out an interesting standout statistic for the publicly-traded ETF shop...
MutualFundWire.com - Monday, August 08, 2016 Views
A California 401k RIA Chooses Fortune
The shop previously aligned with Financial Telesis...
401kWire.com - Friday, August 08, 2014
A Fido Exec Shifts from Charity to B-D Sales
The sales honcho will handle the Northeast territory for Fidelity Investments Institutional Services...
MutualFundWire.com - Friday, August 08, 2014 Views
Judge Smites a Cleveland Fiduciary with a $143K Ruling
The former CEO of Attevo overstepped his fiduciary boundaries... and has has been ordered to pay a bulky amount.....
401kWire.com - Friday, August 08, 2014 - Reader Rating: 3
361's Growth Recipe Now Calls for an Accounts Exec
Florence's 361 Capital aims to double its sales organization over the next year. First on the dance card, someone with a nose for national accounts, says sales chief Josh Vail...
MutualFundWire.com - Friday, August 08, 2014 Views
Mercer Wins Three Awards In Massachusetts
The financial services consulting firm just took home three awards!..
401kWire.com - Friday, August 08, 2014 - Reader Rating: 2
Is It Time For the Guys To Step Aside?
Capitalizing on the data showing that women-led firms tend to have stronger performance, a number of firms are launching indices and funds that focus on such companies. This trend begs the important question: So just what do dudes bring to the table anyway?..
MutualFundWire.com - Friday, August 08, 2014 Views
An Ex-LPL SVP Joins Chetney's New GRP
The move comes as LPL and Chetney are buying FTI to create the GRP RIA and super-OSJ...
401kWire.com - Friday, August 08, 2014 - Reader Rating: 2
AdvisorShares Puts an ETF in the Pipeline
AdvisorShares [profile] has filed for a new ETF, which will be called the AdvisorShares YieldPro ETF. The goal of the fund is to provide current income and capital appreciation. [SEC Filing]...
MutualFundWire.com - Thursday, August 08, 2013 Views
A B-D Launches a New Platform
Web-based infrastructure, which has access to 1,500 advisors, will offer a number of tech goodies, including retirement analysis and rep-directed turnkey services that include third-party money managers. ..
MutualFundWire.com - Thursday, August 08, 2013 Views
T. Rowe Files For a Global Fund
T. Rowe Price [profile] has filed a preliminary prospectus for their Global Industrials Fund, with the goal if long-term growth of capital through investments in securities of companies in the industrials sector. [SEC Filing]...
MutualFundWire.com - Thursday, August 08, 2013 Views
Orinda Plans an Income Fund
Orinda Funds [profile] has plans to launch a new fund, the Orinda Income Opportunities Fund. The fund seeks to maximize current income with potential for modest growth of capital. [SEC Filing]...
MutualFundWire.com - Thursday, August 08, 2013 Views
Brown Preps a European Equity Fund
Brown Advisory Funds [profile] filed for a new fund, which will be called the Brown Advisory Strategic European Equity Fund. The fund's objective is to achieve total return by investing principally in equity securities issued by companies established or operating in Europe. [SEC Filing]...
MutualFundWire.com - Thursday, August 08, 2013 Views
PSI Puts a Fund on the Launch Calendar
Portfolio Strategies Investment Managers filed for a new fund, which will be called the PSI Calendar Effects Fund. The fund's objective is to reduce equity market exposure while seeking moderate capital appreciation. [SEC Filing]...
MutualFundWire.com - Thursday, August 08, 2013 Views
VALIC Approves Two Sub-Advisory Agreements
VALIC [profile], after a meeting held on August 5 and 6, approved of an investment sub-advisory agreement between VALIC and J.P. Morgan Investment Management, Inc. with respect to the Growth & Income Fund. They also approved of another agreement between VALIC and Massachusetts Financial Services Company with respect to the Large Capital Growth Fund. [SEC Filing]...
MutualFundWire.com - Thursday, August 08, 2013 Views
Hartford Reboots a Money Market Fund
Hartford [profile] has changed the name, investment objective and principal investment strategy of the Hartford Money Market HLS Fund. Effective on or about October 21, the fund will be renamed the Hartford Ultrashort Bond Fund, cease to operate as a money market fund, and be managed as an ultra-short bond fund. [SEC Filing I]. [SEC Filing II]...
MutualFundWire.com - Thursday, August 08, 2013 Views
Invesco Adds a PM and Pulls Another
Four Invesco [profile] funds — the Invesco Core Plus Bond Fund, Invesco Floating Rate Fund, Invesco Global Real Estate Income Fund, and Invesco Low Volatility Equity Fund — have changed their PM information. Also, effective August 1, Mr. Lindenbaum will be appointed as portfolio manager of Invesco Core Plus Bond Fund. In another filing, Invesco reports that Claudia Calich no longer serves as PM for the Invesco Emerging Market Local Currency Debt Fund and Invesco Premium Income Fund.[SEC Filing I]. [SEC Filing II]...
MutualFundWire.com - Thursday, August 08, 2013 Views
Wells Dines with Reporters in Manhattan
Steak and 401(k) talk makes for a fun afternoon..
401kWire.com - Thursday, August 08, 2013
Fidelity Lays Out Oversight of the Select Portfolios
Fidelity [profile] has amended their Fidelity Select Portfolios. Effective August 1, each fund will be managed by Fidelity SelectCo, LLC. In addition, a separate board has been established to the Fidelity funds managed by SelectCo. [SEC Filing]..
MutualFundWire.com - Thursday, August 08, 2013 Views
BlackRock Tweaks an Alt Fund Prospectus
BlackRock Funds [profile] has revised the prospectus of Blackstone Alternative Alpha Fund II. [SEC Filing]...
MutualFundWire.com - Thursday, August 08, 2013 Views
Ramius Drops a Trading Advisor
As of today, Ramius [profile] has removed Cantab Capital Partners LLP as a trading advisor. Cantab Capital Partners LLP will no longer serve as a trading advisor to any trading entity in which the Ramius Trading Strategies Managed Futures Fund invests. [SEC Filing]...
MutualFundWire.com - Thursday, August 08, 2013 Views
Eaton Vance Drops B Shares For a Large Cap Fund
Eaton Vance [profile] has changed what shares of the Eaton Vance Large-Cap Value Fund are available. Class B shares of the fund are no longer available. [SEC Filing]. ..
MutualFundWire.com - Thursday, August 08, 2013 Views
ING Amends a Host of PM Lists
ING Investment Management [profile] has amended the prospectuses of the funds which belong to ING Equity Trust, ING Funds Trust, ING Mutual Funds, ING Separate Portfolios Trust. In a separate filing, ING Investment Management has also amended the ING Balanced Portfolio, ING Intermediate Bond Portfolio, ING Money Market Portfolio, and ING Strategic Allocation Portfolios. [“The Sub-Advisers and Portfolio Managers” of each fund prospectus has been changed. SEC Filing I]. [SEC Filing II]...
MutualFundWire.com - Thursday, August 08, 2013 Views
Virtus Adjusts a Fund's Dividend Schedule
Virtus Investment Partners [profile] has filed an amendment to the Virtus Disciplined Select Bond Fund. Effective July 1, the fund has changed its dividend frequency to quarterly. [SEC Filing]...
MutualFundWire.com - Thursday, August 08, 2013 Views
Schwab Makes an Active Equity ETF Play, Times Six
Charles Schwab launched 6 new ETFs with equities grouped by U.S., international and emerging markets and size of the company, tracking the Russell Fundamental Index. ..
MutualFundWire.com - Thursday, August 08, 2013 Views
An Appeals Court Says This Stable Value Court Fight Isn't Over
The 7th Circuit tosses a denial of class certification for part of one of Jerry Schlichter's 401k fee lawsuits...
401kWire.com - Thursday, August 08, 2013 - Reader Rating: 1
An Energy Sector Sub-Advisor Hires Two Analysts
The shop subadvises eight funds...
MutualFundWire.com - Thursday, August 08, 2013 Views
Trucker Huss Adds an ASPPA Guru
A 15-year veteran attorney is joining the firm...
401kWire.com - Thursday, August 08, 2013
Brennan Rearranges Russell's Investment Chiefs
Russell has hired Jeff Hussey to serve as its global chief investment officer, who more than two decades of asset management experience with Russell, ..
MutualFundWire.com - Thursday, August 08, 2013 Views
Two Things to Know From Hartford's Q2 2013 Earnings
Hartford beat revenue forecasts but missed on EPS...
MutualFundWire.com - Thursday, August 08, 2013 Views
Mathews Picks an Institutional Distribution Chief at ING
The exec is a 13-year veteran with the company...
MutualFundWire.com - Thursday, August 08, 2013 Views
Judy Diamond Helps Advisors Go Prospectin'
The firm's new tool looks to help advisors...
401kWire.com - Thursday, August 08, 2013 - Reader Rating: 1
TIAA Keeps a $1.4B 403b Client
A Northeastern university sticks with the 403b giant...
401kWire.com - Thursday, August 08, 2013
ING is Hiring After an Exec Joins T.Rowe
T.Rowe Price has appointed Keith Blackmon as its vice president, DC-IO. ..
401kWire.com - Thursday, August 08, 2013 - Reader Rating: 1.33
Legg Tweaks a Permal Fund
As of July 31, Legg Mason [profile] has revised the investment objective and investment strategies of the Permal Alternative Core Fund. [SEC Filing]...
MutualFundWire.com - Thursday, August 08, 2013 Views
Another Trade Group Fights Borzi's RI Proposal
This time it's ERIC...
401kWire.com - Thursday, August 08, 2013
Sullivan's Bold Move Intrigues the Press
Reporters note that Legg Mason closed its emerging markets stock fund unit after its funds fell way behind its peers...
MutualFundWire.com - Thursday, August 08, 2013 Views
Fink Waxes Poetic, Again
Bloomberg Businessweek's Nick Summers interviewed BlackRock CEO Larry Fink for a Q&A on retail marketing and how much trouble we're in when it comes to retirement savings. ..
MutualFundWire.com - Thursday, August 08, 2013 Views
Repetto Messes with DFA's Secret Sauce
Despite the fact that its current methods have worked for 20 years, InvestmentNews Jason Kephart says DFA is changing its research. ..
MutualFundWire.com - Thursday, August 08, 2013 Views
ETF Roundup: Five Funds Generate Buzz While Investors Show Nashville ETF Love
Bloomberg's Eric Balchunas covers five interesting ETFs attracting attention. ..
MutualFundWire.com - Thursday, August 08, 2013 Views - Reader Rating: 2
Sponsors, Choose Your TDFs Carefully
A new paper from the Wharton Pension Research Council of over 1,000 plans shows how much plan participants rely on TDF money managers...
401kWire.com - Wednesday, August 08, 2012 - Reader Rating: 3
JPMorgan Stable Value Funds Sued Again
Not surprisingly, J.P. Morgan denies all claims...
401kWire.com - Wednesday, August 08, 2012 - Reader Rating: 5
Stork and Reaper for August 8, 2012
The MFWire's daily report on mutual fund births, deaths, and changes. ..
MutualFundWire.com - Wednesday, August 08, 2012 Views
Oaktree Releases Its First Report Since Its IPO
The shop has seen a small dip in AUM...
MutualFundWire.com - Wednesday, August 08, 2012 Views
Is New York Life Giving Stable Value Funds a Makeover?
Dorval says the company is seeking new ways to offer its products...
401kWire.com - Wednesday, August 08, 2012 - Reader Rating: 3
Emerald Revamps Its Flagship Fund
Emerald renames, restructures, and secures support for its flagship fund...
MutualFundWire.com - Wednesday, August 08, 2012 Views
DeAM Hangs on a RREEF
What will the decision be when Deutsche Bank executives make up their mind on RREEF come September? Some plan sponsors don't want to wait...
MutualFundWire.com - Wednesday, August 08, 2012 Views
Stocks Are Pimco's "Stepchild"
Bloomberg examines Bill Gross' decades-long troubles in equities. ..
MutualFundWire.com - Wednesday, August 08, 2012 Views
August Brings a Big Day for Money Funds
The SEC has finally determined voting day to decide whether to pass Schapiro's proposed money-market fund regulation changes...
MutualFundWire.com - Wednesday, August 08, 2012 Views
State Street Shrinks in Mass
The Boston iconic money manager strives to maintain its presence within Massachusetts. ..
MutualFundWire.com - Wednesday, August 08, 2012 Views
AdvisorShares Introduces Another Hedge ETF
New fund will be a managed long/short hedge...
MutualFundWire.com - Wednesday, August 08, 2012 Views
Are Diamonds Forever for ETFs?
A Chicago-based shop is looking to base a new fund around diamonds...
MutualFundWire.com - Wednesday, August 08, 2012 Views
A Producing TPA in Texas Buys Itself Back
A Lone Star bank sells a retirement plan RIA and recordkeeper...
401kWire.com - Monday, August 08, 2011 - Reader Rating: 4
LPL Takes Chicago
LPL's focus11 confab is underway in the Windy City...
MutualFundWire.com - Monday, August 08, 2011 Views
MassMutual Liquidates a Stock Fund
The liquidation took effect last Friday...
MutualFundWire.com - Monday, August 08, 2011 Views
BlackRock Woos the Advisor-Sold Crowd with its New DC Products
The New York City-based launches nine index-based target-date mutual funds...
401kWire.com - Monday, August 08, 2011 - Reader Rating: 3
Pimco Expands its Stable Value Team
The fixed-income giant manages about $30 billion in stable value assets...
401kWire.com - Monday, August 08, 2011
Casady Expects to Further Beef Up LPL's Retirement Plan Support
Updated | The chief of the giant indie B-D speaks to his advisors at the firm's annual conference...
401kWire.com - Monday, August 08, 2011 - Reader Rating: 5
What Do Fundsters Think of the Downgrade?
Bill Gross, Bill Miller and others disagree about the Friday night downgrading of the U.S. debt rating...
MutualFundWire.com - Monday, August 08, 2011 Views
Report IDs ETF Shops That are Possible Takeover Targets
The WSJ, citing buzz among market watchers, names two firms that could be takeover targets...
MutualFundWire.com - Monday, August 08, 2011 Views
Advisors Weigh In on Fund Laggards
The WSJ talks to advisors about mutual funds that have turned cold...
MutualFundWire.com - Monday, August 08, 2011 Views - Reader Rating: 3
Ready Moves Up at Wachovia
Joe Ready, who recently received a promotion at the Charlotte firm, discusses a product in the works...
401kWire.com - Friday, August 08, 2008
OppFunds Retirement Juices Up its Advisor Support
Executives at the MassMutual Financial subsidiary unveil a number of new tools for and hint at more to come...
401kWire.com - Friday, August 08, 2008 - Reader Rating: 2.67
New SEC Site Takes Out the Dirty Laundry
The government agency has designed a new website to assist fund companies in their anti-money laundering compliance efforts...
MutualFundWire.com - Friday, August 08, 2008 Views
Distribution is Key to the Ameriprise-Seligman Deal
The transaction, expected to close in November, will give RiverSource stronger third-party distribution...
MutualFundWire.com - Friday, August 08, 2008 Views - Reader Rating: 3
Great-West is Hiring Wholesalers
The Colorado-based plan provider is on the prowl to fill two new wholesaler posts...
401kWire.com - Friday, August 08, 2008 - Reader Rating: 1
A Quarter of Sponsors are Not Contented with the Level of Fee Disclosure
In its survey, Mercer also found that several employers have implemented fee monitoring and benchmarking, many of whom benchmarked administrative fees within the past 12 months...
401kWire.com - Friday, August 08, 2008
East Coast Job Fair
This week the we scour the East Coast to find the best fund jobs...
MutualFundWire.com - Friday, August 08, 2008 Views
Merrill and Citi Agree to Auction Rate Repurchase
Merrill and CitiGroup have opted to buyback a combined $17 billion in auction-rate securities...
MutualFundWire.com - Friday, August 08, 2008
Cap Group to Expand Indy Operations
American Funds parent Capital Group is expanding its Carmel, Indiana offices...
MutualFundWire.com - Friday, August 08, 2008 Views - Reader Rating: 1
BlackRock Preps to Swallow Two Funds
Larry Fink is about to bring more mutual fund investors under his brand...
MutualFundWire.com - Friday, August 08, 2008 Views - Reader Rating: 3
Pax is Shuttering a Fund
The SRI company is closing the doors to a fund that failed to gain traction...
MutualFundWire.com - Friday, August 08, 2008 Views
Barclays Tries Its Hand at 529s
Interested in the use of ETFs in tax-deferred savings vehicles?..
MutualFundWire.com - Friday, August 08, 2008 Views
Two Vanguard Reopens Win WSJ Play
The company's decision yesterday gets more coverage today...
MutualFundWire.com - Friday, August 08, 2008 Views
Milberg Weiss Investigates Company Stock Again
The class action specialist goes after another DC plan sponsor. ..
401kWire.com - Wednesday, August 08, 2007
Old Line State Provider Tops Mid-Market Client Satisfaction Poll
A Baltimore-based firm moved into the No. 1 spot in 401kExchange's Mid-Year Provider Ratings...
401kWire.com - Wednesday, August 08, 2007
BofA Names Leaders for Premier Banking & Investments Division
Pat Phillips, president of Bank of America's Premier Banking & Investments (PB&I), just revealed his plans for the leadership of his division...
MutualFundWire.com - Wednesday, August 08, 2007 - Reader Rating: 2.57
FINRA to Begin Sweep of Section 72(t) Abusers
FINRA has reportedly put at least 10 broker dealers on notice that it plans to begin a sweep of those who abuse Section 72(t) of the tax code...
MutualFundWire.com - Wednesday, August 08, 2007 - Reader Rating: 3
FINRA vs. FIA: Round One, Nominee Knockout
Poor FINRA; it seems like every time the new NYSE-NASD regulatory combo wins a battle, yet another organization lays down a challenge...
MutualFundWire.com - Wednesday, August 08, 2007 - Reader Rating: 3.22
Bay Area Provider Sees New Business Nearly Double
The founder of a Web-based recordkeeper points to small business payroll partnerships as driving growth. ..
401kWire.com - Wednesday, August 08, 2007 - Reader Rating: 5
LPL Server Ties Severed By Software?
A server upgrade gone wrong shut down LPL's broker interface system this morning...
MutualFundWire.com - Wednesday, August 08, 2007 - Reader Rating: 3.89
BGI Moves Five More iShares ETFs to NYSE Arca
The San Francisco-based asset manager has completed the move of five more funds from the AMEX to the NYSE Arca...
MutualFundWire.com - Wednesday, August 08, 2007 Views - Reader Rating: 3
Northern Trust Hops On Target-Date Bandwagon
The firm has added itself to the list of firms offering target-date funds...
401kWire.com - Wednesday, August 08, 2007
Northern Trust Joins Target-Date Bandwagon
Northern Trust Global Investments is the latest firm to roll out target-date funds...
MutualFundWire.com - Wednesday, August 08, 2007 Views - Reader Rating: 3
Suit Hints at Rydex Price Tag
Security Benefit's winning bid for Rydex may not have been the absolute highest. More pricing details were provided in a suit filed by a disgruntled Rydex marketer...
MutualFundWire.com - Wednesday, August 08, 2007 Views - Reader Rating: 3.56
Marketer Sues Rydex, Claims Broken Promises
Phil Fragasso, SVP and chief marketing officer officer at Rydex Investments, has filed a suit alleging that retention pay promised to him by Rydex's CEO has not been forthcoming...
MutualFundWire.com - Wednesday, August 08, 2007 Views - Reader Rating: 4.21
Nationwide Funds CRR Report to Help Advisors
A sales executive with the Buckeye State provider explains the firm's enthusiasm for the National Retirement Index. ..
401kWire.com - Wednesday, August 08, 2007
Bay State Researchers Confirm VA Hire
As previously reported in The 401kWire, the firm has a new leader for its variable annuity efforts. ..
401kWire.com - Wednesday, August 08, 2007
Baird Bond Fund Lands On OneSource Select Funds List
The Baird Aggregate Bond Fund Investor Class has made it to the Schwab Mutual Fund OneSource Select List, for Q3 of 2007...
MutualFundWire.com - Wednesday, August 08, 2007 Views - Reader Rating: 1.5
Portland Manufacturer To Freeze DB Plan
Yet another company is favoring 401(k)s over defined benefit plans...
401kWire.com - Tuesday, August 08, 2006
Pension Reform: The Other White Meat
The 907-page pension reform bill awaiting the President's signature looks to be full of lawmakers' favorite food...
401kWire.com - Tuesday, August 08, 2006
Nationwide: A New Head for the New Year
The Columbus, Ohio-based firm's SVP for group retirement plans is said to be planning to retire at the end of the year...
401kWire.com - Tuesday, August 08, 2006
AllianceBernstein Appoints Head Of Institutional DC Services
The company tapped one of its own to fill the newly created position...
401kWire.com - Tuesday, August 08, 2006 - Reader Rating: 2.5
RSM McGladrey Boosts Sales Team
The Minneapolis-based firm has added regional sales directors...
401kWire.com - Tuesday, August 08, 2006
Principal Sets IRA Training Conference
The Iowa-based firm will hold its second all-day IRA training conference in Chicago on September 20...
401kWire.com - Tuesday, August 08, 2006
Is Hondros Packing?
Paul Hondros may be about to depart from Nationwide's Gartmore Group. According to a published report, Hondros will leave the firm because of a growing difference of opinion between himself and executives at Nationwide. However, a spokesperson for the insurer told InvestmentNews, which published the story, that he is not aware of any executive changes afoot at Nationwide...
MutualFundWire.com - Tuesday, August 08, 2006 Views
Beating a Path from Closed-Ends to ETFs
While no one is yet holding out exchange-traded funds as a cure for the common cold, some are touting ETFs as a cure for the common closed-fund discount...
MutualFundWire.com - Tuesday, August 08, 2006 Views
Dems Improve Standing with Fund Donors
The securities industry is earmarking more money for Democrats this cycle than Republicans. Fidelity still leans to the GOP...
MutualFundWire.com - Tuesday, August 08, 2006 Views
Ameriprise Will Help Advisors Plan Succession
This October Ameriprise Financial will introduce a program to help advisors pass on their BOBs...
MutualFundWire.com - Tuesday, August 08, 2006
A.G. Edwards Takes Two Strikes
The brokerage firm is fined by the NYSE over the use of its wrap accounts. Meanwhile, it loses the first ruling in its California overtime case...
MutualFundWire.com - Tuesday, August 08, 2006 - Reader Rating: 3
Weiss Sells Ratings Group
TheStreet.com is picking up the Weiss Ratings business from the Jupiter, Florida-based Weiss Group. The sale will move the ratings of more than 16,000 mutual funds into new hands...
MutualFundWire.com - Tuesday, August 08, 2006 Views
ECN Hit with $2.2 Million Fine
The NASD says BRUT provided inaccurate reports and vacked away from making a two-sided market in some securities...
MutualFundWire.com - Tuesday, August 08, 2006
Bear Stearns Adds Space in London
The new lease will accommodate "significant expansion" says Peretie...
MutualFundWire.com - Tuesday, August 08, 2006 - Reader Rating: 3
ProShares Adds Sales Pro
ProFunds has tapped a sales veteran from UBS to head the sales efforts for its exchange-traded products sold through its ProShares Advisors unit. The hiring of the national sales manager comes as providers of ETFs report booming sales of the products and increasing reach into the retail market. ProFunds has focused on building its distribution through financial advisors with active trading strategies...
MutualFundWire.com - Tuesday, August 08, 2006 Views
Pension Reform: Boom or Bust for BDs?
Many in the press are saying that pension reform will open the nation's piggybanks to brokerage firms, but those reports are likely wrong...
MutualFundWire.com - Tuesday, August 08, 2006
SEC Takes Action Against Citi's Jones
The SEC has filed a civil complaint against two former Citigroup Asset Management executives related to fund transfer agent shenanigans...
MutualFundWire.com - Monday, August 08, 2005 - Reader Rating: 4
Principal Sets up Chinese Fund Joint-Venture
Principal Financial has created a joint-venture with two Chinese companies to sell mutual funds and other financial products .....
MutualFundWire.com - Monday, August 08, 2005 Views
Beantown Firm Launches Absolute Return Fund
Hedge funds' popularity might actually be good news for mutual funds. That's because more and more mutual funds are marketing themselves as hedge funds, but with less risk...
MutualFundWire.com - Monday, August 08, 2005 Views
Putnam Hires Regional DC Manager
The industry veteran will cover the West Coast...
401kWire.com - Monday, August 08, 2005 - Reader Rating: 1
RIA Points to Life Insurance Gap
Don't neglect to talk about insurance in retiree planning materials .....
401kWire.com - Monday, August 08, 2005 - Reader Rating: 1
It's a Bird! It's a Plane! It's Captain 401k!
The PSCA calls on its own superhero for 401(k) Day...
401kWire.com - Monday, August 08, 2005 - Reader Rating: 2
ExpertPlan Hires Fund Pro
The new hire will manage the recordkeeper's fund relationships...
401kWire.com - Monday, August 08, 2005 - Reader Rating: 1
Oppenheimer Plans Board Changes
The fund firm asks shareholders to approve a move to consolidate its fund boards .....
MutualFundWire.com - Monday, August 08, 2005 Views
USAA Swaps Subadvisors
USAA has replaced the subadvisor for its USAA First Start Growth fund. After Marsico Capital Management indicated that it did not want to subadvise the fund, the fund's board hired Loomis, Sayles & Company .....
MutualFundWire.com - Monday, August 08, 2005 Views - Reader Rating: 4
Deal Time (At Last) for E Trade
E Trade has finally landed a deal with another online broker. E Trade will buy Harrisdirect's U.S. operations for $700 million in cash .....
MutualFundWire.com - Monday, August 08, 2005 Views
Fido Switches Managers
Derek L. Young and Christopher L. Sharpe have been named co-managers of six Fidelity funds, replacing William Eigen .....
MutualFundWire.com - Monday, August 08, 2005 Views
Morningstar Explains Itself
After bookmarking Mario Gabelli's new blog, also add Morningstar's new investor Q&A website to your list of favorites...
MutualFundWire.com - Monday, August 08, 2005 Views
Oregon Firm Hires Another ex-Berger Exec
The Pacific Northwest provides haven for another refugee from Denver...
MutualFundWire.com - Friday, August 08, 2003 Views
A Shuffle of the Deck Leaves Subadvisor Out of $1.3 Billion Deal
Vanguard has shaken up the mandates for its Equity Income fund and left the founding subadvisor out in the cold...
MutualFundWire.com - Friday, August 08, 2003 Views
Janus Building Up Wholesaler Team
The firm may double its existing staff reporting to a new national sales director...
MutualFundWire.com - Friday, August 08, 2003 Views - Reader Rating: 3.5
Colby Takes Reins of Five Hancock Funds
The new municipal bond chief will oversee five funds at John Hancock Advisors...
MutualFundWire.com - Friday, August 08, 2003 Views
Outsourcer Hires Sales Exec to Meet Demand
A long-time industry veteran has joined the Boston office of an outsourcer. He will lend a hand in closing institutional sales...
401kWire.com - Friday, August 08, 2003 - Reader Rating: 3
Victory Funds Taps Consultant Head
The bank has a new executive overseeing its consultant distribution efforts...
401kWire.com - Friday, August 08, 2003 - Reader Rating: 4
Pension Reform Split
The Senate is reportedly taking a more conservative route than the House in its version of pension reform...
401kWire.com - Friday, August 08, 2003 - Reader Rating: 5
Upstate NY Sponsor Moves to National Vendor
The biotech firm bundles with a fund firm. The plan had been with a local TPA...
401kWire.com - Friday, August 08, 2003 - Reader Rating: 3
Fido Teaches How to Exploit IRS Rules
The firm is teaching advisors and retirement account holders how to take advantage of the new MRDs...
401kWire.com - Thursday, August 08, 2002
Hewitt Turns in First Report Card
Its earnings were what the Street was seeking...
401kWire.com - Thursday, August 08, 2002
Advisors Increase Influence
Vendors seeking access to the plan sponsor masses will find advisors are more active, survey finds...
401kWire.com - Thursday, August 08, 2002
Stable Value Manager Adds Staff
The manager responds to the bull market for safe investments by adding a key marketing veteran...
401kWire.com - Thursday, August 08, 2002 - Reader Rating: 5
State Street CIO Swap
The firm names a new chief info officer as Fiore departs...
MutualFundWire.com - Thursday, August 08, 2002 Views
Delaware Adds Two
The firm has tapped a pair of execs for its Wealth Management team...
MutualFundWire.com - Thursday, August 08, 2002 Views
Study Reveals Hurdles for European Funds
Euro fund distributors face a wide range of issues, according to the study...
MutualFundWire.com - Thursday, August 08, 2002 Views
Schwab Finds Fund Chief
The hiring creates a vacancy at another fund firm...
MutualFundWire.com - Thursday, August 08, 2002 Views
Two New Choices at MassMutual
The firm has made some additions to its retirement plan lineup...
MutualFundWire.com - Wednesday, August 08, 2001 - Reader Rating: 3
Rydex Strikes
The fund firm has found a new channel to distribute its products...
MutualFundWire.com - Wednesday, August 08, 2001 - Reader Rating: 3
GoldK Adds Funds
The firm has added more investment options to its lineup...
401kWire.com - Wednesday, August 08, 2001 - Reader Rating: 3
Diversified Assigns $750 Million
The retirement plan specialist gives the boot to Putnam and taps three new subadvisors...
401kWire.com - Wednesday, August 08, 2001 - Reader Rating: 3
Two New Choices at MassMutual
The vendor has made some additions to its lineup...
401kWire.com - Wednesday, August 08, 2001 - Reader Rating: 3
Morningstar Rates Stocks
Stars for Stocks ... AIM Closes Fund ... McGrath at Nuveen ... Lord Abbett Triumphant ... Judy Diamond's New Book ... Gladstone Retires...
MutualFundWire.com - Wednesday, August 08, 2001 Views - Reader Rating: 3
Morningstar Rates Stocks
Stars for Stocks ... AIM Closes Fund ... McGrath at Nuveen ... Lord Abbett Triumphant ... Judy Diamond's New Book ... Gladstone Retires...
401kWire.com - Wednesday, August 08, 2001 - Reader Rating: 3
Franklin Templeton Places an Alternatives Bet
The West Coast fund manager has tapped a New York firm with a German heritage to act as its exclusive advisor in the alternatives market...
MutualFundWire.com - Wednesday, August 08, 2001 - Reader Rating: 3
DC One Part of Universe
One firm is helping participants see 401ks as one part of a larger investing universe...
401kWire.com - Wednesday, August 08, 2001 - Reader Rating: 3
Links Between Advice and Recordkeeping will Tighten
The Chicago-based specialist in retirement middleware has licensed to allow plan participants to seemlessly move between advisors provider and recordkeeper platforms...
401kWire.com - Tuesday, August 08, 2000 - Reader Rating: 3
Changes at First American
The retirement unit of U.S. Bancorp's First American unit will report to a new head as a result of changes that bring together the firm's retail and retirement efforts...
401kWire.com - Tuesday, August 08, 2000 - Reader Rating: 3
DLJDirect Wins Insurer's Biz
The online unit of Donaldson, Lufkin & Jenrette has added John Hancock to the list of clients using its 401(k) brokerage product...
401kWire.com - Tuesday, August 08, 2000 - Reader Rating: 3
Banks Funds Taps Exec
The fund unit of U.S. Bancorp has turned to a new executive to head all of its sales, marketing and product development for the retail and retirement channels...
MutualFundWire.com - Tuesday, August 08, 2000 - Reader Rating: 3
Need Small Plan Distribution? Try the Web
The publisher of Plan Sponsor magazine is the latest to announce its intentions to create a marketplace for 401(k) plans. No less than eight vendors are now targeting or plan to target this market. ..
401kWire.com - Tuesday, August 08, 2000 - Reader Rating: 3
Who Spins the Best Web Site?
Dalbar once again ranks fund company Web sites. It finds that fund companies are doing a better job than insurers in their offerings. ..
MutualFundWire.com - Tuesday, August 08, 2000 Views - Reader Rating: 3
August 8, 2000
"Huge bank" knocks on Bear Stearns' door ... Putnam, Fidelity mull hedge funds ... Liberty shuffles managers ... Why is MeVC on sale? ... Did Janus' spinoff blow $7 billion? ... Both longs and shorts lose at ProFunds ... Who is Steve Wallman? ... First Chinese open-end fund announced..
401kWire.com - Tuesday, August 08, 2000 - Reader Rating: 3
August 8, 2000
"Huge bank" knocks on Bear Stearns' door ... Putnam, Fidelity mull hedge funds ... Liberty shuffles managers ... Why is MeVC on sale? ... Did Janus' spinoff blow $7 billion? ... Both longs and shorts lose at ProFunds ... Who is Steve Wallman? ... First Chinese open-end fund announced..
MutualFundWire.com - Tuesday, August 08, 2000 Views - Reader Rating: 3
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