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News Stories Archives - Since 1998
Westwood Adds a 3rd Enhanced Income ETF A Lone Star State fund firm's team launches another active exchange-traded fund... MutualFundWire.com - Monday, December 15, 2025 - Reader Rating: 2
A New Florida PPP Preps 2 PEPs The two PEPs are expected to launch next month... 401kWire.com - Monday, December 15, 2025 - Reader Rating: 2
In the Pine Tree State, a $187MM-AUA Set of Plans Reups The plan sponsor's relationship with its recordkeeper goes back 50 years next month... 401kWire.com - Monday, December 15, 2025 - Reader Rating: 2
A DC Consulting Chief Will Take Over Retirement For a $474B-AUM Alts Firm The publicly traded asset manager's key new hire is based in the Midwest... 401kWire.com - Monday, December 15, 2025 - Reader Rating: 2
AssetMark Snaps Up an RKer's $3B-AUMA Sibling, As Planned Updated \| A Bay Area TAMP closes on a DC-adjacent acquisition that was unveiled a month and a half ago... 401kWire.com - Monday, December 15, 2025 - Reader Rating: 2
Week In Preview, December 15 - December 21 This week, the teams at CalSavers, WIPN, Broadridge, DCIIA, WP&BC, and Spark will host events... 401kWire.com - Monday, December 15, 2025 - Reader Rating: 2
Week In Preview, December 15 - December 21 This week, the teams at MFDF, Nicsa, IMEA, and WE will host events... MutualFundWire.com - Monday, December 15, 2025 - Reader Rating: 2
Bridge Builder Repeats, Netting $127MM Per Fund The M* team updates U.S. flows data for November 2023 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Friday, December 15, 2023 - Reader Rating: 1
A Colorado RIA Partners With the Standard The duo are preparing to roll out a PEP next month... 401kWire.com - Friday, December 15, 2023 - Reader Rating: 1
Empower, Finway, and LPL Team With a Hawaii KPA The quarter are prepping a PEP for launch next year... 401kWire.com - Friday, December 15, 2023 - Reader Rating: 1
EFE Buys a $1.5B-AUMA Northeastern Shop Updated \| The deal involves a retirement plan consulting firm and its sister RIA... 401kWire.com - Friday, December 15, 2023 - Reader Rating: 1
For the 1st Time In Eight Weeks, MMF Flows Sour The LSEG Lipper folks reveal the latest weekly U.S. fund flows data... MutualFundWire.com - Friday, December 15, 2023 - Reader Rating: 1
Gallagher TAGs an RKer Twice A retirement plan provider will power a pair of offerings from the insurance brokerage... 401kWire.com - Friday, December 15, 2023 - Reader Rating: 1
Titans' Inflows Collapse, Despite a $938B AUM Boost The M* team updates U.S. flows data for November 2022 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Thursday, December 15, 2022 - Reader Rating: 1
Vote For the Most Influential People! The 401kWire team is once again readying our list of the Most Influential People In Defined Contribution, and we need your help!.. 401kWire.com - Thursday, December 15, 2022 - Reader Rating: 1
A Beehive State RKer Gains a Biz Dev Manager The new hire most recently hails from Human Interest... 401kWire.com - Thursday, December 15, 2022 - Reader Rating: 1
In Beantown, a DC I-O Vet Joins Fi360 The new hire serves as national account director at the fiduciary-focused Broadridge business... 401kWire.com - Thursday, December 15, 2022 - Reader Rating: 1
A 50-Year-Old Retailer Reups With a Publicly Traded RKer A Midwestern plan sponsor is sticking with its recordkeeper... 401kWire.com - Thursday, December 15, 2022 - Reader Rating: 1
The Feds Smite a Trader At a $1.1T-AUM Firm The DoJ and SEC charges focus on an alleged front-running scheme that, according to prosecutors, generated at $47.3 million in profits over six years... MutualFundWire.com - Thursday, December 15, 2022 - Reader Rating: 1
Another Pro Golfer Gets a $1.2T-AUA RKer's Backing The Centennial State-based provider's team now serves more than 17 million retirement plan participants... 401kWire.com - Thursday, December 15, 2022 - Reader Rating: 1
Schwab Leads Again As These Firms' Inflows Double The M* team updates U.S. flows data for November 2021 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Wednesday, December 15, 2021 - Reader Rating: 1
Where Is COVID-19 Hitting Ret Savings the Hardest? New research sheds light on geographic differences in how Americans are reacting in light of the ongoing pandemic... 401kWire.com - Wednesday, December 15, 2021 - Reader Rating: 1
At Envestnet, a Veteran DC I-O Sales Chief Takes Over Retirement, And ... The new hire reports to the publicly traded TAMP's chief relationship officer and head of wealth solutions... 401kWire.com - Wednesday, December 15, 2021 - Reader Rating: 1
Griffin Brings a Transamerica Alum to UBS The new hires now serves as an executive director and retirement plan consultant on the West Coast for the wirehouse... 401kWire.com - Wednesday, December 15, 2021 - Reader Rating: 1
Franklin Preps a Two-Fund, $253MM-AUM Transformation The publicly traded fund firm's team will transform a pair of mutual funds from two old Legg Mason boutiques... MutualFundWire.com - Wednesday, December 15, 2021 - Reader Rating: 1
"It Might Be ESG Even If You Don't Know It" A trade group hosts a discussion as the industry awaits the DoL's final rule in the wake of the end of the comment period earlier this week... 401kWire.com - Wednesday, December 15, 2021 - Reader Rating: 1
Large Firms' Inflows Rise 11-Fold The M* team updates U.S. flows data for November 2020 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Tuesday, December 15, 2020 - Reader Rating: 1
A Trust Sales Exec Exits Schwab A longtime manager in retirement sales has left the California-based brokerage's retirement plan business after a couple of years... 401kWire.com - Tuesday, December 15, 2020 - Reader Rating: 1
Tankersley Creates a New Key Hancock Post The Hancock Retirement distro chief promotes a nine-year company veteran into a newly created leadership position... 401kWire.com - Tuesday, December 15, 2020 - Reader Rating: 1
Will UBStreet or Statesco Be the Next Mega-Merger? A publicly traded company is reportedly weighing strategic options, including mergers, for its asset management arm... MutualFundWire.com - Tuesday, December 15, 2020 - Reader Rating: 1
Schumm Hires a Retirement Services Prez Updated \| The Vestwell chief hires a FuturePlan alum for a key role... 401kWire.com - Tuesday, December 15, 2020 - Reader Rating: 1
An IRA Ally to RKers Raises $7.5MM This is the Keystone State startup's series B round of financing... 401kWire.com - Tuesday, December 15, 2020 - Reader Rating: 1
For 2018, a Liquid Alts Entrepreneur Plans Hiring and Explores Income This employee-owned, private equity-backed mutual fund shop has a team of 30 and offers 11 strategies... MutualFundWire.com - Friday, December 15, 2017 - Reader Rating: 1
PEI Hires a Pentegra Alum The new hire now serves as director of business development at the New Jersey firm... 401kWire.com - Friday, December 15, 2017 - Reader Rating: 1
Why Investment Conversations Are Changing A new study is looking at how hybrid investors navigate the industry... 401kWire.com - Friday, December 15, 2017 - Reader Rating: 1
A 401k Entrepreneur's Son Launches an RFP-Focused Startup The official rollout for the new venture is next month. They recently raised about $300,000 in seed funding... 401kWire.com - Friday, December 15, 2017 - Reader Rating: 1
Yes, RIAs Are Fueling the Discount Broker Boom The WSJ ponders the importance of independent RIAs to the growth of Schwab and TD, yet largely ignores their two biggest competitors... MutualFundWire.com - Friday, December 15, 2017 - Reader Rating: 1
Five Easy Tips to Help You Close More 401k Biz in 2017 KPAs, have you figured out what your New Year's resolution at work may be? If not, I have a few tips that can help you close more 401(k) business... 401kWire.com - Thursday, December 15, 2016 - Reader Rating: 1
Appellate Judges Grant the DOL Another Victory The DoL fiduciary rule continues its winning streak in U.S. courts. .. 401kWire.com - Thursday, December 15, 2016 - Reader Rating: 1
The Great Financial Services Hack of 2014: A Timeline The latest updates on the financial services hack!.. MutualFundWire.com - Thursday, December 15, 2016 - Reader Rating: 1
T. Rowe Hires A National Sales Exec T. Rowe Price brought on Scott Redfield to focus on large-market sales in the Midwest region... 401kWire.com - Thursday, December 15, 2016 - Reader Rating: 1
Newpark Resources Issues an RFP The multi-national site preparation products firm seeks an investment consultant. .. 401kWire.com - Thursday, December 15, 2016 - Reader Rating: 1
Retirement Benefits Group Adds a KPA The Irvine, California 401(k) plan advisor (KPA) shop names a new managing director. .. 401kWire.com - Thursday, December 15, 2016 - Reader Rating: 1
A Value PM Legend Retires FPA confirms the retirement of Bob Rodriguez... MutualFundWire.com - Thursday, December 15, 2016 - Reader Rating: 1
A NC Advisor Joins an Indie Firm An advisor based in North Carolina has changed firms... 401kWire.com - Thursday, December 15, 2016 - Reader Rating: 1
An American Returns, Charged For Hacks of Fido and JPMAM He is one of nine people connected to the alleged hacking conspiracy... MutualFundWire.com - Thursday, December 15, 2016 - Reader Rating: 1
A Wholesaler Leaves Mutual of Omaha A regional sales director has moved from Mutual of Omaha to The Standard. .. 401kWire.com - Thursday, December 15, 2016 - Reader Rating: 2
A 3,500-FA Network Revamps Its Fee-Based Platform This group of B-Ds is repricing the platform's services, updating processes, and adding more third-party strategists. Watch for the network to debut a UMA product next year... MutualFundWire.com - Thursday, December 15, 2016 - Reader Rating: 1
A PM Leaves a $244MM Dreyfus Fund The PM had worked for one of BNY Mellon's investment boutiques... MutualFundWire.com - Tuesday, December 15, 2015 - Reader Rating: 1
This RKer Improved Its Digital Platform In a time where many aspects of life are driven by technology, digital improvements are important now more than ever... 401kWire.com - Tuesday, December 15, 2015 - Reader Rating: 1
Large DC Plans Saw Slow Trading in November Aon Hewitt released its latest review looking back at 401(k) plans in November 2015... 401kWire.com - Tuesday, December 15, 2015 - Reader Rating: 1
Faust's First ETMFs Take One Last Regulatory Step Watch for the first batch of Eaton Vance's ETF-like funds to launch in Q1 2016... MutualFundWire.com - Tuesday, December 15, 2015 - Reader Rating: 1
The Best 401ks Are Getting Better The BrightScope folks release and mull over their "Top 30 401k Plans of 2015" list. Football again takes home the trophy... 401kWire.com - Tuesday, December 15, 2015 - Reader Rating: 1
Will Galvin or the SEC Go After Third Avenue? Massachusetts and Federal regulators' latest possible target is a beleaguered mutual fund shop that said goodbye to its CEO after blocking redemptions from a bleeding, soon-to-be liquidated fund... MutualFundWire.com - Tuesday, December 15, 2015 - Reader Rating: 1
Fund Revenue Sharing Costs Nationwide $140 Big Ones The 401(k) plan recordkeeper has agreed to a record dollar figure to settle a case of failing to tell participants about mutual fund revenue sharing arrangements. .. MutualFundWire.com - Monday, December 15, 2014 - Reader Rating: 1
Nationwide Settlement is a Wowser The insurer agrees to the largest 401(k) class action settlement on record. .. 401kWire.com - Monday, December 15, 2014 - Reader Rating: 1
Transamerica Taps an Aspire Vet for its TPAs An Aspire executive bids the firm farewell�.. 401kWire.com - Monday, December 15, 2014 - Reader Rating: 1
A KPA in the Bluegrass State Does A B-D Swap A 401(k) plan advisor (KPA) in Kentucky recently changed B-Ds... 401kWire.com - Monday, December 15, 2014 - Reader Rating: 1
Lockheed's 401k Case Starts The class action alleges that a mega DC plan sponsor failed to protect workers from excessive fees. Both sides day in court starts today... MutualFundWire.com - Monday, December 15, 2014 - Reader Rating: 1
Wells Fargo's Ready Says Investors Are Optimistic Wells Fargo's most recent quarterly poll shows that investors are optimistic when it comes to the notion of retirement... 401kWire.com - Monday, December 15, 2014 - Reader Rating: 1
White Suggests... 40 Act Deja Vu?!?!? Months after word broke that she was working on new risk-mitigating regulations for fundsters and other asset managers, the SEC chairwoman outlines her three-part vision. Yet the '40 Act by any other name ..... MutualFundWire.com - Monday, December 15, 2014 - Reader Rating: 1
OppFunds Hires a Wirehouse Vet The New York City-based mutual fund firm names the director of its CEO Advisor Institute... MutualFundWire.com - Thursday, December 15, 2011 - Reader Rating: 1
Yacktman, Nygren are Among MStar's Nominees for Domestic-Stock Manager of the Year The Chicago firm released the short list this morning... MutualFundWire.com - Thursday, December 15, 2011 - Reader Rating: 1
MFS' Gannon Hires a Fido Vet Updated \| The MFS DC I-O team adds an industry veteran on the West Coast... 401kWire.com - Thursday, December 15, 2011 - Reader Rating: 1
RPAG Wins a Producing TPA's Hart Updated \| A Connecticut advisor and TPA joins the SoCal-based network of retirement plan advisors... 401kWire.com - Thursday, December 15, 2011 - Reader Rating: 1
Schooner Mulls Institutional Shares, New Alt Funds The alternative mutual fund has big plans for its business in the New Year... MutualFundWire.com - Thursday, December 15, 2011 - Reader Rating: 1
A Florida Plan Advisor Looks West A SoCal retirement plan specialist adds two more locations to his network... 401kWire.com - Thursday, December 15, 2011 - Reader Rating: 1
A Northwest Consulting Shop Targets the Southwest The consulting firm makes a business development hire in the Arizona... 401kWire.com - Thursday, December 15, 2011 - Reader Rating: 1
Waddell Shells Out $21M to Investors The Kansas brokerage and mutual fund firm ups its dividend by 25 percent... MutualFundWire.com - Thursday, December 15, 2011 - Reader Rating: 1
Fortune Names Gundlach, Hussman Mutual Fund All-Stars The pub spotlights PMs of five fund PMs as its "all stars" for 2011... MutualFundWire.com - Thursday, December 15, 2011 - Reader Rating: 1
The Deal Maker Behind a Landmark Deal Leaves Goldman The banker who helped make the marriage between the Johnsons and John Templeton is stepping down from Goldman Sachs... MutualFundWire.com - Thursday, December 15, 2011 - Reader Rating: 1
Fidelity, Lord Abbett, Janus All Make TheStreet's "Six Worst" for 2011 List All of the six PMs turned in 2011 report cards that may leave shareholders questioning their wisdom... MutualFundWire.com - Thursday, December 15, 2011 - Reader Rating: 1
Moody's May Lower Its Opinion of Legg Mason The mutual fund firm has just a couple quarters to turn things around or face a downgrade, says Moody's. .. MutualFundWire.com - Thursday, December 15, 2011 - Reader Rating: 1
Invesco Shops CLO Portfolio The mutual fund giant is looking for a buyer for a sideline business invested in European CLOs... MutualFundWire.com - Thursday, December 15, 2011 - Reader Rating: 1
(Shhh) BofA Merrill Quietly Offers an FDIC Product A new FDIC product quietly hit the 401k market in the past year... 401kWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
Loomis Sayles Launches an 'All Weather' Fund A trio of PMs are running the new fund from the Boston fund shop... MutualFundWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
First Allied Hires its 401k Guy The SoCal-based B-D names a pension services chief to design custom plans for its reps... 401kWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
EBRI Unveils a Redesigned Blog The non-profit research institute has redesigned its blog... 401kWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
Lapointe Becomes the Sole PM of a Billion-Dollar Third Avenue Fund His co-PM, Jeffrey Gary, is no longer with the company... MutualFundWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
A Retirement Unit Frees Itself from a Just-Acquired Parent A plan termination specialist breaks off its retirement business... 401kWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
Neuberger Berman Puts its Bond Pros in the Spotlight The New York-based asset manager hosts a fixed income roundtable luncheon for the media on Wednesday... MutualFundWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
MassMutual Preps a 403b Webcast The plan provider is hosting a Webcast for 403b plan sponsors and advisors... 401kWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
An RIA Lures a Standard Alum Updated \| A retirement plan specialist in the Northwest recruits a provider veteran as a senior consultant... 401kWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
Morley Brings in a Dwight Vet The new hire will head up sales and marketing efforts for Principal's stable value shop... 401kWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
A Resurrected ETF Provider Plans to Launch 15 ETFs Now under new ownership, the ETF provider is gearing up to launch 15 ETFs... MutualFundWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
Three Adult Children Attack Schwab Updated \| The fallen YieldPlus Fund attracts yet another Finra claim... MutualFundWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
Will Madoff Trustee Lawsuit Have an Impact on Pioneer's Sale? The planned sale "may hit a snag" after Irving Picard's lawsuit, Bloomberg reports... MutualFundWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
Residents Roll on Royce, Say He is in no Rush Legg Mason's Chuck Royce wins some likely unwanted ink from the Gray Lady. The paper raises questions on his flagging passion for philanthropy... MutualFundWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
Legg Mason Spins Off a Fund Firm Updated \| A $1.1B asset manager takes its leave of Mark Fetting and his team... MutualFundWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
Who Will Take Home the Crown for Fixed Income Manager of the Year? Morningstar unveils its list of potential fixed income PMs of the year. .. MutualFundWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
The WSJ Explores a Real Asset Fund AllianceBernstein's new fund offers exposure to real assets... MutualFundWire.com - Wednesday, December 15, 2010 - Reader Rating: 1
Ford Plans to Re-Start its Match The car company its reinstating its match next year... 401kWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
Big Wirehouse Teams Still Dominate Distribution Cerulli's latest report finds that the largest wirehouse teams remain the key component for most asset manager's distribution strategies... MutualFundWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
American Beacon Adds a Second Sub-Advisor to a $156 Million Fund The Texas-based fund firm has turned to a BNY Mellon Asset Management subsidiary... MutualFundWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
FaithShares Launches Two More ETFs The Oklahoma City-based investment advisor raises its number of Christian ETFs to five... MutualFundWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
Shay Replaces One Fund Servicer with Two The Chicago-based firm has tapped two firms to take over from Citi... MutualFundWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
Burnham Unveils I Shares for its Financials Fund The New York-based asset manager will roll out I Shares on its financial sector-focused fund on Wednesday... MutualFundWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
An NRP Shop Expands Into Utah A Principal veteran opens a brand new branch for a DC-focused advisory firm... 401kWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
Kodak's 401k Match Reenters the Picture The Rochester, New York-based company unveils plans to put a smile back on its employees faces by resuming its 401k matching program come January, after suspending it in early 2009 due to fears surrounding the economy... 401kWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
Security Global Scores a Sub-Advisory Win Security Global Investors will sub-advise an international equity fund with nearly a $100 million of assets... MutualFundWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
Diversified Aims to Help 403b Plan Sponsors Avoid the Breach Diversified, with help from Groom Law Group, pens a white paper on 403bs... 401kWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
TIAA-CREF Goes High-Tech TIAA-CREF has launched its newest new media offering... 401kWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
Five Years Later, Fair Funds Finally Flow to Invesco Fund Shareholders Investors in several Invesco mutual funds are to receive a $418 million Fair Funds distribution, stemming from a market-timing lawsuit back in 2004... MutualFundWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
Bond ETFs Reel in $32 Billion Bond ETFs were among the most popular investments in 2009.. MutualFundWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
Hancock Finishes its Latest Fund Adoption The Boston fund firm completes its 10th fund adoption in seven years... MutualFundWire.com - Tuesday, December 15, 2009 - Reader Rating: 1
MassMutual Hires a Marketing Exec from Fidelity The plan provider brings on board an 11-year Fidelity veteran... 401kWire.com - Monday, December 15, 2008 - Reader Rating: 1
A Thrifty Plan Sponsor Plans to Bring Back the Company Match Amid a flurry of announcements regarding employers suspending 401k matches, a Fortune 1000 plan sponsor intends to reinstate the company match next month... 401kWire.com - Monday, December 15, 2008 - Reader Rating: 1
WSJ Looks at Approaches that Aim to Alter 401ks The Wall Street Journal devoted a long piece on the various proposals aimed at making changes to, or replacing 401ks altogether... 401kWire.com - Monday, December 15, 2008 - Reader Rating: 1
Jupiter Expands, Brings an Asset Manager to DC The new I-O distribution firm unveils its first fund firm partnership and adds to its ranks... 401kWire.com - Monday, December 15, 2008 - Reader Rating: 1
Northern Trust Plans '09 Staff Cuts The Chicago-headquartered firm plans to trim 450 jobs next year. It was not immediately clear how the reduction would impact its investment management arm... MutualFundWire.com - Monday, December 15, 2008 - Reader Rating: 1
Virtus Reduces its Headcount The Connecticut-based investment manager, which is in the process of being spun off from The Phoenix Companies, has trimmed some back-office and sales management jobs... MutualFundWire.com - Monday, December 15, 2008 - Reader Rating: 1
Schwab is Trimming its Staff The San Francisco firm is cutting 100 jobs at the officer level and may make further cuts focusing on non client service posts next year... MutualFundWire.com - Monday, December 15, 2008 - Reader Rating: 1
Schwab to Cut at Least 100 Jobs The San Francisco firm is eliminating 100 posts and could make further cuts next year... 401kWire.com - Monday, December 15, 2008 - Reader Rating: 1
WSJ Chronicles Miller's Missteps The WSJ's Tom Lauricella last week penned a lengthy feature on where Bill Miller went wrong... MutualFundWire.com - Monday, December 15, 2008 - Reader Rating: 1
Fidelity Reportedly Puts an Indian Unit on the Block Fidelity is said to have put its technology solutions unit in India up for sale and the list of buyers include IBM and Accenture... MutualFundWire.com - Monday, December 15, 2008 - Reader Rating: 1
Traders Blame ETFs for Eleventh-Hour Market Gyrations Some traders are pointing to leveraged ETFs as the reason for the wild market swings in the final hour of trading... MutualFundWire.com - Monday, December 15, 2008 - Reader Rating: 1
Eveillard Delves Into His Golden Approach Jean-Marie Eveillard tells Dow Jones reporter Allen Sykora how his First Eagle Gold Fund managed to do better than its peers amid the recent downturn in the prices of mining stocks... MutualFundWire.com - Monday, December 15, 2008 - Reader Rating: 1
Jaffe Lists Objects of Holiday Jeers among Fundsters Marketwatch columnist Chuck Jaffe unveils his 13th annual Lump of Coal Awards... MutualFundWire.com - Monday, December 15, 2008 - Reader Rating: 1
Fiduciaries, Like It Or Not Some advisors eagerly display their fiduciary status, while others seem to be getting dragged through the gray area... 401kWire.com - Friday, December 15, 2006 - Reader Rating: 1
Schwab Participant Count Hits High Charles Schwab added another thousand participants to its rolls in November, pushing its total count up 9.1 percent for the year... 401kWire.com - Friday, December 15, 2006 - Reader Rating: 1
The CapTrust Pac-Man is Said to Chase Another Bite The Tar Heel State group of advisors is reportedly preparing to grab another advisory firm... 401kWire.com - Friday, December 15, 2006 - Reader Rating: 1
UNIFI Releases First DC Product Post-Merger The two insurers have quietly put together their first DC product In the 12 months since they merged, UNIFI has also filled the post of vice president of sales and marketing... 401kWire.com - Friday, December 15, 2006 - Reader Rating: 1
Pru Guarantees Income and More The insurance provider launches a new retirement income product. .. 401kWire.com - Friday, December 15, 2006 - Reader Rating: 1
Snap-on Picks a New Plan Provider The tools company has tapped a new bundled provider for its 4,500 member, $190 million plan... 401kWire.com - Thursday, December 15, 2005 - Reader Rating: 1
Bear Stearns To Pay $250 Million In Settlement Bear Stearns will shell out $250 million to settle regulatory allegations that it helped hedge funds submit improper trades for mutual fund shares... MutualFundWire.com - Thursday, December 15, 2005 - Reader Rating: 1
House Debates O.K.'s Pension Bill Democrats fear that of the bills' potential to drive a stake through the heart of DB plans did not stop Republicans from voting to pass it... 401kWire.com - Thursday, December 15, 2005 - Reader Rating: 1
Gabelli Nabs CFO Mario Gabelli has signed on a U.S. Trust Company executive as his new chief financial officer. The new CFO for GAMCO Investors, Gabelli�s Rye, New York-based asset management shop is Agnes Mullady... MutualFundWire.com - Thursday, December 15, 2005 - Reader Rating: 1
Dodge & Cox Promotes its Next Generation Dodge & Cox, one of the best selling fund families of the past five years, is known for quietly going about its business rather than blowing its own horn. Now, the San Francisco-based value shop is handling its CEO succession in the same business-like way it handles it fund business... MutualFundWire.com - Thursday, December 15, 2005 - Reader Rating: 1
Mason Street Funds are Quietly Sold Insurers, banks and other financial services firms spent the Nineties looking for ways to get a foot in on the fund industry, will they spend the Aughties getting that foot out? The latest evidence for those who believe they will was provided Wednesday by life insurance giant Northwestern Mutual Life. The quiet company sold its 11 fund Mason Street family in two separate deals... MutualFundWire.com - Thursday, December 15, 2005 - Reader Rating: 1
SEI Taps Money Manager Head SEI has named a new head for its money manager business unit. Stephen Meyer, currently managing director for the unit will take over for Wayne Withrow. Meyer's promotion was made as part of a series of leadership changes at SEI... MutualFundWire.com - Thursday, December 15, 2005 - Reader Rating: 1
GM Strikes Match, More Fuel on the Pension Debate? The auto maker has extinguished its matching contribution to salaried workers as it fights to save its financial house... 401kWire.com - Thursday, December 15, 2005 - Reader Rating: 1
Spitzer Looks Into Morningstar 401k Picking The New York Attorney General may be running for governor, but the campaign will apparently not stop his investigators... 401kWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
Insurer Targets TPA Partners for Fiduciary Insurance Third-party administrators seeking fiduciary liability insurance for plan sponsor clients have a new program to turn to... 401kWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
Se Habla Espanol? ICC Plan Solutions adds features to its enrollment kits and plan highlight sheets... 401kWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
Hennessy Lives Large Asset growth bulked up the earnings of Novato, California-based Hennessy Advisors... MutualFundWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
Cohen & Steers Reaches Beyond Comfort Zone Cohen & Steers is looking to expand outside of its comfort zone of real estate investment trusts and more recently, utilities. The New York-based REIT specialist is readying to launch a combined REIT and common equity closed-end fund and a global REIT fund in January... MutualFundWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
Insiders Likely to Get Clearer Look at Social Security Reform The Bush administration is expected to use a White House conference during the next two days to build support for its Social Security reform plans... 401kWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
Guardian Relaunches with Expanded Product The insurer is adding advice and education as well as new fund options to its recently relaunched DC plan offering... 401kWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
SEC Commands First Command to Pay up The brokerage will pay $12 million to settle charges that it misled armed forces personnel about fund sales... MutualFundWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
Indiana Provider Joins Solo-K Parade Announcements of new solo-K products continue as the year end approaches... 401kWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
Now Hiring: Advice Firm Readies for Debut Although LTSave launched its online advice product last year, the company is just now readying for a major sales push... 401kWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
New AA Funds at Top of List for Rydex Hire Rydex Investments has hired David Reilly as director of portfolio strategies. Reilly will be a key player in Rydex�s external communications, as well as work to develop asset allocation strategies based on Rydex funds... MutualFundWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
NASD Digs Closer to DeSano More details have emerged about regulators’ investigation of gift giving to fund executives, and they bode boring times for wholesalers. The WSJ reported on Wednesday that the NASD is looking into brokerage’s gifts of golf outings to fund firms. Unnamed people familiar with the investigation told the WSJ that the Bank of merica is coming under scrutiny for gifting Fidelity’s head of stock trading, Scott DeSano, with the opportunity to play with professional golfers in the AT&T Pebble Beach National Pro-Am tournament... MutualFundWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
NASD Takes Number in Franklin Line The NASD has marked its place in the line of regulators seeking their pound of flesh from Franklin Resources. The San Mateo, California-based fund firm revealed in its annual report filed Tuesday that the NASD has made a preliminary determination to recommend a disciplinary proceeding against Franklin/Templeton Distributors, Inc. (FTDI). The letter was received by FTDI last week. On Monday, Franklin settled separate charges brought by the SEC over allegations that the firm improperly used directed brokerage. .. MutualFundWire.com - Wednesday, December 15, 2004 - Reader Rating: 1
Rocky Mountain Fund Firm Changes Name The Denver-based management firm also employs strategic distribution moves... MutualFundWire.com - Monday, December 15, 2003 - Reader Rating: 1
Creator of Roth 401k Dies The former Senator died over the weekend at age 82... 401kWire.com - Monday, December 15, 2003 - Reader Rating: 1
T. Rowe Adds Four More Funds The fund firm is readying another four asset allocation funds... 401kWire.com - Monday, December 15, 2003 - Reader Rating: 1
Participants Dig SDBAs A new survey finds that participants utilize their SDBA for diversification and have not been deterred by the market... 401kWire.com - Monday, December 15, 2003 - Reader Rating: 1
Fragrance Company Taps Mass.-based Recordkeeper Beauty Giant begins a beautiful new relationship... 401kWire.com - Monday, December 15, 2003 - Reader Rating: 1
Recordkeeper Hires New Talent A Florida-based consultant signs on... 401kWire.com - Monday, December 15, 2003 - Reader Rating: 1
Pension Plan Places Invesco, MFS on Watch The two firms face repercussions if the SEC takes action... 401kWire.com - Monday, December 15, 2003 - Reader Rating: 1
Janus Affiliate Wins Pension Mandate a Dutch employer awards Intech a $250 million mandate... 401kWire.com - Monday, December 15, 2003 - Reader Rating: 1
Strong Hopes to Find Buyer By January Though it is still at the start of the sales process, the fund firm hopes to have things wrapped up next month... MutualFundWire.com - Monday, December 15, 2003 - Reader Rating: 1
Johnson Comes Out Swinging The Fidelity chief suggests solutions to for the fund industry problems. Asks for common sense to win out over showmanship... MutualFundWire.com - Monday, December 15, 2003 - Reader Rating: 1
Haaga Asks for Ban on Directed Commission The fund industry trade group is making a gambit to get ahead of the regulatory curve by calling for soft dollars and directed commission reforms... MutualFundWire.com - Monday, December 15, 2003 - Reader Rating: 1
Fido Wins Mandate from Putnam An insurer has decided to swap one Boston firm for another... MutualFundWire.com - Monday, December 15, 2003 - Reader Rating: 1
Alliance Said to be Near Settlement It would include a record fine and agreement to give up fees, according to reports... MutualFundWire.com - Monday, December 15, 2003 - Reader Rating: 1
Simplicity, Simplicity, Simplicity Invesco gathers its domestic equity fund management under one roof... MutualFundWire.com - Friday, December 15, 2000 - Reader Rating: 1
Get Ready for Prime Time Client meetings are where advisors can shine explains guest columnist Marty Baird... MutualFundWire.com - Friday, December 15, 2000 - Reader Rating: 1
Bank's Business Up for Grabs? A fund company is rumored to be seeking to take over a southern bank's book of business. The bank's own plan may be the sticking point. .. 401kWire.com - Friday, December 15, 2000 - Reader Rating: 1
Filling (Filing) the Ranks Hancock has one hatchling, four eggs for incubator, and more to be conceived... MutualFundWire.com - Friday, December 15, 2000 - Reader Rating: 1
e401k Vendor Gets Support Persumma Financial has turned to another Net startup to provide customer support for its clients... 401kWire.com - Friday, December 15, 2000 - Reader Rating: 1
Too Much Stock? Do plan participants now hold too much stock in their 401(k) accounts?.. 401kWire.com - Friday, December 15, 2000 - Reader Rating: 1
Stable Value Rates for December 15, 2000 .. 401kWire.com - Friday, December 15, 2000 - Reader Rating: 1
Account Aggregation Close-Up What is account aggregation, screen scrapping, OFX? You had better find out because the technology is changing 401k... 401kWire.com - Friday, December 15, 2000 - Reader Rating: 1
Firm Adds Loaded Shares AXA Rosenberg is adding loads to its funds as its new parent take the reigns. .. MutualFundWire.com - Friday, December 15, 2000 - Reader Rating: 1
December 15, 2000 This Week's Flows At Record Levels ... Outflows Lead to Fidelity Reopenings ... Paper Recommends Selling Funds Making Distributions ... Fewer Funds Distribute More Gains ... Waggoner Recommends Asset Allocation Funds... 401kWire.com - Friday, December 15, 2000 - Reader Rating: 1
December 15, 2000 This Week's Flows At Record Levels ... Outflows Lead to Fidelity Reopenings ... Paper Recommends Selling Funds Making Distributions ... Fewer Funds Distribute More Gains ... Waggoner Recommends Asset Allocation Funds. .. MutualFundWire.com - Friday, December 15, 2000 - Reader Rating: 1
Deutsche Combines BT and Morgan Grenfell Funds Following its most recent acquisition, the bank has reorganized its no-load funds... MutualFundWire.com - Wednesday, December 15, 1999 - Reader Rating: 1
OFFSHORE FLOWS: Global Retirement Trends -- Part I They say that travel broadens one and expands your horizons. That may be true, but anyone who has traveled across the Atlantic recently has probably had their backside narrowed somewhat thanks to cattle car seating technology and a very full aircraft... 401kWire.com - Wednesday, December 15, 1999 - Reader Rating: 1
"We Have the Best Funds" Advertising in a highly legislated and scrutinized industry such as mutual funds is extremely difficult. However, pending legislation might make it a little easier... MutualFundWire.com - Wednesday, December 15, 1999 - Reader Rating: 1
Odd Lots, December 15, 1999 Dun & Bradstreet to set Moody's free ... Wells Fargo funds merged ... TIAA-CREF adds funds ... Dan Wiener takes over assets ... Fidelity fees rise ... X.com takes off ... PaineWebber goes huge ... Jacob goes big... MutualFundWire.com - Wednesday, December 15, 1999 - Reader Rating: 1
Wiesenberger Signs 3 Contracts Wiesenberger, a unit of Thomson Financial, has recently reached agreements with three providers that allows them to deploy the retirement software firm's Architec(k) product. The three firms are Wells Fargo and Company, Standard Insurance Company, and City National... 401kWire.com - Wednesday, December 15, 1999 - Reader Rating: 1
It's All In the Data The second in a series of columns by industry expert Andrew Lapsely looks at the e-commerce sector and how mutual fund companies can benefit from improving technology. Today's column reminds readers what an Internet presence should ideally provide... MutualFundWire.com - Wednesday, December 15, 1999 - Reader Rating: 1
Scudder Offers Mortgage Loans Scudder Kemper Retirement Plans is now offering plan participants mortgage loans. The product, Mortgage Acceptance Program (Map100), is available from Chambers, Dunhill, Rubin & Co. (CDR) and Mortgage.com (Nasdaq: MDCM)... 401kWire.com - Wednesday, December 15, 1999 - Reader Rating: 1
Tranzonic Chooses Bundled Provider Cleveland, Ohio-headquartered Tranzonic, a manufacturer and distributor of cleaning and other products, has selected J.P. Morgan/American Century to be the bundled provider of its 401(k) plan. The plan has $18 million in assets and 700 participants... 401kWire.com - Tuesday, December 15, 1998 - Reader Rating: 1
Schwab Talk The Buzz says the latest suitor wooing Schwab is Merrill Lynch � but it won�t happen. Will First Union swallow Fleet? The other Oppenheimer dips its toes in the institutional business... 401kWire.com - Tuesday, December 15, 1998 - Reader Rating: 1
TAG On: Deductible IRA's When can employees use a deductible IRA to supplement their retirement savings?.. 401kWire.com - Tuesday, December 15, 1998 - Reader Rating: 1
Can the 'Net Increase Plan Efficiency? The Internet may be the greatest source of increased efficiency for 401(k) plan sponsors over the next two years, predicts William M. Mercer�s Survey on Employee Savings Plans 1997. It may also render voice response technology effectively obsolete even though some organizations are just starting to implement VRS, says the report. Mercer also explored such important areas as fees and the increasing use of equities, areas that are fundamental to pension plan managers and sponsors alike. .. 401kWire.com - Monday, December 15, 1997 - Reader Rating: 1

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