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News Stories Archives - Since 1998
What a Shifting Super-OSJ Wants From You
MFWire talks to the president of a shop that is aligning with an indie B-D giant...
MutualFundWire.com - Monday, February 12, 2018 - Reader Rating: 1
A San Francisco KPA Dies After Battling Cancer
A retirement plan industry veteran and Bay Area native passed away on December 28...
401kWire.com - Monday, February 12, 2018
Who Will Lead This Rebranded Ascensus Unit?
Dave Musto searches for a chief for a rapidly growing business line that recently rebranded and is shifting within the organization...
401kWire.com - Monday, February 12, 2018 - Reader Rating: 5
How Did Participants React to Last Week's Wild Market Ride?
Some providers saw a rise in phone calls or account movement, and some suffered website or app difficulties that could've been due to higher than usual activity. Yet it still appears that the vast majority of participants stayed the course...
401kWire.com - Monday, February 12, 2018
Week In Preview, February 12-18
Credit Suisse and Schroders are both hosting events this week...
MutualFundWire.com - Monday, February 12, 2018
Major Players: Jerry Schlichter
The class action specialist has won $300MM of settlements. How did he get here? ..
401kWire.com - Friday, February 12, 2016
Washington County Seeks A 403b and 457 Investment Consultant
The Board of County Commissioners of Washington County, Maryland seeks RFPs for an investment consultant for its three retirement plans...
401kWire.com - Friday, February 12, 2016
RIIA Adds Tools for Members
The retirement income trade association has a revamped website. ..
401kWire.com - Friday, February 12, 2016
Cetera Steps Forward in 401k
A broker-dealer-affiliated TPA on in northern California is changing its name...
401kWire.com - Friday, February 12, 2016
A Peekskill, NY RIA Seeks its First KPA
This $200 million firm is looking to expand in the next year after deepening ties with LPL. ..
401kWire.com - Friday, February 12, 2016
Callahan Brings an Allianz Distro Vet to Oak Ridge
The new hire serves as head of strategic business development for the Chitown asset manager...
MutualFundWire.com - Friday, February 12, 2016 Views
NAPA Names it Ten Finalists
A list of 150 KPAs has been dwindled down to 10. ..
401kWire.com - Friday, February 12, 2016 - Reader Rating: 2
Bill Miller Puts a Seismic Twist on Value
The famous value mutual fund guru is creating a hedge fund that draws on a prediction models developed outside of financial services...
MutualFundWire.com - Friday, February 12, 2016 Views
What About My Retirement?
You devote your career to helping participants retire. What happens when you decide that it's time to hand the reins over to someone else?..
401kWire.com - Thursday, February 12, 2015
Highland Will Roll Out 17 More ETFs In Phases
The Lone Star State mutual fund shop is increasing its ETF lineup by more than an order of magnitude...
MutualFundWire.com - Thursday, February 12, 2015 Views
The Patriots' Owner Switches RKers
An $83MM, Bay State 401k plan moves to Empower...
401kWire.com - Thursday, February 12, 2015 - Reader Rating: 3
Four KPAs Say Goodbye to LPL
An advisory team based in the Keystone State just switched B-Ds...
401kWire.com - Thursday, February 12, 2015 - Reader Rating: 3
$247MM in Collateral Lands a Fund Firm in Hot Water
The SEC smites a Big Apple shop to the tune of $50,000 plus a cease and desist order...
MutualFundWire.com - Thursday, February 12, 2015 Views
A Think Tank Attacks MyRAs
According to a new report issued today, the MyRA doesn't compare to the IRA, despite its convenience...
401kWire.com - Thursday, February 12, 2015
Schwab's Participant Count Climbs Nine Percent
The discount brokerage releases its January 2015 monthly activity report...
401kWire.com - Thursday, February 12, 2015
Women Save More, Yet Are Not As Confident
... according to new data from the Boston Behemoth .....
401kWire.com - Thursday, February 12, 2015
RayJay Will Eat the Cost of Some Missed Fund Fee Rebates
A trade pub reports that the B-D, not its advisors, will pay back some clients who were in the wrong mutual fund share classes...
MutualFundWire.com - Thursday, February 12, 2015 Views
Sponsors' View Through Brokerage Windows
As the DoL gears up for a comment period on self-directed brokerage windows in 401ks this coming spring, 401kWire polls plan sponsors to see how they feel about the retail investment portals. ..
401kWire.com - Wednesday, February 12, 2014
UPDATED | Lawsuit Challenges Harbor Capital on Subadvisor Fees
Suit filed in Chicago Federal court against Harbor Capital Advisors alleges that firm holds on to too much of the management fees for the Harbor International Fund, which is sub advised by Northern Cross. ..
MutualFundWire.com - Wednesday, February 12, 2014 Views - Reader Rating: 5
RidgeWorth Is Looking for Some Boutiques
Whether it be shops to buy, hire for subadvise, or provide distribution for, RidgeWorth is ready to do some deals...
MutualFundWire.com - Wednesday, February 12, 2014 Views
Seen and Heard at the 2014 CUNA Mutual Retirement Academy
With an ice storm looming, retirement plan advisors and DC I-Os networked with their peers. A former Navy SEAL was one of the highlights of the event...
401kWire.com - Wednesday, February 12, 2014 - Reader Rating: 3
BlackRock Launches CoRI's Second Chapter
The world's largest asset manager has announced CoRI mutual funds. ..
401kWire.com - Wednesday, February 12, 2014
O'Toole Fills Five Sales Spots
The MassMutual Retirement Services sales and client management chief unveils some wholesaler additions...
401kWire.com - Wednesday, February 12, 2014
United Planners Wins Over an Oklahoma 401k Specialist
A retirement plan advisor in the Sooner State joins the Arizona-based B-D...
401kWire.com - Wednesday, February 12, 2014
Vanguard Joins the ETF Education Wars
Your sales are only as the level of understanding people have about your products. And that understanding is only as good as your army of people out there making sure the public understand your products...
MutualFundWire.com - Wednesday, February 12, 2014 Views
Three Things to Know From AllianceBernstein's Earnings
Kraus' retooling may be vindicated...
MutualFundWire.com - Tuesday, February 12, 2013 Views
Mutual Funds Had Largest In-Flow Month Ever
All asset classes and each of the top-10 open-end fund providers saw long-term fund inflows, according to Morningstar...
MutualFundWire.com - Tuesday, February 12, 2013 Views
A DC I-O Vet Joins an RIA to Build a 401k SEAL Team 6
The new hire expects to add 10 to 15 new offices around the country...
401kWire.com - Tuesday, February 12, 2013 - Reader Rating: 2.5
Battenkill Has Been Fired Four Times
Firm has been removed as sub-advisor from four funds in three weeks...
MutualFundWire.com - Tuesday, February 12, 2013 Views
Russell Melds TDFs and Managed Accounts
Product utilizes info gathered from RKers to guide asset allocations...
401kWire.com - Tuesday, February 12, 2013
Yoerger Indexes
The midwestern RKer launches a platform based on index investments...
401kWire.com - Tuesday, February 12, 2013
Pyxis Returns to the Highland
One year after spin-off, Pyxis turns to an old name...
MutualFundWire.com - Tuesday, February 12, 2013 Views
JP Morgan Wants a Strategic Fund Initiatives Head
Exec would handle product development and platform management for Investment Management Americas US Funds...
MutualFundWire.com - Tuesday, February 12, 2013 Views
Did SEC Alumni Help Kill Schapiro's Money Fund Reforms?
A non-profit government watchdog issues a 60-page report on the "revolving door" at the SEC...
MutualFundWire.com - Tuesday, February 12, 2013 Views
What Bugs Vanguard's Jack Brennan?
Three things, according to InvestmentNews, and they all involve ETFs...
MutualFundWire.com - Tuesday, February 12, 2013 Views
There's a Devil in the Details of Schwab ETF OneSource
Chuck Jaffe digs into the brokerage giant's new free-trading platform for ETFs...
MutualFundWire.com - Tuesday, February 12, 2013 Views
It Could Be a Slow Five Years For Asset Managers
Consultant cited by Bloomberg says managers could face near zero deposit growth for next half decade...
MutualFundWire.com - Tuesday, February 12, 2013 Views
Should MSCI Be Worried?
Another of the indexer's client is reviewing the relationship...
MutualFundWire.com - Tuesday, February 12, 2013 Views
Ever Retiring, Ned Makes Another Change in Fido's Top Ranks
Changes continue among Fidelity's top ranks...
MutualFundWire.com - Friday, February 12, 2010 Views - Reader Rating: 2
A Denver Fund Firm Hires a New Sales Head
A new sales chief took over last month...
MutualFundWire.com - Friday, February 12, 2010 Views
American Funds Sees Seventh Straight Month of Outflows
January brought the seventh straight month of outflows for American Funds, though the pace has slowed down...
MutualFundWire.com - Friday, February 12, 2010 Views
Another Retirement Exec Departs The Standard
For the second day in a row, a retirement sales vice president has left the company...
401kWire.com - Friday, February 12, 2010 - Reader Rating: 3.5
Fidelity Bags Three Golds
Corporate Insight reveals the winners of its 2009 Mutual Fund Monitor Awards. Fidelity leads its peers, chalking up the most golds...
MutualFundWire.com - Friday, February 12, 2010 Views - Reader Rating: 5
Principal Doubles Sales in Q4
The company's full- service accumulation unit doubled sales and raised earnings...
401kWire.com - Friday, February 12, 2010
BPAS Offers Its Partners Something Extra
The recordkeeping TPA unveils an upgrade to its support for intermediaries...
401kWire.com - Friday, February 12, 2010 - Reader Rating: 1.5
USI Hunts for Consultants and Expands its Proprietary Platform
The retirement plan consulting arm of the insurance brokerage looks to hire...
401kWire.com - Friday, February 12, 2010
AllianceBernstein's Net Doubles, Beating Estimates
The mutual fund firm unveils Q4 2009 earnings...
MutualFundWire.com - Friday, February 12, 2010 Views - Reader Rating: 4
ProShares Debuts Eight ETFs
Coming in pairs of two, ProShares has unveiled eight new index tracking ETFs..
MutualFundWire.com - Friday, February 12, 2010 Views
The ICI Fights Back Noise From a New Fee Critic
Does the average mutual fund costs 337 or 117 bps?..
MutualFundWire.com - Friday, February 12, 2010 Views - Reader Rating: 2
T. Rowe Launches Global Infrastructure Fund
A new mutual fund from T. Rowe Price invests in infrastructure and utility properties domestically and abroad..
MutualFundWire.com - Friday, February 12, 2010 Views
Bloomberg Illustrates the Gundlach Effect
More than half of mutual fund advisory fees that TCW took in last year stemmed from Total Return Bond Fund, which Gundlach ran until his December ouster...
MutualFundWire.com - Friday, February 12, 2010 Views - Reader Rating: 1
Hancock Funds Posts a Q4 Loss
John Hancock Mutual Funds swung to a loss for the fourth quarter of 2008...
MutualFundWire.com - Thursday, February 12, 2009 Views
Goldman Sachs Vet Jumps to ProFunds
The leveraged-funds specialists hire an investment strategy chief...
MutualFundWire.com - Thursday, February 12, 2009 Views
Bankers Endorse a Plan Provider
The American Bankers Association, whose members employ a total of more than two million people, gives its seal of approval to a retirement plan provider...
401kWire.com - Thursday, February 12, 2009 - Reader Rating: 1
Fidelity Benefits Sells
An insurance brokerage makes a Long Star State buy that includes a retirement component...
401kWire.com - Thursday, February 12, 2009 - Reader Rating: 1
A Jumbo Plan Sponsor Rides to Pru
Updated | The New Jersey plan provider brings in a giant public agency...
401kWire.com - Thursday, February 12, 2009 - Reader Rating: 4.5
Royce to Roll into New Headquarters
The New York City-based fund firm has inked a 15-year lease for a four-floor, 55,000-square-foot space on Fifth Avenue...
MutualFundWire.com - Thursday, February 12, 2009 Views - Reader Rating: 4
New York Life Spares its Retirement Unit from Cuts
UPDATED| The head of New York Life's retirement unit plans to hire 20 people this year...
401kWire.com - Thursday, February 12, 2009
An I-O Vet Guides a Real Estate Giant to DC
A new hire helps an asset manager bring its product to a niche within the retirement world...
401kWire.com - Thursday, February 12, 2009 - Reader Rating: 2
Goldman Postpones its Foray into India's Mutual Fund Market
The tough market conditions have led Goldman Sachs to postpone the launch of its mutual fund business in India...
MutualFundWire.com - Thursday, February 12, 2009 Views - Reader Rating: 5
WSJ Highlights Cuts at Putnam
The mass media take note as Bob Reynolds continues to restructure the fund firm...
MutualFundWire.com - Thursday, February 12, 2009 Views
Principal Reaches Out to Advisors With New Intermediary Team
The Principal is taking a new approach to supporting retirement plan consultants and independent RIAs...
401kWire.com - Tuesday, February 12, 2008
Julius Baers New Brand as Part of IPO
Rumors surrounding Julius Baer's potential IPO were given credence Tuesday...
MutualFundWire.com - Tuesday, February 12, 2008 Views
Towers Perrin Principal Joins Lincoln
Lincoln picks up a new head of product for its defined contribution and executive benefits business segments...
401kWire.com - Tuesday, February 12, 2008 - Reader Rating: 5
Hewitt Vet Lands at AXA
A seven year veteran of Hewitt is the new vice president of institutional sales for corporate markets at AXA...
401kWire.com - Tuesday, February 12, 2008 - Reader Rating: 2
JPMorgan Retirement Hires CEO
The plan provider has named a new CEO to replace Tom Kmak...
401kWire.com - Tuesday, February 12, 2008
Fido's Brokerage Reports 17 Percent AUM Increase in Q4
Fidelity Investments brokerage reported a 17 percent increase in AUM from one year ago...
MutualFundWire.com - Tuesday, February 12, 2008
Stormy Stock Market Drops AUM at Fund Firms
AUM at U.S. fund firms has been hit hard by market volatility in January...
MutualFundWire.com - Tuesday, February 12, 2008 Views
Advisors Give Tips for Wholesalers Who Want to Get on Their Good Side
A panel of top retirement produces tell ASPPA conferees in Orlando what kind of support they look for from provider sales teams...
401kWire.com - Tuesday, February 12, 2008 - Reader Rating: 2
Financial Telesis Added 60 Reps in 2007
The San Rafael broker dealer now claims some 170 retirement as clients. That growth may have pushed it to the top of the leader board...
401kWire.com - Tuesday, February 12, 2008 - Reader Rating: 1
Dividend ETFs May Not be for the Average Investor
John Spence takes a closer look at ETFs that focus on companies that pay dividends...
MutualFundWire.com - Tuesday, February 12, 2008 Views - Reader Rating: 2
Edelman Pens Letter to the SEC
Fund industry gadfly, Ric Edelman does not think the proposed disclosure rule changes from the SEC go far enough, so he wrote them a letter...
MutualFundWire.com - Tuesday, February 12, 2008 Views
Putnam Pulls Down $40 Million Mandate
Putnam Investments has won a $40 million retirement mandate that comes with over 1,000 plan participants...
401kWire.com - Tuesday, February 12, 2008
Transamerica Launches Fiduciary Warranty
The Los Angeles-based provider is offering the warranty as part of a newly launched fiduciary management program...
401kWire.com - Tuesday, February 12, 2008
Catholic K Choices
A specialized Midwestern investment manager moves into the 401k realm. ..
401kWire.com - Monday, February 12, 2007 - Reader Rating: 4
Exchange-Traded 401k
A Golden State broker-dealer, with the help of a nearby TPA, launches a new DC program with free one-on-one advice. ..
401kWire.com - Monday, February 12, 2007 - Reader Rating: 1
Bringing Alternatives Into 401ks
An Empire State hedge fund shop prepares to leap into the DC world. ..
401kWire.com - Monday, February 12, 2007
Lifestyle Collective Funds
A Midwestern advisory firm adds a new twist to a popular product and prepares to sell it nationally. ..
401kWire.com - Monday, February 12, 2007 - Reader Rating: 4.5
Strong CEO Says Sale is Near
Separately Oregon 529 plan officials say their short list to replace Strong is down to three...
MutualFundWire.com - Thursday, February 12, 2004 Views
Spark Institute Adds its Input to SEC
The trade group comments on the hard deadline to the SEC. Believes NSCC is not final solution...
401kWire.com - Thursday, February 12, 2004
Consultant Seeks 401k Researcher
A growing Boston area consultant seeks someone to co-lead its defined contribution segment...
401kWire.com - Thursday, February 12, 2004 - Reader Rating: 2.5
Baird Names New CIO
The fund manager promotes from within...
MutualFundWire.com - Thursday, February 12, 2004 Views
Legislative Outlook is Cloudy
With his reelection up in the air, Bush finds members of Congress floating their own ideas rather than promoting his...
401kWire.com - Thursday, February 12, 2004 - Reader Rating: 4
Fifteen Brokers May Settle With Regulators
The fund probes reach a crescendo as a dozen brokerages are expected to settle with the SEC and NASD...
MutualFundWire.com - Thursday, February 12, 2004 - Reader Rating: 5
No Mention of LSAs by Bush
The President took the time today to visit SHRM and talk to investors. What he did not mention may be the biggest news...
401kWire.com - Wednesday, February 12, 2003 - Reader Rating: 4
Franklin Templeton Launches New Sales Campaign
The plan is designed to help advisors on the various stages in the lifecycle of retirement plans...
401kWire.com - Wednesday, February 12, 2003 - Reader Rating: 3
TSP Plan in Court Again
The bungling of upgrade of the $100 billion plan has led to a second suit. What a mess...
401kWire.com - Wednesday, February 12, 2003 - Reader Rating: 4.5
House Subcommittee Schedules Hearing
Ann Combs and Scott Sleyster are on the list of those testifying at a House hearing on pension reform Thursday afternoon...
401kWire.com - Wednesday, February 12, 2003 - Reader Rating: 3.67
OppFunds Tailors 529 for Advisors
The fund firm is integrating its college savings platform with advisors practices...
MutualFundWire.com - Wednesday, February 12, 2003 Views
Judges Let W&R Off the Hook
The New York appeals court sends the case of the libeled broker back to the NASD...
MutualFundWire.com - Wednesday, February 12, 2003 Views
Concerns Cause Fund Firm to Cease Quarterly Calls
Advisors will no longer get their Q&As with fund managers. Meanwhile, Vanguard supports more disclosure...
MutualFundWire.com - Wednesday, February 12, 2003 Views
S&P and BusinessWeek Join Hands
The McGraw-Hill units say they are playing to their combined strengths in a editorial feature selecting excellent funds...
MutualFundWire.com - Wednesday, February 12, 2003 Views - Reader Rating: 5
Scottish Firm Wins Vanguard Mandate
The firm will take over more than $1 billion now being managed by Shroder...
MutualFundWire.com - Wednesday, February 12, 2003 Views
Metavante Names New Chairman
The Marshall & Ilsley subsidiary names a new chairman of the board...
401kWire.com - Wednesday, February 12, 2003
First Union Adds Sales Execs
The bank has snagged a pair of DC sales executives from Schwab as its boosts its efforts...
401kWire.com - Tuesday, February 12, 2002 - Reader Rating: 3
MassMutual Crosses Advice Line
The bundled vendor is deepening its ties with Morningstar and offering advice on top of guidance...
401kWire.com - Tuesday, February 12, 2002 - Reader Rating: 3
Reserve Promotes
There is a new head of marketing at the firm...
MutualFundWire.com - Tuesday, February 12, 2002 Views - Reader Rating: 3
OppFunds Plunges into Managed Account Arena
Through an acquisition, the firm is accelerating its move into the wrap account business...
MutualFundWire.com - Tuesday, February 12, 2002 Views - Reader Rating: 3
Global Crossing in the Crosshairs
A New Congressional Investigation ... Datek on the Block ... MFACT Selected ... Nagorniak of the Board...
MutualFundWire.com - Tuesday, February 12, 2002 Views - Reader Rating: 3
Global Crossing in the Crosshairs
A New Congressional Investigation ... Datek on the Block ... MFACT Selected ... Nagorniak of the Board...
401kWire.com - Tuesday, February 12, 2002 - Reader Rating: 3
Company Stock Makes Headlines, Again
An alleged insider trading case and ensuing high-profile resignation underlines the conflicts posed by the most popular of investment options...
401kWire.com - Tuesday, February 12, 2002 - Reader Rating: 3
Oak Value Adds Web Features
The firm targets financial professionals with its latest upgrade...
MutualFundWire.com - Tuesday, February 12, 2002 Views - Reader Rating: 3
MassMutual Forges Alliance
Retirement service provider offers a version of its 401(k) product to TPAs...
401kWire.com - Monday, February 12, 2001 - Reader Rating: 3
He Said, She Said
Like fund firms, Waterhouse confronts challenges communicating to advisors...
MutualFundWire.com - Monday, February 12, 2001 - Reader Rating: 3
Stalking the Web
A Beltway firm is on the hunt for an Internet advice provider...
401kWire.com - Monday, February 12, 2001 - Reader Rating: 3
Going for Brokerage
Windy City firm uses the Internet to put even more of the retirement process into its participants' hands. ..
401kWire.com - Monday, February 12, 2001 - Reader Rating: 3
What Took So Long?
Web-hungry American Century adds online IRAs, has more on the slate...
MutualFundWire.com - Monday, February 12, 2001 - Reader Rating: 3
Greater than the Whole
BISYS hopes to swell business by gobbling up FRC parent...
MutualFundWire.com - Monday, February 12, 2001 - Reader Rating: 3
Touche!
Waterhouse launches its own trust service for advisors with an emphasis on "trust."..
MutualFundWire.com - Monday, February 12, 2001 - Reader Rating: 3
Palm Reading
RS Funds introduces wireless access, weighs more tech extras. ..
MutualFundWire.com - Monday, February 12, 2001 - Reader Rating: 3
Week of February 8, 1999
The Week in Searches

Our weekly review of reported searches for 401k vendors...
401kWire.com - Friday, February 12, 1999 - Reader Rating: 3
Odd Lots, Feb. 12, 1999
Gabelli's stock stagnant...Comings and goings at BofA...Tiger Management's lack of bite...
MutualFundWire.com - Friday, February 12, 1999 - Reader Rating: 3
You've Got Mail! (from New York Life)
New York Life is turning to push technology to boost participant's use of its Benefit Services web-site...
401kWire.com - Friday, February 12, 1999 - Reader Rating: 3
For Thursday, February 12, 1998
As 401(k) plan sponsors offer participants more control of their investments and the timing of their transactions, they are also stepping up the pace on the education front. More importantly, more sponsors are also taking steps to track how their education efforts pan out, according to a Hewitt Associates study released today.
..

401kWire.com - Thursday, February 12, 1998 - Reader Rating: 3
More Plans Set Education Goals As They Offer Participants More Control
As 401(k) plan sponsors offer participants more control of their investments and the timing of their transactions, they are also stepping up the pace on the education front. More importantly, more sponsors are also taking steps to track how their education efforts pan out, according to a Hewitt Associates study released today. ..
401kWire.com - Thursday, February 12, 1998 - Reader Rating: 3
Principal Plans to Offer Web-Trading by Year End
Principal Financial will roll out a web-based trading system by the end of 1998 the 401kWire has learned. Between one and two million participants in Principal plans will have access to the system which is expected to made available to sponsors at no cost...
401kWire.com - Thursday, February 12, 1998 - Reader Rating: 3
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