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News Stories Archives - Since 1998
F/m and a 33YO Subadvisor Greenlight Their 1st Equity ETF
The new fund is also the fund firm's first subadvised ETF and the subadvisor's first ETF ever...
MutualFundWire.com - Wednesday, November 6, 2024
A Fin Wellness Enterpreneur Explains Her Big Apple Acquisition
Financial Finesse's chief talks about the firm's recent purchase of a familiar shop on the other side of the country...
401kWire.com - Wednesday, November 6, 2024
Mrozek Hires a Southeastern OneAmerica Alum
The new hire joins Lincoln's team of external wholesalers...
401kWire.com - Wednesday, November 6, 2024 - Reader Rating: 5
Three Years Post-Sale, an Acquired RKer's COO Exits
The departing C-suiter is based in the Centennial State...
401kWire.com - Wednesday, November 6, 2024
From NYSE to NYSE? A $68MM-AUM Duo Shifts
A SoCal fund firm switches the listings of its two ETFs...
MutualFundWire.com - Wednesday, November 6, 2024
Why a CT Bank Made Its 1st PEP Partnership
A executive at a a Constitution State-based firm explains the move...
401kWire.com - Wednesday, November 6, 2024
Seven Years In, a $51MM-AUM Fund Transforms
The conversion has officially been in the works since January. ..
MutualFundWire.com - Monday, November 6, 2023 Views
24 Execs From 11 Firms Win Big In Florida
A retirement plan industry trade group honors two dozen rising stars in the business...
401kWire.com - Monday, November 6, 2023 - Reader Rating: 3.67
A Principal MD Will Help Lead This Trade Group In 2024
Another co-prez will stay on, while a third is moving on...
401kWire.com - Monday, November 6, 2023
Indiana Jones and the Quest For the Golden Years
Tim Rouse kicks off the sessions of the 2023 Spark Forum at the Breakers...
401kWire.com - Monday, November 6, 2023
Week In Preview, November 6 - November 12
This week, the teams at Definiti, ERIC, Faegre Drinker, Penelope, Spark, and WIPN will host events...
401kWire.com - Monday, November 6, 2023
Week In Preview, November 6 - November 12
This week, the teams at Informa, MFDF, Nicsa, and WE will host events...
MutualFundWire.com - Monday, November 6, 2023 Views
A 30-Year ICI Vet Retires
The move comes as the trade group's retiring chief is passing the reins...
MutualFundWire.com - Friday, November 6, 2020 Views
Reynolds Ponders MEPs, ESG, Private Equity In 401ks, and More
The Putnam chief speaks on the final morning of a virtual conference...
401kWire.com - Friday, November 6, 2020 - Reader Rating: 1
Voya's 2020 DC Inflows Septuple
The "market-of-markets" recordkeeper's participant count rises 13 percent year-over-year...
401kWire.com - Friday, November 6, 2020 - Reader Rating: 3.5
MassMutual and Trian Deepen Their Ties With a $1.2T-AUM Titan
The moves come amid of rumors of a renewed dealmaking push by backers of the acquisitive, publicly traded, multinational asset manager...
MutualFundWire.com - Friday, November 6, 2020 Views
A $151MM Plan Renews With Nationwide
The plan sponsor has worked with the provider for 34 years...
401kWire.com - Friday, November 6, 2020
Third Gen Strats Are Where This AM's Inflows Are
A Midwestern asset manager's management talks about their Q3 2019 earnings...
MutualFundWire.com - Wednesday, November 6, 2019 Views - Reader Rating: 5
FIS Prepares to Move Down the Street
Construction is expected to begin next year and take two years...
401kWire.com - Wednesday, November 6, 2019
2020 Contribution Limits Rise
Defined contribution, SIMPLE, and catch-up limitations are affected by the IRS' update...
401kWire.com - Wednesday, November 6, 2019
Broadridge Finalizes the Fi360 Deal
The Broadridge has closed on its acquisition of the company, which provides fiduciary training and education...
401kWire.com - Wednesday, November 6, 2019
MassMutual's Carroll Hires In California and Utah
The wholesalers' appointments come after hirings in the Midwest...
401kWire.com - Wednesday, November 6, 2019 - Reader Rating: 5
Aylward Trumpets Virtus' SMA Growth
The Connecticut asset manager's team releases their Q3 2019 earnings results...
MutualFundWire.com - Wednesday, November 6, 2019 Views
Geli Unveils an SS&C Financial Wellness Integration
The retirement solutions chief and his team tie together two offerings in the retirement plan space...
401kWire.com - Wednesday, November 6, 2019
Only 31 Percent Are Confident In Their Retirement Savings
A recent survey reveals generational differences in their confidence for retirement...
401kWire.com - Tuesday, November 6, 2018
Anderson Brings a Standard Vet to Cetera
The new hire leads the strategic partners program and partner relations group for the B-D's retirement plan solutions group...
401kWire.com - Tuesday, November 6, 2018
The Big 401k Four-Oh?
Today is the fortieth anniversary of a certain piece of legislation...
401kWire.com - Tuesday, November 6, 2018 - Reader Rating: 5
SPARK's Rouse Honors Two KPAs
Two recipients take the stage at the third annual SPARK Forum...
401kWire.com - Tuesday, November 6, 2018
Nine Months In, What's Next For a Gotham Startup?
This new ETF shop added a new partner to the team last month after rolling out its first two ETFs earlier this year...
MutualFundWire.com - Tuesday, November 6, 2018 Views
10 Years Post-Financial Crisis, Fidelity DC Balances Reach Record High
A quarterly analysis shows positive savings behavior...
401kWire.com - Tuesday, November 6, 2018
In Six Years, Active Participants' 401ks More Than Doubled
New data indicates significant increases with consistent participation in 401(k) plans as compared to inconsistent participation...
401kWire.com - Tuesday, November 6, 2018
DC I-Os Respond to Aggregator Demands, Creating New Products
A veteran industry researcher finds KPA aggregators leveraging scale, and pushing for custom CITs...
401kWire.com - Tuesday, November 6, 2018
After 18 Years, a Top MF Cop Leaves the SEC
There is no word yet on where the regulatory agency veteran is heading next...
MutualFundWire.com - Tuesday, November 6, 2018 Views
A Second Vantage Alliance Did Not Cross Finish Line
Wilshire is not the only would-be Vantage ally whose team-up did not yet take effect prior to the feds showing up last month...
401kWire.com - Monday, November 6, 2017 - Reader Rating: 4
Casey Consolidates American Century's Marketing Efforts
A top exec departs as the Midwestern mutual fund shop puts its marketing and product teams under a single chief...
MutualFundWire.com - Monday, November 6, 2017 Views
Mackanos Welcomes a 17th ABG Member
An independent recordkeeper based in California joins the national alliance. ..
401kWire.com - Monday, November 6, 2017
SPARK Honors Dobson and Idone
The two KPAs take home Tiffany hardware at the SPARK Forum...
401kWire.com - Monday, November 6, 2017 - Reader Rating: 2.5
Recordkeepers Take Different Paths to Reach Similar Objectives
Cynthia Hayes told SPARK attendees Monday morning that they share a similar vision but are taking different ways to get there. ..
401kWire.com - Monday, November 6, 2017 - Reader Rating: 2.5
Week In Preview, November 6-12
FIS, Pensionmark, RANDUG, and the Spark Institute are all hosting events this week...
401kWire.com - Monday, November 6, 2017
Week In Preview, November 6-12
Baron Funds, DST kasina, the Expect Miracles Foundation, an ETF startup, the ICI, InvestmentNews, the MFEA, and the New York Financial Writers' Association are all hosting events this week...
MutualFundWire.com - Monday, November 6, 2017 Views
An Alts Boutique Returns With Its First Single-Manager Mutual Fund
After launching and then winding down its first mutual fund, a multi-manager one, last year, a Keystone State firm is back...
MutualFundWire.com - Friday, November 6, 2015 Views
Alicia Keys Wows at Baron Conference
Ron Baron holds his annual bash.....
MutualFundWire.com - Friday, November 6, 2015 Views
SPARK Will Kick Off Its Retirement Industry Conference This Sunday
SPARK will kick off its retirement conference on Sunday...
401kWire.com - Friday, November 6, 2015
This Seattle Suburb Is Mulling an RFP
But it's just an RFI for now.....
401kWire.com - Friday, November 6, 2015
In Four Years, LPL's Retirement Plan Biz Has Doubled
Dave Reich updates KPAs and industry insiders on the giant indie B-D...
401kWire.com - Friday, November 6, 2015
Bipartisan Group Lays Groundwork for Fiduciary Fight
Even opponents of the Wager bill are signing on.....
401kWire.com - Friday, November 6, 2015
Empower and Gallagher Welcomes New Retirement Additions
Empower Retirement and Arthur J. Gallagher bring on new members to its retirement division...
401kWire.com - Friday, November 6, 2015 - Reader Rating: 3
Hodge Picks a Successor For Pimco's Retiring Product Chief
Wendy Cupps will depart the fixed-income giant at the end of the year...
MutualFundWire.com - Friday, November 6, 2015 Views
Maggioncalda Passes the Torch
The Financial Engines CEO is stepping down, and a Fidelity veteran will fill his shoes...
401kWire.com - Thursday, November 6, 2014 - Reader Rating: 3
An RIA-Support Giant Recognizes KPAs' IMPACT
An 800-pound gorilla that backs RIAs made a very public move to honor retirement plan-focused advisors today...
401kWire.com - Thursday, November 6, 2014
Institutional Investor Sells Two Fundster Pubs
Another British company buys four newsletters from financial services trade publisher...
MutualFundWire.com - Thursday, November 6, 2014 Views
Participant Reallocation Falls
This was one of the takeaways from a new report released today by the Investment Company Institute, a Washington, D.C-Based mutual fund industry trade group...
401kWire.com - Thursday, November 6, 2014
Nationwide Extends Its Fiduciary Service's Reach
The insurer's bundled retirement plan biz just expanded its 338 investment fiduciary service...
401kWire.com - Thursday, November 6, 2014 - Reader Rating: 5
United Capital Sets the Pace at IMPACT
Schwab execs honor four RIAs at its annual conference, this time in the Mile High City...
MutualFundWire.com - Thursday, November 6, 2014 Views
Schwab Cheers a 401k Shop's IMPACT
Updated | For the first time since launching its RIA awards eight years ago, the discount brokerage and RIA custody giant is recognizing a retirement plan shop, too. A Midwestern shop won the brand new award...
401kWire.com - Thursday, November 6, 2014 - Reader Rating: 3.67
A Church Sides With LPL
A retirement plan advisor (KPA) based in Bakersfield, California, recently sided with one of the largest independent broker-dealers...
401kWire.com - Thursday, November 6, 2014
Samsung Teams Up With U.S. Fundsters
The electronics giant's asset management and wealth management arms sign a memorandum of understanding with an American asset manager...
MutualFundWire.com - Thursday, November 6, 2014 Views
Forbes: Fido's ETF Push Is Just Beginning
There's more to come from the Boston Behemoth...
MutualFundWire.com - Wednesday, November 6, 2013 Views
Before Nomination, Yellen Met with Top Wall Street Honchos
Bernanke's proposed successor had a busy social calendar when her prospects rose, Bloomberg reports...
MutualFundWire.com - Wednesday, November 6, 2013 Views
Does AQR Have a Smarter Smart-Beta?
InvestmentNews takes gander at firm's new factor investing fund...
MutualFundWire.com - Wednesday, November 6, 2013 Views
Fidelity Plays Video Games, and with Legos
The Boston Behemoth has some fun...
MutualFundWire.com - Wednesday, November 6, 2013 Views
Do Bespoke Target Date Mutual Funds Have Legs?
As buzz continues to build around the idea of plan sponsors making target-date investment options available to their participants, let's investigate a unique development involving one jumbo plan sponsor. ..
401kWire.com - Wednesday, November 6, 2013
A 401k First-Timer Chooses AXA Equitable
An association representing yoga business owners and teachers picked AXA Equitable as the plan provider for its 401(k) plan. ..
401kWire.com - Wednesday, November 6, 2013
Bill Thomas FUSES with Bathon
Former CEO of Grail Advisors and Active ETF Partners will help FUSE in consulting related to RIAs and ETFs...
MutualFundWire.com - Wednesday, November 6, 2013 Views
Three Takeaways From FE's Q3
FE topped expectations. Here's what Maggioncalda told analysts about the 401k advice shop's results...
401kWire.com - Wednesday, November 6, 2013
Bob Dorsey Anticipates an Alts Surge
A growing number of hedgers are approaching Ultimus' co-founder and managing director for help immigrating into '40 Act Country...
MutualFundWire.com - Wednesday, November 6, 2013 Views
Anderson Makes Schwab's ETF 401k Case to the WSJ
The head of Charles Schwab's retirement business discusses its long-delayed all-ETF 401(k) product. ..
401kWire.com - Wednesday, November 6, 2013
Highland Seeks to Hire 14 Sales Pros
After hiring 13 sales folk in July and a marketing director in October, Dallas shop continues its hiring blitz...
MutualFundWire.com - Wednesday, November 6, 2013 Views
WSJ Spotlights Cries From Malkiel and Others to Put More Index Funds in 401ks
Burton Malkiel joins the call championed by Bogle...
401kWire.com - Wednesday, November 6, 2013
AB Kicks Off a Digital Blitz for Alts
Education campaign designed to help advisors demystify alts...
MutualFundWire.com - Wednesday, November 6, 2013 Views
Maggioncalda's Team Tops Q3 Estimates
Financial Engines delivered strong third-quarter growth, narrowly beating analysts' expectations. ..
401kWire.com - Wednesday, November 6, 2013
GAO Wonders If Tech Is Causing Participants to Suffer
The U.S Government Accountability Office is intent on finding out. ..
401kWire.com - Wednesday, November 6, 2013
Target Risk Funds Still Have $99B On TDFs
M* details the ups and downs of Q3 2013 for TDFs and Target-Risk Funds..
401kWire.com - Wednesday, November 6, 2013
Smart-Beta Inspires Smart-Alecs
Fundsters critique the concept in two Dow Jones articles...
MutualFundWire.com - Wednesday, November 6, 2013 Views
Seen and Heard at the 2013 Spark Forum
The trade group's fall conference at the Breakers took place earlier this week...
401kWire.com - Wednesday, November 6, 2013 - Reader Rating: 1
Deutsche, KraneShares Break into China
Both ETF sponsors got regulatory approval into an untapped equities market...
MutualFundWire.com - Wednesday, November 6, 2013 Views
Former Hedgers Join the Cult of Indexing
IndexUniverse looks at some former hedge fund managers who now drink the index and ETF KoolAid...
MutualFundWire.com - Wednesday, November 6, 2013 Views
Regulators Turn Microscope on Fido, BlackRock
Fund giants may be placed under scrutiny for risk...
MutualFundWire.com - Wednesday, November 6, 2013 Views
Goldman's Asia Funds Chair Departs
Exec is leaving after 15-years with the company...
MutualFundWire.com - Wednesday, November 6, 2013 Views
Loch Hires as B-Ds Reel From 408b2
The Castle Rock Innovations exec brings on an industry veteran and lays out his vision of the firm's place in a post-fee-disclosure world...
401kWire.com - Tuesday, November 6, 2012
Hoch Jumps from Hancock to Fidelity
Her responsibilities included Hancock’s mutual fund marketing. ..
MutualFundWire.com - Tuesday, November 6, 2012 Views
Chamber of Commerce To Geithner: Back Off Money Funds
An arm of the business federation wants to the SEC, not the FSOC, to take a more in-depth look at money market mutual fund reform...
MutualFundWire.com - Tuesday, November 6, 2012 Views
Delaware Offers DC Clients Lower-Cost Shares
The mutual fund company is offering to exchange B shares for A shares...
401kWire.com - Tuesday, November 6, 2012
There's a New High Yield Fund Shop in Town
An institutional, leveraged finance specialist enters the U.S. mutual fund business...
MutualFundWire.com - Tuesday, November 6, 2012 Views
Guggenheim Wanted a Strategist
UPDATED | The mutual fund shop hunted for an ETF hire...
MutualFundWire.com - Tuesday, November 6, 2012 Views
A Missouri Firm Gets Into The Fund Game
The shop has launched its first open-ended fund...
MutualFundWire.com - Tuesday, November 6, 2012 Views
Cerulli Report Identifies International DC Growth Spots
The report analyzes the big-picture, global DC business. ..
401kWire.com - Tuesday, November 6, 2012
Fink Buys Ad Space to Warn of the Fiscal Cliff
BlackRock has published a letter in several papers asking politicians to address the issue...
MutualFundWire.com - Tuesday, November 6, 2012 Views
Is Fink Winning Back "the Single Most Important Plot of Land in the Industry?"
A trade pub analyzes BlackRock's recent flows success...
MutualFundWire.com - Tuesday, November 6, 2012 Views
Dodge & Cox Tops M* Ranking of Fund Firms
Hartford, Principal and Goldman Sachs are at the bottom. ..
MutualFundWire.com - Tuesday, November 6, 2012 Views - Reader Rating: 3
Fido's Support For Scott Brown Gets More Ink
The Boston firm is the incumbent Republican's top donor...
MutualFundWire.com - Tuesday, November 6, 2012 Views
Gross Beat Gundlach in October
The two-star fixed income PMs attracted billions into their flagship mutual funds last month...
MutualFundWire.com - Tuesday, November 6, 2012 Views - Reader Rating: 5
Majority of Equity Funds Upped their Expense Ratios, Lipper Finds
A new report on fund fees looks at how expense ratios fluctuated as a result of the economic crisis...
MutualFundWire.com - Friday, November 6, 2009 Views
New York Fundsters Turn Out for the Yankees
Some fundsters took a break from work Friday morning to celebrate the Yankees' 27th championship...
MutualFundWire.com - Friday, November 6, 2009 Views
NRP Chiefs Reflect on the Recession and See a 'Bright Future'
Top execs at the SoCal-based network urge advisors to learn from the pain of the past 18 months...
401kWire.com - Friday, November 6, 2009 - Reader Rating: 5
BofA-Merrill Sees a Jump in Advice Usage
Updated | Bank of America Merrill Lynch saw participant use of its Advice Access feature increase by 74 percent year-over-year...
401kWire.com - Friday, November 6, 2009 - Reader Rating: 1
Turner is On the Prowl for More Wholesalers
The Berwyn, Pennsylvania-based firm aims to expand private client group by almost 50 percent over the next year...
MutualFundWire.com - Friday, November 6, 2009 Views - Reader Rating: 5
A Large Plan Sponsor Reaches a $16.5 Million Tentative Settlement in Excessive Fee Case
The settlement, which must be approved by an independent fiduciary and a U.S. district court judge, will bring to a close a suit lodged by Schlichter, Bogard & Denton in September 2006...
401kWire.com - Friday, November 6, 2009
Citi Puts Primerica on the IPO Path
Primerica, which has more than 24,000 licensed mutual fund representatives, is headed for an IPO...
MutualFundWire.com - Friday, November 6, 2009 Views
State Street Pads its Legal Reserve
The firm revises its third quarter earnings downward as a result...
MutualFundWire.com - Friday, November 6, 2009 Views - Reader Rating: 3
Fuse Gains Momentum
Fuse Research has linked up with a consulting firm...
MutualFundWire.com - Friday, November 6, 2009 Views - Reader Rating: 5
A Makeover is Underway at OOK
OOK Advisors has been redressed as Geary Advisors, with plans to relocate headquarters to Austin, TX and launch a family of state-based ETFs...
MutualFundWire.com - Friday, November 6, 2009 Views - Reader Rating: 4
Legg Mason Nabs a Marketing Pro
The Baltimore fund firm appointed a former Lincoln exec to head up product and marketing efforts...
MutualFundWire.com - Thursday, November 6, 2008 Views
Hartford Names Davey's Successor
UPDATED| The path of the just-promoted exec took her through Hewitt and VALIC before landing her in the top spot at Hartford Retirement...
401kWire.com - Thursday, November 6, 2008 - Reader Rating: 5
Fido Disconnects Two 403b Phone Centers
The Boston Behemoth adjusts a specific segment of its call center teams...
401kWire.com - Thursday, November 6, 2008 - Reader Rating: 5
Hancock's 401k Unit Flourishes Amid the Rocky Market
Despite the declining stock market, the provider saw a double-digit jump in sales during the third quarter...
401kWire.com - Thursday, November 6, 2008
Who Might Gravitate Toward Retirement Income Products First?
At an event in downtown Manhattan, industry insiders contemplate what the ideal plan sponsor client might look like for the new guaranteed income products...
401kWire.com - Thursday, November 6, 2008 - Reader Rating: 5
Fidelity Plans More Cuts in Early 2009
The Boston Behemoth is not finished with its cost cutting moves as it pivots to what some a calling a more "public company" business model...
MutualFundWire.com - Thursday, November 6, 2008 Views
Fidelity Reveals its Layoff Plan
The Boston Behemoth will carry out a two-part headcount reduction, the first of which will take place this month, in response to the extraordinary times...
401kWire.com - Thursday, November 6, 2008 - Reader Rating: 3
FundQuest Taps Pyramis Analyst to Examine Funds
Fund executives seeking TAMP distribution will see a change in gatekeepers at FundQuest...
MutualFundWire.com - Thursday, November 6, 2008 Views
A Neuberger Portfolio Manager Finds Greener Real Estate at Kansas City
American Century wins over a senior portfolio manager from Neuberger Berman. More could follow if the money manager fails to find a winning deal...
MutualFundWire.com - Thursday, November 6, 2008 Views
Ascensus Lands a Big Endorsement
The outsourced recordkeeper gains a distribution partner...
401kWire.com - Thursday, November 6, 2008
Nationwide Records a Seven-Percent Drop in Earnings
Total sales during the quarter fell two percent from a year ago...
401kWire.com - Thursday, November 6, 2008
WSJ: Watch Out For DC Discrimination Testing
The Journal takes a look at yet another piece of the economic fallout hitting retirement plans...
401kWire.com - Thursday, November 6, 2008
Will Obama Make a Hobson Choice?
A Chicago-based mutual fund exec is one of the names mentioned as possible successors to Chris Cox...
MutualFundWire.com - Thursday, November 6, 2008 Views
Will Money Funds Love Commercial Paper Again?
Reuters sees managers tilting back towards an old favorite asset...
MutualFundWire.com - Thursday, November 6, 2008 Views
Reynolds Talks Public Policy, Backs Dimon
The Putnam chief reveals shares some political thoughts in the wake of the election...
MutualFundWire.com - Thursday, November 6, 2008 Views
Did Prince Get a Severance Package Fit for a Pauper?
Just how much money is Charles Prince getting from Citi following his abrupt departure?..
MutualFundWire.com - Tuesday, November 6, 2007 - Reader Rating: 3
The Rising Stars
Cindy Dash, Lorin Liesy, Brigette Madrian, Cathy Peterson and Heidi Walsh...
401kWire.com - Tuesday, November 6, 2007 - Reader Rating: 3.33
Senior Leaders
Ann Combs, Cynthia Egan, Cynthia Hayes, Katherine MacMillan, Sandy McCarthy...
401kWire.com - Tuesday, November 6, 2007 - Reader Rating: 3
T.Rowe Tops New Target-Date Fund Ranking System
Lipper has come up with a answer for the question of how to rank target-date funds...
MutualFundWire.com - Tuesday, November 6, 2007 Views - Reader Rating: 2.25
Sunflower State TPA Adds Minnesota Fund Family
A recordkeeping and administration firm brings its fund firm partnership count to 53. ..
401kWire.com - Tuesday, November 6, 2007 - Reader Rating: 1
Morgan Stanley Climbs onto the Mortgage Hotseat
Morgan Stanley may be the next big Wall Street brokerage to write down losses on mortgage backed securities...
MutualFundWire.com - Tuesday, November 6, 2007 - Reader Rating: 3
Kaufman Brothers to Use Telanetix Products
Kaufman Bros. has inked a deal with Telanetix to leverage its Digital Presence products in three U.S.-based offices...
MutualFundWire.com - Tuesday, November 6, 2007 - Reader Rating: 3
Tell the DC Market What You've Got!
A Sunshine State firm unveils a new site designed entirely for advertising. ..
401kWire.com - Tuesday, November 6, 2007
When Targeting Mother Merrill's 401k, is the Third Time the Charm?
Another Seattle-based law firm is investigated the wirehouse's use of company stock in its DC plan. ..
401kWire.com - Tuesday, November 6, 2007
Avisen and FundQuest Partner to Launch Advisor Program
Avisen Securities and FundQuest have partnered to launch the Avisen Advisory Solutions Program...
MutualFundWire.com - Tuesday, November 6, 2007 - Reader Rating: 2.67
ING Looks to Expand U.S. Reach with Online Brokerage Purchase
ING Direct has agreed to purchase U.S. online brokerage, ShareBuilder Corporation...
MutualFundWire.com - Tuesday, November 6, 2007 Views
Foamex Freezes For Cash
The Keystone State sponsor will beef up its DC match and aims to realize millions in savings. ..
401kWire.com - Tuesday, November 6, 2007
Managed Account Provider Passes $15 Billion
The firm anticipates even faster growth over the horizon thanks to the finalization of the QDIA rules. ..
401kWire.com - Tuesday, November 6, 2007 - Reader Rating: 5
New York Broker's 15 Year Getaway Comes to an End
A broker who spent 15 years on the lam, was back in a New York courtroom yesterday to plead guilty to securities fraud charges...
MutualFundWire.com - Tuesday, November 6, 2007 - Reader Rating: 3
Tamarack Finds More Retirement Plan Distribution.
Tamarack has successfully added its mutual funds to CPI Qualified Plan Consultants (CPI)'s retirement plan platform...
MutualFundWire.com - Tuesday, November 6, 2007 Views - Reader Rating: 3
Another Jumbo Recordkeeper Doubles Down With WMSI
The Garden State rollover providers gain another mega market distribution partner. ..
401kWire.com - Tuesday, November 6, 2007 - Reader Rating: 5
Security Benefit Added to Defendant Roster In Fragasso Case
The Fragasso v. Rydex case is heating up again...
MutualFundWire.com - Tuesday, November 6, 2007 Views - Reader Rating: 4.5
Beleaguered TPA Will Get His Day in Court ... After Valentines
The federal trial in Tennessee should begin on February 26, 2008. ..
401kWire.com - Tuesday, November 6, 2007 - Reader Rating: 2
SSgA Promotes from Within for Strategy and Research Group Head Position
SSgA has tapped Thomas Anderson as head of the Strategy and Research Group at its Intermediary Business Group...
MutualFundWire.com - Tuesday, November 6, 2007 Views - Reader Rating: 3
ADVISORport Signs Up SunTrust for UMA Program
SunTrust Investment Services has chosen ADVISORport's Unified Managed Account (UMA) investment advisory program...
MutualFundWire.com - Tuesday, November 6, 2007 - Reader Rating: 3
Citi 401k Suit Take Two: Company Stock
The largest bank in the country gets hit by a second, more conventional suit regarding its DC plan. ..
401kWire.com - Tuesday, November 6, 2007
Second Merrill Company Stock Suit Outruns First Investigation
A Manhattan law firm may be the first to file against the wirehouse. ..
401kWire.com - Tuesday, November 6, 2007
State Muni-Bond Taxation Practices Look to be Upheld by the Supremes
The supreme court yesterday seemed set to uphold states' rights to tax the muni-bonds of other states while exempting their own bonds from taxation...
MutualFundWire.com - Tuesday, November 6, 2007 Views
Bill Miller Sounds Off About Future Investment Choices
In a letter, Miller says he is sure that brokerage, housing and consumer stocks will be future winners...
MutualFundWire.com - Tuesday, November 6, 2007 Views - Reader Rating: 3
PowerShares Crosses the Atlantic
Invesco's ETF specialists are preparing to launch 14 funds in London, Milan, and eventually across Western Europe...
MutualFundWire.com - Tuesday, November 6, 2007 Views - Reader Rating: 3
Bisys Names FRC President, Adds Retirement Experts
The captive research consulting arm of Bisys has named a replacement for Mark Phillips and added to its bench...
401kWire.com - Monday, November 6, 2006 - Reader Rating: 2
Is This Plan One to Put a 401k in Every Pot?
Robert Pozen made his name at Fidelity and MFS by pondering the issues facing the retirement system and Social Security. Now he has an idea expanding coverage among small employers...
401kWire.com - Monday, November 6, 2006 - Reader Rating: 3
Stable Value Market Value Mark Downs Make Advisors See Red
The costly provisions that hit plans terminating their stable value funds are an idea whose time should be passed, say most advisors. The biggest issue for many is the mystery of how insurers calculate the adjustments...
401kWire.com - Monday, November 6, 2006 - Reader Rating: 3
Wholesaler Jumps From MFS
The wholesaler decamps from the fund firm to a wirehouse provider...
401kWire.com - Monday, November 6, 2006 - Reader Rating: 2
Will Lasser Be Able to Open His Golden Parachute?
His chances are pretty good, but Marsh and McLennan Co. will probably try to duke it out...
MutualFundWire.com - Thursday, November 6, 2003 Views - Reader Rating: 4
Alliance Confirms Receipt of Wells Notice
The money manager says it is hopeful it will be able to reach a settlement with the SEC and NYAG...
MutualFundWire.com - Thursday, November 6, 2003 - Reader Rating: 4
Richardson Joins Legg Mason Board
The former IRS commissioner takes a seat on the Legg Mason board of directors...
MutualFundWire.com - Thursday, November 6, 2003 Views
PFPC Expands Distribution Services Group
The fund support firm puts Storz-Salino in charge of the group and taps a number of new faces...
MutualFundWire.com - Thursday, November 6, 2003 Views - Reader Rating: 5
CPA Names Officer Heading 401k Audits
Aronson and Company promotes the head of its Employee Benefit Plan Group...
401kWire.com - Thursday, November 6, 2003 - Reader Rating: 2
NASD Probes 12 Brokerages
Schapiro expects a case to be filed shortly in the directed brokerage for shelf space scandal...
MutualFundWire.com - Thursday, November 6, 2003 Views
Fund Directors Delay Adoption by Strong
A shareholder vote is being pushed back to at least November 13 as the directors adopt a more cautious stance...
MutualFundWire.com - Thursday, November 6, 2003 Views
Spitzer Aiming At Settlement
The NYAG is in private talks to reach settlements with the four initial targets...
MutualFundWire.com - Thursday, November 6, 2003 Views - Reader Rating: 5
Are All Funds Un-Indicted Co-Conspirators?
That is what the regulators are making them into if they do not act quickly to separate the bad actors from the good guys...
MutualFundWire.com - Thursday, November 6, 2003 - Reader Rating: 5
Decimal Beefs Up Sales Team
The e401k expands...
401kWire.com - Thursday, November 6, 2003 - Reader Rating: 1
Fund Firm Gives Security Trust Co. Bad News
The embattled custodian has been shut out of clearing trades with a fund firm...
401kWire.com - Thursday, November 6, 2003 - Reader Rating: 4.5
ADP Taps Industry Vet To Head TPA Program
The new executive is also the president-elect of NIPA...
401kWire.com - Thursday, November 6, 2003 - Reader Rating: 4.4
Fund Startup Celebrates Birthday
Not every quirky fund startup melted down with the Nasdaq...
MutualFundWire.com - Wednesday, November 6, 2002 Views
UAL ESOP Asked to Stop Selling
Pilots at the embattled airline ask State Street to halt sales of the company stock...
401kWire.com - Wednesday, November 6, 2002
Managed Account Assets Slip
While managed accounts remain a focus of many fund industry executives seeking growth, assets in these products have now slipped below where they started the year...
MutualFundWire.com - Wednesday, November 6, 2002 Views
Putnam Faces A Fifth Suit
Rules outlawing the selective disclosure of material information may have left fund firms especially vulnerable, as Putnam Investments is learning...
MutualFundWire.com - Wednesday, November 6, 2002 Views - Reader Rating: 4
PR Firm Adds Two Clients
Two fund firms have recently tapped a new public relations firm...
MutualFundWire.com - Wednesday, November 6, 2002 Views
GOP Trifecta Opens Door on Pension Reform
The last time the Republicans controlled Congress they brought the pension community Egtrra. Will something similar happen this time...
401kWire.com - Wednesday, November 6, 2002 - Reader Rating: 5
Parkdale Mills Winds Down 401k RFP
The N.C.-based manufacturer cites technology, service, communications and range of investment options for its choice...
401kWire.com - Wednesday, November 6, 2002 - Reader Rating: 4.5
Key Stone State Shop Taps ePlatform
The alliance puts another 50,000 participants on the platform. It marks the first co-branding deal for the benefit consulting firm and investment advisor...
401kWire.com - Wednesday, November 6, 2002
New President for The Hartford
There is a new skipper on board at the Connecticut firm...
MutualFundWire.com - Tuesday, November 6, 2001 Views - Reader Rating: 3
Transfer of Plans from Merrill to Bisys Complete
A process which began last year has now come to an end...
401kWire.com - Tuesday, November 6, 2001 - Reader Rating: 3
SunGard Makes Inroads into Canada
TD Bank Financial has tapped SunGard for one of its investment accounting platforms...
MutualFundWire.com - Tuesday, November 6, 2001 - Reader Rating: 3
Guardian Expands Sales Force
The firm has filled 17 out of 18 new wholesaler positions...
401kWire.com - Tuesday, November 6, 2001 - Reader Rating: 3
Collins On Top
American Skandia has named one of its vice presidents as coo...
MutualFundWire.com - Tuesday, November 6, 2001 Views - Reader Rating: 3
Tremont Dances with RiskMetrics
Hedge Fund Relationship ... Sponsors and Hidden Fees ... Charity Pays...
MutualFundWire.com - Tuesday, November 6, 2001 - Reader Rating: 3
Tremont Dances with RiskMetrics
Hedge Fund Relationship ... Sponsors and Hidden Fees ... Charity Pays...
401kWire.com - Tuesday, November 6, 2001 - Reader Rating: 3
SPARK is On
Despite bursting stock bubbles, recession, anthrax and war, diehard attendees still made it to West Palm Beach this week for SPARK. ..
401kWire.com - Tuesday, November 6, 2001 - Reader Rating: 3
Those Missing Sales May Return
Sales are off but that does not mean that they are lost is the news from the latest SPARK marketplace update...
401kWire.com - Tuesday, November 6, 2001 - Reader Rating: 3
Columbia Taps New Institutional Head
The Portland-based firm has a new exec to oversee its institutional marketing. Noack remains in charge of 401ks...
401kWire.com - Monday, November 6, 2000 - Reader Rating: 3
Online Advice Comes Live
TeamVest/Intuit rolls out a live connection with flesh-and-blood advisors and Financial Engines drops Java...
401kWire.com - Monday, November 6, 2000 - Reader Rating: 3
High Profile Planner Jumps To Fido From Schwab
Harold Evensky is moving from Schwab to Fidelity for his custodial business as he moves to build a national firm...
MutualFundWire.com - Monday, November 6, 2000 Views - Reader Rating: 3
MassMutual Wins Two
Two mid-sized plans have made the move to MassMutual. ..
401kWire.com - Monday, November 6, 2000 - Reader Rating: 3
Allstate Pushes Funds Through Reps
The insurance company is pushing its agents to sell annuities and funds as it stresses financial planning...
MutualFundWire.com - Monday, November 6, 2000 Views - Reader Rating: 3
PFPC Wins NFDS Account
Longleaf Partners is adding e-commerce to its Web site after making the move to PFPC...
MutualFundWire.com - Monday, November 6, 2000 Views - Reader Rating: 3
Confluence Offers Net Service
The maker of software tools for fund firms is targeting small fund complexes with its new Net-based service...
MutualFundWire.com - Monday, November 6, 2000 - Reader Rating: 3
CPAs Are Distribution Target
NY Life is expanding its sales channels to include the green eye-shade set...
MutualFundWire.com - Monday, November 6, 2000 - Reader Rating: 3
Insurer Taps Banks for Distribution
John Hancock names three banks which will distribute its products. It eyes the largest 150 banks for the program...
MutualFundWire.com - Monday, November 6, 2000 Views - Reader Rating: 3
SIG Enters the Fund Biz
Latin American specialist Swiss Investment Group is opening the doors on five funds targeting high-net worth investors...
MutualFundWire.com - Monday, November 6, 2000 - Reader Rating: 3
November 6, 2000
Invesco Load Funds Ready For Next Month ... Bent Frets Over Money Fund Quality ... Net Fund's Woes ... One Banks Success ... Still More on ETFs...
MutualFundWire.com - Monday, November 6, 2000 - Reader Rating: 3
November 6, 2000
Invesco Load Funds Ready For Next Month ... Bent Frets Over Money Fund Quality ... Net Fund's Woes ... One Banks Success ... Still More on ETFs...
401kWire.com - Monday, November 6, 2000 - Reader Rating: 3
Week of November 2, 1998
The Week in Searches

The Weekly Roundup is a regular Friday afternoon column examining the RFPs, that appeared on our pages and the pages of other publications this week. ..
401kWire.com - Friday, November 6, 1998 - Reader Rating: 3
Targeting Growth: MetLife Opens New Offices in Tennessee
MetLife has ambitious growth plans for its defined contribution business. This week, it took one of the first steps on making good on these ambitions by opening a new DC administrative office for 400 employees in Franklin, Tennessee. ..
401kWire.com - Friday, November 6, 1998 - Reader Rating: 3
Stable Value Alert: Yes! You Can Get Valuable Data on the Internet
You'd be surprised at what you can find on value on the Internet. Yesterday, Stone & McCarthy -- a Princeton-based research firm -- stumbled across some information that literally moved the markets...
401kWire.com - Friday, November 6, 1998 - Reader Rating: 3
Boeing Adds Options
Seattle, WA-based Boeing Co. will add six investment options to its $10 billion 401(k) plan, according to P&I Daily. With the new investment options the plan will offer participants 11 funds in total. ..
401kWire.com - Thursday, November 6, 1997 - Reader Rating: 3
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