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Fund Profiles
News Stories Archives - Since 1998
LPL Financial Makes a $325M Purchase
LPL acquired another independent broker-dealer firm. ..
401kWire.com - Wednesday, August 16, 2017
An $82B AUM Shop Enters The ETF Biz
A Chitown subadvisor powers the new ETF suite.....
MutualFundWire.com - Wednesday, August 16, 2017
ABG Illinois Acquires a Wisconsin RIA
John Blossom expects to increase revenue for ABG by $80,000 .....
401kWire.com - Wednesday, August 16, 2017
Dash Presents Matrix 3.0
The Broadridge subsidiary's chief sat down with 401kWire on the sidelines of their big annual conference in the Rockies. She aims to get Matrix out of the custodial box...
401kWire.com - Wednesday, August 16, 2017
DiMeo Wins a $74M DC Plan
The Chicago, Illinois-based consulting firm won an RFP. ..
401kWire.com - Wednesday, August 16, 2017
Filings for Fundsters - August 16, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Wednesday, August 16, 2017
Booth and Butler Find Their Next DFA Co-Pilot
For the second time in six months, a new co-CEO is rising from within the Texas-based fund firm...
MutualFundWire.com - Wednesday, August 16, 2017 - Reader Rating: 5
Filings For Fundsters - August 16, 2016
The latest SEC filings in the industry!..
MutualFundWire.com - Tuesday, August 16, 2016 Views
A Calvert Investments Marketing Alum Moves Along
Calvert Investment's senior marketing manager is no longer at her post...
401kWire.com - Tuesday, August 16, 2016
T. Rowe's DeCamillo Reflects on DC Auto Features and PPA
Employers are setting default contribution rates at six percent. ..
401kWire.com - Tuesday, August 16, 2016 - Reader Rating: 5
Sheridan Road Expands SW of Chitown
A wealth manager with an eye on the 401k biz teams up with the LPL- and IFP-affiliated KPA shop...
401kWire.com - Tuesday, August 16, 2016
Is CapitalOne's Small Business 401k Option in Your Wallet?
CapitalOne assists small business owners in helping their employees save for retirement...
401kWire.com - Tuesday, August 16, 2016
Principal Wins Insurer's $90MM 401k
Investment fund options will remain intact for now...
401kWire.com - Tuesday, August 16, 2016
Who Will Abby Johnson and Bob Reynolds Vote For?
The Boston Globe wonders where Boston's business elite will throw their support now that Republicans and Democrats have each officially nominated candidates...
MutualFundWire.com - Tuesday, August 16, 2016 Views
Kane Adds an Advisor in Alabama
A former RKer CFO joins a top retirement plan advisory shop...
401kWire.com - Friday, August 16, 2013
Raymond James Gives RIAs Alt Access
Raymond James is giving RIAs access to its alternative investment platform in the fall...
MutualFundWire.com - Friday, August 16, 2013 Views
HSBC Funds Amends Four Fund Prospectuses
HSBC Funds [profile] has revised it the prospectuses of its HSBC Prime Money Market Fund, HSBC U.S. Government Money Market Fund, HSBC U.S. Treasury Money Market Fund, and HSBC U.S. Treasury Obligations Money Market Fund. Accordingly, effective August 22, 2013, the section of the statement of additional information entitled the “Disclosure of Portfolio Holdings” will be replaced. [SEC Filing]...
MutualFundWire.com - Friday, August 16, 2013
T. Rowe Price Edits Fund Objectives
On April 24, 2013, T. Rowe Price [profile] has approved of a change to the investment objective of many of its funds: The T. Rowe Price Dividend Growth Fund, T. Rowe Price Extended Equity Market Index Fund, T. Rowe Price Growth Stock Fund, T. Rowe Price Equity Income Portfolio, T. Rowe Price Equity Index 500 Fund, and the T. Rowe Price International Growth & Income Fund, . The change is expected to become effective on November 1, 2013 if the proposal is approved by shareholders. [SEC Filing I]. [SEC Filing II]. [SEC Filing III]. [SEC Filing IV]. [SEC Filing V]. ..
MutualFundWire.com - Friday, August 16, 2013
A PM Leaves a Penn Series Fund
Penn Series Funds has filed a notice with its Large Cap Value Fund. Effective September 30, 2013, James L. Carroll will no longer serve as PM to the fund. [SEC Filing]...
MutualFundWire.com - Friday, August 16, 2013
Wells Fargo Reorganizes a Fund's PM Team
Wells Fargo Funds [profile] has reorganized the PM team for its Wells Fargo Advantage Growth Balanced Fund , Wells Fargo Advantage Moderate Balanced Fund, Wells Fargo Advantage VT Index Asset Allocation Fund, WealthBuilder Conservative Allocation Portfolio, WealthBuilder Equity Portfolio, and WealthBuilder Growth Allocation Portfolio, WealthBuilder Tactical Equity Portfolio Christian Chan and Kandarp Acharya replace the PMs listed for each fund. [SEC Filing I]. [SEC Filing II]. [SEC Filing III]. [SEC Filing IV]. [SEC Filing V]...
MutualFundWire.com - Friday, August 16, 2013
AQR Closes a Fund to New Investors
AQR Funds [profile] has decided to close its AQR Multi-Strategy Alternative Fund to new investors. The close will be effective at the close of business September 30, 2013. [SEC Filing]...
MutualFundWire.com - Friday, August 16, 2013 Views
A Fairholme Fund will Reopen
Fairholme Capital Management [profile] will reopen The Fairholme Fund to new investors. the reopening is effective August 19. [SEC Filing]...
MutualFundWire.com - Friday, August 16, 2013
A Hillman Fund Revises its Expenses
Hillman Capital Management has filed a revision of its Hillman Focused Advantage Fund. The section titled “Summary – Fees and Expenses of the Fund” has been changed to reflect revisions in the fund’s operating expenses. [SEC Filing]...
MutualFundWire.com - Friday, August 16, 2013
ClearBridge Investments Amends a Fund Prospectus
Legg Mason [profile]'s ClearBridge Investments has revised the “Purchase and sale of fund shares” and “Choosing a class of shares to buy” sections of the Clearbridge Large Cap Value Fund. [SEC Filing]...
MutualFundWire.com - Friday, August 16, 2013
A Mercer Investments Fund Loses a Subadvisor
Mercer Investment Management [profile] has decided to terminate MacKay Shields LLC as subadviser to the Mercer Core Fixed Income Fund. The termination will be effective August 21, 2013. [SEC Filing]...
MutualFundWire.com - Friday, August 16, 2013
New Calendar Portfolio Fund Makes A Timely Debut
Portfolio Strategies Investment has launched a new fund that will follow calendar theory with the same name of a fund that was previously liquidated. ..
MutualFundWire.com - Friday, August 16, 2013
Wells Fargo Funds Receive Revisions
Wells Fargo Funds [profile] has amended the prospectuses of ten of their funds. Effective immediately, the Wells Fargo Advantage Allocation Funds, Wells Fargo Advantage Dow Jones Target Date Funds, Wells Fargo Advantage Gateway Funds, Wells Fargo Advantage Income Funds, Wells Fargo Advantage International Equity Funds, Wells Fargo Advantage Large Cap Stock Funds, Wells Fargo Advantage Municipal Income Funds, Wells Fargo Advantage Small to Mid Cap Stock Funds, Wells Fargo Advantage Specialty Funds, and Wells Fargo Advantage VT Funds will have the section “Non-Fundamental Investment Policies”replaced. In addition to these changes, the Wells Fargo Advantage Absolute Return Fund will have added onto the section titled "Further Explanation of Investment Policies" and the Wells Fargo Advantage WealthBuilder Portfolios will have added onto the section titled "General." [SEC Filing I]. [SEC Filing II]. [SEC Filing]...
MutualFundWire.com - Friday, August 16, 2013
Three Things to Know About Federated Investors
Federated Investors recently posted second quarter earnings. MFWire noticed three things of note from Seeking Alpha's earnings call. ..
MutualFundWire.com - Friday, August 16, 2013 Views
Calamos Bolsters Its Fixed-Income Team
The two new PMs will handle high-yield strategies...
MutualFundWire.com - Friday, August 16, 2013 Views
A TAMP Unveils 40 Portfolios
The platform is offering strategic and tactical allocation ETF portfolios featuring seven managers...
MutualFundWire.com - Friday, August 16, 2013 Views
Private Equity Buys Up a 401k Tech Startup
The buyer already backs a marketing and lead generation shop that supports retirement plan advisors...
401kWire.com - Friday, August 16, 2013
Hewitt: Women Save less for Retirement
This tendency, among other factors, make it harder for women to meet their financial needs in retirement...
401kWire.com - Friday, August 16, 2013
DoubleLine Does it with Derivatives
DoubleLine is offering a less traditional bond fund. The Wall Street Journal ponders whether or not it is the result of rising interest rates...
MutualFundWire.com - Friday, August 16, 2013 Views
Hedge Fund Clone ETFs Are Killing It
Barrons' Brendan Conway reports on hedge fund clone ETFs and their ..
MutualFundWire.com - Friday, August 16, 2013 Views - Reader Rating: 5
Regulators Knuckle Down on Alts
Regulators are looking more closely at alternative mutual funds which are increasingly used by less wealthy investors looking for diversification and defensive strategies. ..
MutualFundWire.com - Friday, August 16, 2013 Views
SeekingAlpha: Janus Exposure Not a Bad Thing
Janus' exposure to equities has been considered a liability but Seeking Alpha argues it is a benefit in a rising rate environment. ..
MutualFundWire.com - Friday, August 16, 2013 Views
BlackRock Goes Italian
BlackRock bought italian bonds, Reuters reports, but the firm is excessing some caution by keeping tabs on the political turmoil. ..
MutualFundWire.com - Friday, August 16, 2013 Views
Have You Gotten Over Correlation?
Bloomberg reports that fundsters have moved beyond this particular neurosis, cites Greenwich Associates survey which shows, among other things, the firms that are embracing life after correlation...
MutualFundWire.com - Friday, August 16, 2013 Views
Cook & Bynum Celebrates a Five-Star Rating
The rating is the Cook & Bynum Fund's first rating. ..
MutualFundWire.com - Thursday, August 16, 2012 Views
Rezabek Brings a JPM Alum Back to Huntington
The new Huntington Asset Services chief expands his relationship management team...
MutualFundWire.com - Thursday, August 16, 2012 Views
Natixis Finds New Media Representation
David Snowden has left The Hartford to join hands with Natixis...
MutualFundWire.com - Thursday, August 16, 2012 Views
Stork and Reaper for August 16, 2012
The MFWire's daily report on mutual fund births, deaths, and changes...
MutualFundWire.com - Thursday, August 16, 2012 Views
MassMutual Adds a Sales Director
The Rker has added a Guardian alum...
401kWire.com - Thursday, August 16, 2012 - Reader Rating: 2
Lockton Wins a DC Vet From Mercer
An East Coast consultant joins the Midwest-based insurance brokerage's retirement practice...
401kWire.com - Thursday, August 16, 2012
Securian Retirement Distributes QR Codes
The financial services firm will rely on QR codes to direct traffic to its mobile website...
401kWire.com - Thursday, August 16, 2012
This ETF Message Is Brought to You by the SEC
ETFs are not mutual funds, stresses a recently published SEC bulletin. ..
MutualFundWire.com - Thursday, August 16, 2012 Views
Direxion Is Stepping on ProShares' Turf
Benzinga says that the six new funds Direxion launched are an attempt to compete with ProShares...
MutualFundWire.com - Thursday, August 16, 2012 Views
BlackRock Has Sold the Second-Most Shares YTD
Financial firms, led by BlackRock and AIG, have been outselling all other sectors so far this year, according to the Wall Street Journal...
MutualFundWire.com - Thursday, August 16, 2012 Views
Janus Will Be Saved by Fixed-Income Funds
Also note that news of Dai-ichi coming to Janus has made Janus stock soar...
MutualFundWire.com - Thursday, August 16, 2012 Views
A Brazil ETF Has Backers
Brazil may have lost the Olympic soccer final, but an ETF devoted to the South American country has backers...
MutualFundWire.com - Thursday, August 16, 2012 Views
Two New ETFs From EGA
Index Universe reports on new ETFs...
MutualFundWire.com - Thursday, August 16, 2012 Views
Investors Find T. Rowe's Call Center the Most Satisfying
A Colorado firm unveils a new survey on investor satisfaction with call centers...
MutualFundWire.com - Tuesday, August 16, 2011 Views - Reader Rating: 4
Two Top Execs Leave a DC I-O Firm
The company's president and chief marketing officer have moved on...
401kWire.com - Tuesday, August 16, 2011 - Reader Rating: 2
A California Plan Sponsor Renews its Contract with its Long-Time Vendor
It's 27 years and counting...
401kWire.com - Tuesday, August 16, 2011 - Reader Rating: 2
Van Eck Preps to Launch its 36th ETF
The Big Apple exchange-traded fund and mutual fund firm has prepared an offering tied to the mortgage REIT marketplace...
MutualFundWire.com - Tuesday, August 16, 2011 Views
AUL Hires in Los Angeles
The plan provider taps a Diversified alum as director of national retirement education...
401kWire.com - Tuesday, August 16, 2011 - Reader Rating: 3
A Fidelity Plan Adds a Self Brokerage Option
The plan sponsor is also reinstating its match...
401kWire.com - Tuesday, August 16, 2011
Sold: Neuberger Berman Co-Founder's NYC Apartment Goes for $10.4 Million
The apartment near Central Park changed hands yesterday to the tune of $10.4 million...
MutualFundWire.com - Tuesday, August 16, 2011 Views
Gundlach Says Wamco Called Him
The chief of DoubleLine takes the witness stand for a second day in his courtroom fight with TCW...
MutualFundWire.com - Tuesday, August 16, 2011 Views - Reader Rating: 4
Putnam Scores a Hole in One
The Boston fund shop looks like a genius after sponsoring a rookie golfer...
MutualFundWire.com - Tuesday, August 16, 2011 Views
Waddell & Reed Has a New Investment Chief
The Kansas City-based firm taps a new CIO in the wake of Michael Avery's appointment as president...
MutualFundWire.com - Monday, August 16, 2010 Views
RPAG Processes a New Partnership
Vince Giovinazzo and Nick Della Vedova integrate more technology into one of their tools for retirement plan advisors...
401kWire.com - Monday, August 16, 2010
BlackRock and Goldman Swipe Mandates from Credit Suisse
The two New York investment management giants have taken nearly a billion dollars of mandates from the Swiss bank...
MutualFundWire.com - Monday, August 16, 2010 Views - Reader Rating: 1
Advisor Pulls the Plug on Electric City Funds
The Upstate New York-headquartered fund firm throws in the towel after 11 years...
MutualFundWire.com - Monday, August 16, 2010 Views
Natixis Chief Hops onto the Hot Seat
John Hailer answers questions from The Boston Globe...
MutualFundWire.com - Monday, August 16, 2010 Views
Tuition Plan Consortium Switches 529 Managers
The Tuition Plan Consortium picks a replacement for TIAA-CREF...
MutualFundWire.com - Monday, August 16, 2010 Views
McCarthy Shuffles MSSB's Retirement Chiefs
Updated | One top retirement exec departs the wirehouse while another joins...
401kWire.com - Monday, August 16, 2010 - Reader Rating: 2
Another Provider Offers an FDIC-Insured 401k Product
A provider down south is giving participants an alternative to money market funds. ..
401kWire.com - Monday, August 16, 2010
'Income Replacement' is a Key Metric for Plan Sponsors
A provider argues that income replacement is a key metric of success plan sponsors should be using when it comes it evaluating total retirement service. ..
401kWire.com - Monday, August 16, 2010
OppFunds Hires a PR Firm
For the first time, the New York City-based firm hires a PR firm as its agency of record...
MutualFundWire.com - Monday, August 16, 2010 Views
A New York RIA Dives into 401k
The defined contribution business attracts a new player outside the Big Apple...
401kWire.com - Monday, August 16, 2010
Forbes Warns of Stock Drop Suits
The magazine highlights the problems with including company stock inside of defined contribution plans...
401kWire.com - Monday, August 16, 2010
Will BofA Part with BlackRock?
The bank is reportedly mulling over what to do with its 34 percent stake in BlackRock...
MutualFundWire.com - Monday, August 16, 2010 Views
Larry Fink Does a Deal in Asia
BlackRock is buying a fund management firm in Taiwan...
MutualFundWire.com - Monday, August 16, 2010 Views
Jaffe Likens Fund Fees to Zombies
The MarketWatch columnist weighs in on the SEC proposal...
MutualFundWire.com - Monday, August 16, 2010 Views
Ariel CEO Tries to Woo Back the Skeptics
John Rogers is taking steps to win back investors...
MutualFundWire.com - Monday, August 16, 2010 Views - Reader Rating: 1
Do Special ETF Tickers 'PEY'?
The WSJ ponders a special level of branding in the exchange-traded fund business...
MutualFundWire.com - Monday, August 16, 2010 Views
Critics to SEC: What about Revenue Sharing?
Some fund industry observers are hurling a fresh batch of criticism at the SEC's recent moves. ..
MutualFundWire.com - Monday, August 16, 2010 Views
A Legg Mason Vet Dies
The Legg Mason vet, who spent more than four decades at the firm, passed away last Friday...
MutualFundWire.com - Monday, August 16, 2010 Views
Pimco Stems Exposure to Gov't Bonds
Bill Gross is cutting his holdings in government-related debt...
MutualFundWire.com - Monday, August 16, 2010 Views
WSJ: Evergreen Fund May Have Come In Contact With SubPrime
The WSJ recently reported that Evergreen Institutional Money Market Fund may have indirect exposure to the sub-prime flu...
MutualFundWire.com - Thursday, August 16, 2007 Views - Reader Rating: 3.08
RSM McGladrey Names New National Sales Director
The provider has appointed one of its own for the job...
401kWire.com - Thursday, August 16, 2007
Wachovia Securities Hires New Head of Equity Linked Origination
Wachovia Securities has named Douglas Decker as its new managing director and head of Equity Linked Origination...
MutualFundWire.com - Thursday, August 16, 2007 - Reader Rating: 3.23
Looking For a TPA? Click Here!
A retirement marketing specialist launches a new website to connect plan advisors with TPAs. ..
401kWire.com - Thursday, August 16, 2007
Brandywine Funds' Adviser Pens Soothing Letter to Shareholders
Friess Associates, the adviser to the Brandywine Funds is letting clients know their money is safe and sound amid the market turmoil...
MutualFundWire.com - Thursday, August 16, 2007 Views - Reader Rating: 3
Lord Abbett Loses Two to Lehman Brothers Asset Management
Lehman Brothers Asset Management has hired away two members of Lord Abbett's municipal bond team...
MutualFundWire.com - Thursday, August 16, 2007 Views - Reader Rating: 2.62
Fred Alger Looks on the Bright Side
The New York asset management firm is looking to reassure clients and all investors in general that the economic picture is not as grim as it may seem...
MutualFundWire.com - Thursday, August 16, 2007 Views - Reader Rating: 3.17
NRP Targets Data
The Southern California-based retirement specialists roll out their first research on a tricky but popular asset class. ..
401kWire.com - Thursday, August 16, 2007 - Reader Rating: 5
CNBC on Website Watch
CNBC reported today that there are "intermittent problems" with Schwab's website...
MutualFundWire.com - Thursday, August 16, 2007
T. Rowe in the Hunt for Portfolio Team Member
The Baltimore asset manager is searching for a replacement for Kevin Loome, who left to join Delaware Investments...
MutualFundWire.com - Thursday, August 16, 2007 Views - Reader Rating: 5
Van Eck Intros Nuclear Energy ETF on the AMEX
The Big Apple asset manager has rolled out a new ETF...
MutualFundWire.com - Thursday, August 16, 2007 Views - Reader Rating: 3
Stone Harbor Picks Back-Office Provider
New York-based Stone Harbor has chosen a Denver company to handle back-office functions...
MutualFundWire.com - Thursday, August 16, 2007 Views - Reader Rating: 3.5
JPMorgan Makes Southeast Sales Hire
The Missouri-based provider also plans to add to its Northeast sales force...
401kWire.com - Thursday, August 16, 2007
457 Provider Wins High-Participation Plan
A Midwestern firm is chosen to run a plan that already includes 80 percent of its eligible participants. ..
401kWire.com - Thursday, August 16, 2007 - Reader Rating: 5
Northern Trust Expands Wealth Management Group
Northern Trust has two new faces in its wealth management group...
MutualFundWire.com - Thursday, August 16, 2007 - Reader Rating: 5
Morgan Stanley Launches Non-Discretionary Advisory Account
Morgan Stanley’s Global Wealth Management Group has rolled out a new non-discretionary advisory account...
MutualFundWire.com - Thursday, August 16, 2007 - Reader Rating: 3
Matrix Backer Taps Ex-Bisys Exec As Partner
The Connecticut-based private equity firm has brought on board a co-founder of The Bisys Group...
401kWire.com - Thursday, August 16, 2007 - Reader Rating: 5
Investors Pulling Dollars From Emerging Market Funds Amid Market Worries
The shaky market has prompted investors to withdraw $627 million from emerging-market stock funds for the week ended Tuesday, this is in addition to the $2 billion removed the week before...
MutualFundWire.com - Thursday, August 16, 2007 Views - Reader Rating: 3.1
Money Fund Assets Hit Record High
Investors poured money into money market funds last week, investing $70.3 billion in the week that ended Tuesday, bringing the total amount invested in such funds to a record high...
MutualFundWire.com - Thursday, August 16, 2007 Views - Reader Rating: 2
Bisys Retirement Shuffles Execs
There have been a number of role changes for the firm's sales and business development staff in recent weeks...
401kWire.com - Wednesday, August 16, 2006 - Reader Rating: 3
Sock Maker Mulls Changes In Fund Lineup
A sock manufacturer based out of Burlington, North Carolina has placed two funds in its lineup under watch...
401kWire.com - Wednesday, August 16, 2006
Watson Wyatt's Schieber To Retire
Syl Schieber will leave the Washington, D.C.-based consulting firm at the end of next month...
401kWire.com - Wednesday, August 16, 2006
Wachovia Bonds With Ameriprise's Clients
The Charlotte-based provider reaches out to plan sponsor clients of Ameriprise Financial, whose recordkeeping business it purchased a few months back...
401kWire.com - Wednesday, August 16, 2006
MStar's Richly Priced Stock Attracts Notice
Are Morningstar shares too richly priced? Industry insiders have pointed to the Chicago fund firm's two recent purchases as evidence that the firm's stock is trading at a relatively high price. Meanwhile, an article in the Wall Street Journal noted that nine company insiders are filing to sell shares. Some investors track insider sales to glean clues as to insider's opinions of the value of a stock...
MutualFundWire.com - Wednesday, August 16, 2006 Views - Reader Rating: 3
Keystone Guaranteed CSP Loses Surcharge
The Pennsylvania college savings plan is going on markdown. State officials said that they are dropping a surcharge on tuition credits purchased through the state's prepaid Guaranteed Savings Plan. That move could cut the plan's costs for the plan by 1.8 percent to 12.6 percent...
MutualFundWire.com - Wednesday, August 16, 2006 Views - Reader Rating: 5
Smith Barney Win Helps Other Funds
The case against a Citigroup fund unit failed to move forward, sparing the firm from judgement on whether it improperly failed to tell shareholders about its brokers' pay...
MutualFundWire.com - Wednesday, August 16, 2006 Views
Rock Canyon Lengthens Short Fund's Name
The fund that launched an SEC investigation into Morningstar and its ratings is changing its name. The Rock Canyon Advisory Group is tweaking the moniker on its Top Flight Fund to provide a better hint at its hedging ways. The fund is now known as the Top Flight Long/Short Fund. The funds ticker will remain as TOPFX...
MutualFundWire.com - Wednesday, August 16, 2006 Views
Morgan Stanley Lassoes NYLIM Pair
Morgan Stanley lured a pair of investment professionals away from New York Life in order to beef up its value stockpicking team. The two new hires are Kathy O'Connor and Jeff Sanders, according to media reports...
MutualFundWire.com - Wednesday, August 16, 2006 Views
Wedbush Morgan Loses CCO
A small wholesale brokerage in California has lassoed the Wedbush's chief compliance officer, starting a search at the Los Angeles-based BD...
MutualFundWire.com - Wednesday, August 16, 2006
First American Hopes Product Will Grow RIAs
ADP Clearing has won a mandate from First American. The BD hopes the transaction services firm's advisor desktop product will help it spread into the RIA market...
MutualFundWire.com - Wednesday, August 16, 2006
Paulson Cancels Earnings Call After Losing Executive
The Portland, Oregon broker-dealer will hold its next call in the third quarter after the loss of a key executive causes the cancellation of its Q2 call...
MutualFundWire.com - Wednesday, August 16, 2006 - Reader Rating: 3
Summit Turns Loss into Gain
The Boca Raton BD plans to drive its bottomline by adding to its network of registered reps...
MutualFundWire.com - Wednesday, August 16, 2006
Scudder Upgrades Advisor Tools
The provider combines selling tools with fiduciary help...
401kWire.com - Tuesday, August 16, 2005
STC Exec Told AG About Late Trading
Ex-STC executive William Kenyon's statements during a meeting with staff from the NYAG's office are complicating the STC case...
MutualFundWire.com - Tuesday, August 16, 2005 - Reader Rating: 4
Consultants Hire Pru Exec
The new hire will be responsible for benefit funding strategies...
401kWire.com - Tuesday, August 16, 2005 - Reader Rating: 1
Bisys' CFO Calls it Quits; Settlement Still Looms
The process firm skips another quarter of earnings...
MutualFundWire.com - Tuesday, August 16, 2005 - Reader Rating: 2
Feds Give Nod to Citi, Legg Deal
Legg Mason and Citigroup have received approval from the Federal Trade Commission about their proposed business unit swap .....
MutualFundWire.com - Tuesday, August 16, 2005 Views
Fidelity Tweaks Spartan Funds
Fidelity Investments has announced a swath of changes to Spartan-branded bond and money market lineup, including lower fees and minimum investments and name changes...
MutualFundWire.com - Tuesday, August 16, 2005 Views
Pru Names CEO at Institutional Manager
Scott Hayward has been named the chief executive officer of Quantitative Management Associates LLC, a quantitative public equity manager subsidiary of Prudential Investment Management .....
MutualFundWire.com - Tuesday, August 16, 2005 Views
UK Manager Eyes US Fund Market
High off the success of its U.K. mutual fund sales, London-based money manager Schroders Plc is considering selling mutual funds in the U.S. .....
MutualFundWire.com - Tuesday, August 16, 2005 Views
Matrix Hits A Home Run With Client Conference
Hundreds gather in Keystone, Colorado...
401kWire.com - Monday, August 16, 2004 - Reader Rating: 3.75
DOL Sues Defunct Plan Trustee
As his company went down the drain, the president/trustee was putting employee 401k money into the corporate kitty...
401kWire.com - Monday, August 16, 2004 - Reader Rating: 3
Constellation Shoots for the Stars
The three-month old fund firm adds another nine funds to its family, increases its salesforce, and plans for more growth...
MutualFundWire.com - Monday, August 16, 2004 Views
UBS Files for Hedge-Like Fund
A new fund will use tactical allocation strategies...
MutualFundWire.com - Monday, August 16, 2004 Views
Nationwide Pushes Brand Awareness
The campaign launched this past spring emphasizes Investments. Retirement. Insurance...
401kWire.com - Monday, August 16, 2004 - Reader Rating: 4.5
One More Firm Acknowledges SEC DC Inquiry
Five others have not received a letter from the SEC...
MutualFundWire.com - Monday, August 16, 2004 - Reader Rating: 4
Principal Puts Out Fiduciary Guide
Reps can use the guide to walk clients through fiduciary reviews...
401kWire.com - Monday, August 16, 2004
Former Mutuals.com Execs Face Additional Charges
Three former executives now face more severe charges related to allegations of market timing...
MutualFundWire.com - Monday, August 16, 2004 - Reader Rating: 5
Fund Tracker Eyes 529s
There will be new tools for evaluating college savings plans starting in September...
MutualFundWire.com - Friday, August 16, 2002 Views
Seen & Heard
Financial Engines data a boon to 401k critics... what was mPower recommending?..
401kWire.com - Friday, August 16, 2002
Morningstar Wears Fiduciary Hat
The firm is best known as for its fund data and analysis, but how far it has moved from those roots was highlighted today...
401kWire.com - Friday, August 16, 2002 - Reader Rating: 5
Investing in Vice
The new socially-irresponsible fund fits a long pattern of defying conventional practice for the sponsor...
MutualFundWire.com - Friday, August 16, 2002 Views
T. Rowe Joins Waterhouse
The fund firm is coming around to supermarket distribution and has selected Waterhouse to offer its Advisor Shares. ..
MutualFundWire.com - Thursday, August 16, 2001 - Reader Rating: 3
Happy B-Day for Index!
Schwab to Buy Jeffries? ... UBS Completes RT Capital Deal ... Van Eck Opens Russian Fund ... Montgomery Selects Web Help ... AIM Closes Funds ... Vanguard 500 Turns 25! ..
MutualFundWire.com - Thursday, August 16, 2001 - Reader Rating: 3
Happy B-Day for Index!
Schwab to Buy Jeffries? ... UBS Completes RT Capital Deal ... Van Eck Opens Russian Fund ... Montgomery Selects Web Help ... AIM Closes Funds ... Vanguard 500 Turns 25! ..
401kWire.com - Thursday, August 16, 2001 - Reader Rating: 3
Business Logic Fills Marketing Slot
The Chicago-based firm has three new execs and fills a position open since Spring. ..
401kWire.com - Thursday, August 16, 2001 - Reader Rating: 3
Hewitt Eases Access
The firm intros a system that allows its clients to gain easier access to benefits information. ..
401kWire.com - Thursday, August 16, 2001 - Reader Rating: 3
Nations Funds Surpass $100 Billion
Bank of Amercia's Fund family has put on $20 billion so far this year...
MutualFundWire.com - Wednesday, August 16, 2000 Views - Reader Rating: 3
FIRSCo Gets New Prez
The changes amongt Fidelity's executive ranks continue as it announces a number of staff changes at Peter Smail's Employer Services unit...
401kWire.com - Wednesday, August 16, 2000 - Reader Rating: 3
Fido's Restructuring Continues
Not just a fund company anymore, Fidelity is rearranging its executives as it builds its total benefits offerings to employers. ..
MutualFundWire.com - Wednesday, August 16, 2000 Views - Reader Rating: 3
Pru Will Provide Data Through Quicken
The bundled vendor has inked an agreement with Intuit to make 401k data available to users of the popular personal finance progam...
401kWire.com - Wednesday, August 16, 2000 - Reader Rating: 3
Pru Picks Up Tawain Fund Manager
Prudential Insurance is bolstering its presence in the fast-growing Taiwanese fund business by adding the second-largest Taiwan fund company to its portfolio...
MutualFundWire.com - Wednesday, August 16, 2000 - Reader Rating: 3
Business Logic and VerticalOne Partner
Never heard of data aggregation or screen scraping? It's time for the remedial course then because it appears that these services are coming to the 401k market...
401kWire.com - Wednesday, August 16, 2000 - Reader Rating: 3
August 16, 2000
Nvest execs set for $200 million windfall ... UBS sharpens the axe ... Germany's Weisenhorn opens shop ... Financial-services funds are back...
401kWire.com - Wednesday, August 16, 2000 - Reader Rating: 3
August 16, 2000
Nvest execs set for $200 million windfall ... UBS sharpens the axe ... Germany's Weisenhorn opens shop ... Financial-services funds are back...
MutualFundWire.com - Wednesday, August 16, 2000 Views - Reader Rating: 3
Law Firm Changes Provider
Indianapolis, Indiana-based Locke Reynolds Boyd & Weisell, has changed its 401(k) provider to Vanguard, Mike Bendner, a partner at the firm, told the 401KWire.com. The plan has 180 participants and $6.5 million in assets, according to the Judy Diamond Directory...
401kWire.com - Monday, August 16, 1999 - Reader Rating: 3
Merrill Hires Emerging Markets Bond Head
Merrill Lynch has hired a new bond chief for emerging markets research from ABN Amro. ..
MutualFundWire.com - Monday, August 16, 1999 - Reader Rating: 3
Micropal Adds Taiwanese and Malaysian Funds
S&P's free fund information site now has the nuts and bolts of Malaysian and Taiwanese units trusts. ..
MutualFundWire.com - Monday, August 16, 1999 - Reader Rating: 3
Pyramid Expands
Birmingham, Alabama-headquartered Pyramid Digital Solutions is expanding its Boston, Massachusetts office, a spokesperson with the firm told the 401kWire.com. The new office will be located in Quincy, Massachusetts and will house approximately 15 staffers...
401kWire.com - Monday, August 16, 1999 - Reader Rating: 3
Week of August 13, 1999
RFP Roundup

The Weekly Roundup is a regular column examining the RFPs that appeared on our pages and the pages of other publications this week...
401kWire.com - Monday, August 16, 1999 - Reader Rating: 3
Franklin Templeton Juices Its Options
Franklin Templeton has added a host of new features to ValuSelect, its defined contribution product...
401kWire.com - Monday, August 16, 1999 - Reader Rating: 3
Odd Lots August 16, 1999
Doyle says Jacob's lying ... A Bogle v. Brennan fight? ... Reader's Digest looks to attract Asian mutual fund investors ... Asian investing is all about patience ... Vanguard attempts to stay the course ... Is Ryan Jacob's bragging rights...
MutualFundWire.com - Monday, August 16, 1999 - Reader Rating: 3
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