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News Stories Archives - Since 1998
Helping Plan Sponsors Cut Costs Mid-Pandemic
With the coronavirus crisis slowing things down, some employers may be looking to trim expenses everywhere including in their DC plans. KPAs may want to be ready to tackle such requests...
401kWire.com - Thursday, March 26, 2020
What's Participants' COVID-19 Path? A Fin Wellness Player Chimes In
A non-profit specializing in financial wellness launches resources aimed at helping participants and other individual Americans navigate the coronavirus crisis...
401kWire.com - Thursday, March 26, 2020 - Reader Rating: 4
A San Fran Insti Distro Vet Joins a VC
The asset management distribution veteran most recently worked for a Midwestern mutual fund firm...
401kWire.com - Thursday, March 26, 2020
A 19-Year Wells Fargo Vet Exits In the Southwest
A longtime regional director has left Wells Fargo Asset Management after nearly two decades with the fund firm...
MutualFundWire.com - Thursday, March 26, 2020
TPAs Implement Their Disaster Plans and Keep On Truckin
Amidst the COVID-19 crisis, TPA leaders work to keep their clients well informed...
401kWire.com - Thursday, March 26, 2020
Faust Hires to Replace a 23-Year C-Suiter
The veteran fundster is expected to retire next month from the publicly traded mutual fund firm...
MutualFundWire.com - Thursday, March 26, 2020
Bringing AI to 401k Menu Analysis
A fintech firm launches a tool for KPAs, plan sponsors, and participants...
401kWire.com - Thursday, March 26, 2020
After Tweaks and a Retirement, a Distro Chief Focuses On Execution
"The industry's going through a lot of change. We are as a company pretty right-sized to take advantage."..
MutualFundWire.com - Tuesday, March 26, 2019 Views
A $44B AUM Shop's DC I-O Approach Restructures
A 37-year-old asset management firm's traditional intermediary and institutional advisor channel teams will handle defined contribution business, too...
401kWire.com - Tuesday, March 26, 2019
Wagner Expands Her ERISA Litigation Team in NYC
A Gotham attorney, experienced in ERISA, joins the law firm as an associate...
401kWire.com - Tuesday, March 26, 2019
Parks Finishes Raising $19MM
Updated | His online RKing shop closes its series D round of funding...
401kWire.com - Tuesday, March 26, 2019
ERISApedia Launches a 403b Pub
S. Derrin Watson wrote the new ebook...
401kWire.com - Tuesday, March 26, 2019
Dalia Blass Wants to Talk to You
The chief of the SEC's investment management division told fundsters last week that she wants to hear more from them...
MutualFundWire.com - Tuesday, March 26, 2019 Views
A Dropbox Alum Joins GRPAA
The KPA network brings an old NRP intern back to the fold. ..
401kWire.com - Monday, March 26, 2018 - Reader Rating: 5
An FA Software Shop Doubles Its Asset Manager Ally List
Watch for more than a dozen more asset managers to team up with the Chi-Town firm in the coming months...
MutualFundWire.com - Monday, March 26, 2018 Views
An Ex-Wholesaler Joins a KPA RIA as CIO
The new hire hails from American Century...
401kWire.com - Monday, March 26, 2018
Construction Plans Improved the Most in 2016
The annual 401(k) benchmark report from ALM Intelligence will offer a new analysis of half a billion plans...
401kWire.com - Monday, March 26, 2018
Week In Preview, March 26 - April 1
The PlanSponsor and PlanAdviser teams are hosting a Big Apple event this week...
401kWire.com - Monday, March 26, 2018
Week In Preview, March 26 - April 1
The MFDF team is hosting two events this week...
MutualFundWire.com - Monday, March 26, 2018 Views
Is It Time to Revisit Old Target Date Choices?
A DC I-O helps KPAs make the case for plan sponsors to reevaluate the QDIAs they use...
401kWire.com - Thursday, March 26, 2015 - Reader Rating: 3
Will Hodge Wear Sunglasses For M*?
The mutual fund ratings titan reveals the full agenda for its upcoming advisor-focused confab, slated for June 24-26. Pimco will again have one of the keynote speaking slots...
MutualFundWire.com - Thursday, March 26, 2015 Views
A MetLife Shop Hires a Merrill Vet
A 401(k) plan advisor (KPA) who most recently served at a wirehouse just joined a MetLife agency in the Big Apple...
401kWire.com - Thursday, March 26, 2015
MSU Tweaks Its $4.4B DC Plans
The Spartans are adjusting their 403(b) and 457 investment menus...
401kWire.com - Thursday, March 26, 2015 - Reader Rating: 4
Ameriprise Agrees to a 401k Settlement
The Columbia parent and Schlichter send a proposed settlement to a federal judge for approval...
401kWire.com - Thursday, March 26, 2015
This Small Cap Boutique Just Transformed Its Sole Mutual Fund
A Midwestern shop rebrands its mutual fund and swaps in one of its three other strategies...
MutualFundWire.com - Thursday, March 26, 2015 Views
An Ohio TPA Hires an Ops Director
The shop aims to grow to seven offices across seven cities...
401kWire.com - Thursday, March 26, 2015
Northwestern Mutual Buys a 401k-Allied Roboadvisor
The deal follows the life insurer's sale of Russell Investments last year...
401kWire.com - Thursday, March 26, 2015 - Reader Rating: 5
"The Most Dominant Fund Company In History"
M* guru John Rekenthaler ponders Vanguard versus the shops that previously held the crown in the mutual fund biz...
MutualFundWire.com - Thursday, March 26, 2015 Views
Wells Fargo Introduces Participants to Retirement City
Joe Ready and his team have something new up their sleeve geared towards plan sponsors' younger workers...
401kWire.com - Thursday, March 26, 2015 - Reader Rating: 3.75
Financial Wellness Can Move the Needle
This week, 401kWire delved into what some plan sponsors are doing for their participants in the realm of financial wellness. ..
401kWire.com - Wednesday, March 26, 2014
RBC's Appelstein Preps for 2014 Sales Push
The RBC distribution head hires two new managing directors of institutional sales, and preps for a number of new products and aggressive wholesaling initiatives. ..
MutualFundWire.com - Wednesday, March 26, 2014 Views
A B-D Group Hires Its First Retirement Chief
A BrightScope alum joins a 6,500-advisor broker-dealer network to lead its qualified retirement plan support efforts...
401kWire.com - Wednesday, March 26, 2014
Blackstone to Birth Fund Clone This Summer
The largest hedge fund investor in the world will start a similar multi-manager mutual fund in the summer for clients outside of the Fidelity partnership. ..
MutualFundWire.com - Wednesday, March 26, 2014 Views
Transamerica Wins a Hospital's $48MM Plan Bundle
A hospital located in Newburgh, New York, chose Transamerica to recordkeep its 403b and 457 plans...
401kWire.com - Wednesday, March 26, 2014
Goldbrum Leaves as the Spark Institute's Washington Presence Transforms
The recordkeeper trade group says goodbye to its general counsel while amping up a new partnership...
401kWire.com - Wednesday, March 26, 2014 - Reader Rating: 4.5
TDFs Will Take 65 Percent of 401k Flows in 2018
...according to a new report published by Cerulli Associates. ..
401kWire.com - Wednesday, March 26, 2014
It Really Is Abby's World
Challenges be damned, Abby Johnson is in charge at Fido and you can already see the changes...
MutualFundWire.com - Wednesday, March 26, 2014 Views
An Atlanta 401k-403b Shop Aligns With LPL
A 401k and non-ERISA 403b specialist switches to the indie B-D giant...
401kWire.com - Wednesday, March 26, 2014
Sain Ups the Fiduciary Ante at Newport
The RKing TPA adds a new service...
401kWire.com - Tuesday, March 26, 2013 - Reader Rating: 3
Aberdeen Makes it Official
The Scottish firm provides personnel update on departure of unit chief...
MutualFundWire.com - Tuesday, March 26, 2013 Views
A $17B Firm Lands Two Investment Honchoes
The two hires come from TRS...
MutualFundWire.com - Tuesday, March 26, 2013 Views
Active Managers Get Their Asses Kicked, Again
Benchmarks and passives still beat active managers, according to the SPIVA scorecard. ..
MutualFundWire.com - Tuesday, March 26, 2013 Views
There's a New Alt Fundster in the Biz
Another wealth manager joins the mutual fund game...
MutualFundWire.com - Tuesday, March 26, 2013 Views
Nasdaq Wins Approval for its ETF Market Maker Plan
SEC approves exchange's proposal to charge ETF sponsors fees for access to market makers...
MutualFundWire.com - Tuesday, March 26, 2013 Views
BlackRock's Castille Seals a Collective Trust Partnership
A new suite of products will invest in 10 index funds and 10 target date funds...
401kWire.com - Tuesday, March 26, 2013
A Trade Group Unveils New Tools for TPAs
The new customer marketing tools can be downloaded, customized and distributed to, well, customers...
401kWire.com - Tuesday, March 26, 2013
The CEO of a $577B Asset Manager Gets a Raise
Seven percent compensation increase comes in form of stock awards and other incentives. ..
MutualFundWire.com - Tuesday, March 26, 2013 Views
Guardian Fills Three Wholesaling Posts
The Big Apple insurer reveals a trio of appointments in its retirement plan sales team...
401kWire.com - Tuesday, March 26, 2013 - Reader Rating: 1.5
Beantown Researchers Hire Another Analyst
A consulting shop that supports retirement plan providers expands...
401kWire.com - Tuesday, March 26, 2013 - Reader Rating: 3
M* Revamps TDF Ratings
Analysis makeover adds forward focus and medal ratings. Ten fund series receive honors...
401kWire.com - Tuesday, March 26, 2013 - Reader Rating: 5
Chetney Makes an Elite Advisor Group Official
Updated | The LPL retirement chief talks about the new NRP within the indie B-D giant...
401kWire.com - Tuesday, March 26, 2013 - Reader Rating: 2
M* Analysts Target Another Category
Ten mutual fund series get Gold, Silver and Bronze medals...
MutualFundWire.com - Tuesday, March 26, 2013 Views
Aberdeen Says Goodbye to a Unit Chief
The exec oversaw $68 billion...
MutualFundWire.com - Tuesday, March 26, 2013 Views
Is Guggenheim About to Gain a Hollywood Sibling?
The asset manager's parent is reportedly kicking the tires of a digital media pioneer...
MutualFundWire.com - Tuesday, March 26, 2013 Views
One Mutual Fund Shop Joins the Dell Brawl
WSJ reports that publicity-shy spurred two counter-offers in the battle to buyout Dell. ..
MutualFundWire.com - Tuesday, March 26, 2013 Views
Gus Fleites Teams Up With a 401k Firm
The SSgA and ProShares vet takes over distribution for an ETF-focused retirement plan recordkeeper...
MutualFundWire.com - Monday, March 26, 2012 Views - Reader Rating: 5
J.P. Morgan Supports a New MLP ETF
The giant bank's worldwide securities services unit will handle custody and transfer agency for a new exchange-traded fund...
MutualFundWire.com - Monday, March 26, 2012 Views
An Asset Allocation Specialist Launches a Fund Through Cambridge
The indie B-D's 2,200 plus advisors will distribute a new asset allocation mutual fund...
MutualFundWire.com - Monday, March 26, 2012 Views
National Planning Holdings Taps a Retirement Chief
The new hire will "expand" 401(k) service offerings and "oversee new support programs" for 3,636 advisors. ..
401kWire.com - Monday, March 26, 2012 - Reader Rating: 1
An SSgA Vet is Invest n Retire's new CEO
A West Coast firm brings in a new CEO and changes its focus...
401kWire.com - Monday, March 26, 2012
BofA Merrill Sharpens it Micro Micro 401k Edge
Updated | Mother Merrill's new product banks on startup plans...
401kWire.com - Monday, March 26, 2012 - Reader Rating: 3.67
Hartford Offers Levenson $2 Million Bonus
The insurer tries to convince its wealth management chief to stick around...
MutualFundWire.com - Monday, March 26, 2012 Views - Reader Rating: 5
Fidelity's National Financial Shrugs Off BATS Flap
The Boston Behemoth's National Financial division shrugs off a glitch at one of its trading venues...
MutualFundWire.com - Monday, March 26, 2012 Views - Reader Rating: 5
Shareholders Get a Costly Lesson in VelocityShares ETN Fast Fall
Bloomberg tells a tale of warning about a synthetic ETF that fell 30 percent in a day...
MutualFundWire.com - Monday, March 26, 2012 Views
Leavin' Nuveen: Anson Steps Aside
The former Calpers and Hermes executive is leaving Nuveen next month...
MutualFundWire.com - Friday, March 26, 2010 Views - Reader Rating: 1
A Tale of Two 401k Providers: Fidelity and Putnam
What's new in the 401k industry? March marked Spring for at least one provider as large plan sponsors made some moves. ..
MutualFundWire.com - Friday, March 26, 2010 Views - Reader Rating: 4
Top 40 Advisor: Bruce Gsell
This New Jersey-based Merrill advisor lands on the top 40 DC advisors list for 2009 as one of the ten finalists in the large market...
401kWire.com - Friday, March 26, 2010 - Reader Rating: 3
RPAG Lures an Advisor Away from NRP
A California-based advisory firm with $125 million in AUM has switched to Retirement Plan Advisory Group...
401kWire.com - Friday, March 26, 2010 - Reader Rating: 5
Another Financial DotCom Seeks to Cash in on an IPO
Hard on the heels of Financial Engine's half billion dollar IPO, a second advisory firm files with the SEC for an offering...
401kWire.com - Friday, March 26, 2010
Forbes is Boggled by a Boglehead
An article on Forbes.com declares actively managed funds "obsolete."..
MutualFundWire.com - Friday, March 26, 2010 Views
Participant Fee Disclosure Regs Could Arrive in July
Two Beltway insiders share some legislative and regulatory insight with advisors and providers at the Newport Advisor Conference...
401kWire.com - Friday, March 26, 2010
Islamic Medical Association Taps a Recordkeeper
The Islamic Medical Association of North America appoints a recordkeeper and administrator for its multiple employer program...
401kWire.com - Friday, March 26, 2010 - Reader Rating: 5
NAGDCA Promotes DC in DC
Officials of the Lexington, Kentucky-based trade group sat down with congressional staff and Treasury officials this month...
401kWire.com - Friday, March 26, 2010
A New 401k Advisory Shop Opens Under the LPL Umbrella
A former DailyAccess exec becomes a plan advisor...
401kWire.com - Friday, March 26, 2010 - Reader Rating: 4.84
Advisors to Face-Off in an Industry Smackdown
To raise awareness and generate ideas, a consulting firm is launching a retirement income contest...
401kWire.com - Friday, March 26, 2010
Fidelity Banks on the iPad
The company has spent an undisclosed amount on an iPad ad campaign..
MutualFundWire.com - Friday, March 26, 2010 Views
Oppenheimer Capital Loses Five to TCP
Jerry Thunelius and four colleagues made the jump to TCP...
MutualFundWire.com - Friday, March 26, 2010 Views
Foster Friess Chats with PBS
Investment pro and outspoken conservative voice Foster Friess meets the press..
MutualFundWire.com - Friday, March 26, 2010 Views
Price Tag for a Recent Fund Deal Comes to Light
The price price for a recent deal -- under which two funds changed hands -- has come to light...
MutualFundWire.com - Thursday, March 26, 2009 Views
A DC Vet Says Goodbye to Rogerscasey
A retirement specialists leaves the Connecticut consulting firm...
401kWire.com - Thursday, March 26, 2009
Allegiant Plans to Shut Down a Small Cap Fund
Allegiant plans to liquidate a small cap fund in May, citing the fund's assets and expense structure...
MutualFundWire.com - Thursday, March 26, 2009 Views
MFS Appoints a New Finance Chief
The Boston investment manager turns to a former Putnam exec for the post...
MutualFundWire.com - Thursday, March 26, 2009 Views
Schapiro Wants to Strengthen Money Fund Regulation
The new SEC chief speaks to the Senate...
MutualFundWire.com - Thursday, March 26, 2009 Views
AllianceBernstein's DC I-O Headcount is Back to Where it Started, an Exec Says
A senior executive says the current headcount is the same as what it was in June, when the unit was launched...
401kWire.com - Thursday, March 26, 2009
MassMutual Puts a Putnam Vet In Charge of Taft-Hartley Sales
The Springfield, Massachusetts-based plan provider hires a 13-year Putnam veteran to lead sales in the Taft-Hartley market...
401kWire.com - Thursday, March 26, 2009
NY Times Asks 'What Might Replace the 401k?'
Several familiar faces blog their thoughts on how to improve the DC system...
401kWire.com - Thursday, March 26, 2009
Five Move Up at Great-West, FASCore
Great-West Retirement Services and FASCore have elevated five employees...
401kWire.com - Thursday, March 26, 2009 - Reader Rating: 1
Obama Anoints an EBSA Chief
The industry regulator may soon have new leadership...
401kWire.com - Thursday, March 26, 2009
A Target Date Fund Detractor Worries About Another DC Staple
Several industry insiders gain some ink as a national paper takes on a popular retirement plan investment option...
401kWire.com - Thursday, March 26, 2009
AllianceBernstein Hires a Merrill Alum
The New York investment manager has tapped a Merrill Lynch alum for a senior client relationship management role...
401kWire.com - Thursday, March 26, 2009
A Recent Stock Uptick Results in a Downgrade for Janus
J.P. Morgan has cut its rating on Janus Capital's stock following a recent uptick in the Denver fund firm's share price, MarketWatch reports...
MutualFundWire.com - Thursday, March 26, 2009 Views
Forbes Attacks Active Management Via Bill Miller
The magazine fires another shot in the continued debate over mutual fund management styles...
MutualFundWire.com - Thursday, March 26, 2009 Views - Reader Rating: 1
Putnam Aims to Manage $200 Billion of 401ks
The Boston firm on Wednesday took the wraps off its new defined contribution platform...
MutualFundWire.com - Thursday, March 26, 2009 Views
Thompson Plumb Funds Picks a Chairman
The Madison, Wisconsin-based firm has chosen a chairman of the board...
MutualFundWire.com - Thursday, March 26, 2009 Views
Vanguard 401k Chief, 31 Others to Testify at DoL Fee Hearing
A total of 32 people will voice their views at the two-day hearing on fee disclosure next week...
401kWire.com - Wednesday, March 26, 2008
MassMutual Retirement Sales Chief Departs
One week after the provider unveiled layoffs in its retirement division, a senior executive heads out the door. ..
401kWire.com - Wednesday, March 26, 2008 - Reader Rating: 3.71
Northern Trust Expands its DC I-O Group
The Chicago-based firm has created three new posts within its DC I-O group and is planning client servicing and product enhancements...
401kWire.com - Wednesday, March 26, 2008
Survey: Performance is Still the Bottom Line for Participant Decisions
In spite of the likes of Jack Bogle, new research from an industry consulting firm suggests that employees look to returns, and not fees, when choosing funds in a DC plan. ..
401kWire.com - Wednesday, March 26, 2008
Protesters Bear Witness to Fed Folly
Bear Stearns brokers that are still with the company were treated to an afternoon show today...
MutualFundWire.com - Wednesday, March 26, 2008
SimCorp Taps New President
Fund company vendor SimCorp USA has a new president...
MutualFundWire.com - Wednesday, March 26, 2008 Views
New York Life Establishes a West Coast Beachhead
The Massachusetts-based provider taps one of its own to open its new office in the Golden State. ..
401kWire.com - Wednesday, March 26, 2008
Schwab Adds to Managed Account Platform
Schwab Institutional is targeting advisors with a set of enhancements to its managed accounts platform...
MutualFundWire.com - Wednesday, March 26, 2008
Integrity Names COO
Laura Anderson has been promoted to chief operating officer of the mutual fund division...
MutualFundWire.com - Wednesday, March 26, 2008 Views
Alger Taps a Sales Pro
The New York fund firm has tapped an AXA alum as SVP, director of national accounts...
MutualFundWire.com - Wednesday, March 26, 2008 Views
DWS Scudder to Grow its Collective Trust Menu
The mutual fund arm of Deutsche Asset Management also plans to send fee transparency statements to plan sponsors next month...
401kWire.com - Wednesday, March 26, 2008
JPMorgan Gets into the ETF Biz Unexpectedly
George Gatch and his team at JPMorgan Funds have found themselves in the ETF business...
MutualFundWire.com - Wednesday, March 26, 2008 Views
Being Informed is the Best Weapon for Wholesalers
A new kasina study finds that wholesalers who can help advisors navigate the choppy market can have more profoundly influence over decisions...
MutualFundWire.com - Wednesday, March 26, 2008 Views
Only the Important Stuff, Please
The ICI is advocating a new kind of customer friendly prospectus. This proposed document would highlight all the information fund buyers need and want. The original prospectus would still be part of this model, available online or on paper for investors who want the fine print...
MutualFundWire.com - Monday, March 26, 2007 Views
The ACS Saga Continues ... Slowly
The outsourcing giant gets some outside help of its own to explore its "strategic alternatives", but the fate of its retirement unit is still unknown and probably uncertain. ..
401kWire.com - Monday, March 26, 2007
Fiserving Up Some CIFs
An executive at the custodian talks about the growth of a popular asset class. ..
401kWire.com - Monday, March 26, 2007 - Reader Rating: 4
Time For Another Oppen Sprint
The Big Apple fund firm brings back its seasonal discount. ..
401kWire.com - Monday, March 26, 2007
Mr. President Please Stand Up
William J. Hackett joins Matthews International Capital Management, LLC, as president. He replaces Mark W. Headley who will continue to be Chief Executive Officer of Matthews International Capital Management and was recently appointed President of Matthews Asian Funds. Prior to joining Matthews, Mr. Hackett was a partner with the global investment management practice of Deloitte & Touche, LLP...
MutualFundWire.com - Monday, March 26, 2007 Views - Reader Rating: 1.38
Staying on Top of the DTCC List
A Centennial State clearing firm ranks first for the fourth year in a row. ..
401kWire.com - Monday, March 26, 2007 - Reader Rating: 3.5
Hello Ms. Robinson
Dorothy Robinson has been appointed to the TIAA Board of Trustees. Robinson is currently Vice President and General Counsel of Yale University. She will serve on the Customers and Products Committee and Corporate Governance and Social Responsibility Committee. Welcome, Welcome. ..
MutualFundWire.com - Monday, March 26, 2007 Views
Ziegler Says You're the One to JPMorgan
Ziegler Exchange Traded Trust selects JPMorgan Worldwide Securities Services to provide a full suite of services to help launch the NYSE Arca Tech 100 ETF. JPMorgan was chosen because they offer extensive experience in ETFs. JPMorgan will handle fund accounting, fund administration, transfer agency and custody services for the new ETF. ..
MutualFundWire.com - Monday, March 26, 2007 Views
Commission Cutback
Worried about fairness to clients and keeping regulation off their backs some brokerage firms are slashing commissions on variable annuities. Investment News reports that Wachovia Securities LLC of Richmond, Va., is making changes, and Bank of America Corp.ís brokerage group is said to be making changes. Raymond James Financial Inc. of St. Petersburg, Fla., made changes last year. This all comes in advance of an anticipated move by the NASD to make a new rule on variable annuities..
MutualFundWire.com - Monday, March 26, 2007
The Return of Jean-Marie Eveillard
Jean-Marie Eveillard will resume portfolio management responsibilities for the First Eagle Global, Overseas, Gold, Overseas Variable and US Value Funds. Charles de Vaulx his predecessor has resigned from the firm...
MutualFundWire.com - Monday, March 26, 2007 Views - Reader Rating: 4.5
Lincoln Hires Head Hunters to Help Recruit
Lincoln Financial Network, the retail distribution division of Lincoln Financial Group, says that Dee Morgan and David Taksen have joined the firm's financial planner/advisor recruiting group. Morgan and Taksen will oversee recruitment of experienced financial services representatives. Happy hunting!..
MutualFundWire.com - Monday, March 26, 2007 - Reader Rating: 2.33
Reaching for the Summit
Now that you've won your first Lipper Award, what's next, Summit?..
MutualFundWire.com - Monday, March 26, 2007 Views
Auto-Plan Endgame? Part 2
Is the DB-ization of the DC world taking retirement plans full circle? ..
401kWire.com - Monday, March 26, 2007
Martin Finds a New Dimension
David R. Martin has been named CFO of Dimensional Fund Advisors. Martin hails from Janus where he was executive VP and CFO. He is looking forward to the experience...
MutualFundWire.com - Monday, March 26, 2007 Views
Davis is In
National Investment Managers Inc. has named , John M. Davis as its President. Davis joined the company earlier this year as CFO and will continue with those duties. Davis respects the organization and looks forward to his new duties as president...
MutualFundWire.com - Monday, March 26, 2007 Views
Pershing Conference Brings in the Heavy Hitters
Pershing LLC is set to roll out new developments in global investing and technology, as well as trends shaping the retirement marketplace and advisory industry, during its annual financial products and services conference in Hollywood , Fl. Everyone who's anyone will be there, even Colin Powell, no really he will be there...
MutualFundWire.com - Monday, March 26, 2007 - Reader Rating: 4
CFP Tries To Pacify the Crowd
Certified Financial Planner Board of Standards Inc. has initially not met with much resistance for proposed changes to their ethical standards. But nothing is ever that simple, the commission-oriented side of the business is expected to have a few issues with the proposal. According to the latest draft proposal, the fiduciary responsibility to place a clientís interests first will still not apply to those brokers that are purely commission based, reports Investment News. In the end this will most likely end up as a speed bump, not a sinkhole in the road to approval for the changes...
MutualFundWire.com - Monday, March 26, 2007 - Reader Rating: 4
Can't Take it With You
The SEC is getting close to filing a privacy case against a broker-dealer for using client data in the account transfer process, Investment News reports. They are also investigating other BDs for the same infraction. The firm that is expected to be named in the lawsuit is NEXT Financial Group Inc. of Houston. NEXT is said to be mounting a "spirited" defense.

Other firms that are known to engage in this practice are Merrill Lynch & Co Inc. of New York and Raymond James which allow a departing broker to take customer information...

MutualFundWire.com - Monday, March 26, 2007
The Long and Short of It
Where does the future of mutual funds lie? In the land of the long and short my dear, says Barrons. The test for the funds came on Feb. 27, the day the market saw a steep drop due to the Chinese downturn. The average loss for the was 1.7% that day, in comparison, the S&P 500 fell 3.46%...
MutualFundWire.com - Monday, March 26, 2007 Views - Reader Rating: 3
Deja Vu
Ignites reports on the winners of the Standard & Poor's, BusinessWeek fund rankings. Hmmmmm, where did we see this before? Oh, that's right on MFWire last Friday...
MutualFundWire.com - Monday, March 26, 2007 Views - Reader Rating: 3
ETFspand
ETF are capitalizing on their newfound status as the cool kid in the class with expanded sales efforts. Marketwatch thinks that industry assets are divided about equally between retail investors and financial advisers, and institutional investors including hedge funds. In light of the newfound popularity firms such as Barclays Global Investors and State Street Global Advisors have upped their sales efforts to hedge funds and financial advisers. Even late entry Vanguard has grown its ETF offerings with a new international-stock fund and its first bond ETFs expected to hit the market soon..
MutualFundWire.com - Monday, March 26, 2007 Views - Reader Rating: 3
Dead in the Water
Has the indie board rule taken it's last gasp? Chuck Jaffe thinks so. In Sunday's Fundwatch column, Jaffe says that due to the lack of clear evidence that having an independent chairman would make funds function better or even have prevented the 03' scandals, the SEC has all but dropped the issue. Don't go celebrating in the streets yet though, this is just someone's opinion ..
MutualFundWire.com - Monday, March 26, 2007 Views - Reader Rating: 3
Pentegra May Lose Endorsement
After more than a decade, Pentegra may lose an endorsement from a community banking association...
401kWire.com - Friday, March 26, 2004 - Reader Rating: 2.5
Financial Engines Hits Milestone
FE reportedly hits cash flow break-even point as CEO gains recognition...
401kWire.com - Friday, March 26, 2004 - Reader Rating: 3
West Coast Ed Specialist Names President
Clint Benson steps up as the new president of the Arnerich & Masenna education subsidiary...
401kWire.com - Friday, March 26, 2004
Is Whiston Safe at Janus?
Eliot Spitzer reportedly seeks his head as part of a settlement with Janus...
MutualFundWire.com - Friday, March 26, 2004
Scandals Force Four Fund Managers from U.S. Bancorp
Managers in fund undergoing SEC inquiry depart U.S. Bancorp Asset Management...
MutualFundWire.com - Friday, March 26, 2004 Views - Reader Rating: 3
I-Bank Settlement Funds Put to Good Use
The SEC received approval to spend part of the $1.4 billion global settlement on investor education...
MutualFundWire.com - Friday, March 26, 2004 Views
UMBISG Implements Global Plus
UMB Investment Services Group is up and running with the SunGard trust and custody accounting system...
MutualFundWire.com - Friday, March 26, 2004 Views
Congress Seeks the ABC of Revenue Sharing
Rep. Baker asks the SEC chairman how revenue sharing works and other questions about fund fees. Wants answers by mid-June...
MutualFundWire.com - Wednesday, March 26, 2003 Views
Merrill Revamps SDBA Product
The firm significantly upgrades its self-directed brokerage account program with added flexibility and customization...
401kWire.com - Wednesday, March 26, 2003 - Reader Rating: 4
A National TPA Grows In Tough Market
The Kansas-based provider has delivered consistently high rates of growth even through the rough bear market...
401kWire.com - Wednesday, March 26, 2003 - Reader Rating: 4.78
Blue Sky Firm Names New CEO
The new CEO will take over for Peter Lemay at Automated Business Development...
MutualFundWire.com - Wednesday, March 26, 2003 Views - Reader Rating: 3.5
Morningstar Launches Custom Investment Portfolios
The new Wachovia AdviceTrack program is the first to offer components of the new service...
401kWire.com - Wednesday, March 26, 2003 - Reader Rating: 3.5
Pax World CoFounder Passes Away
Jack Corbett died last week at the age of 82. He led marketing for the first socially screened mutual fund...
MutualFundWire.com - Wednesday, March 26, 2003 Views
STC Adds Performance Monitoring Feature
The trust firm adds the service to its new master custody program for RIAs and suite of TPA products...
401kWire.com - Wednesday, March 26, 2003
Putnam Nabs Delaware Researcher
The hiring is one of a number so far this week on the investment side of the business...
MutualFundWire.com - Wednesday, March 26, 2003 Views - Reader Rating: 4
STC Extends Master Custody to RIAs
The Phoenix-based trust firm is launching a new master custody services platform to further penetrade the RIA market channel...
MutualFundWire.com - Wednesday, March 26, 2003 Views
Sponsors Support House Over Senate
A policy paper from a plan sponsor group outlines why the House 401k reform bill pleases them more than the Senate version...
401kWire.com - Tuesday, March 26, 2002 - Reader Rating: 3
SEI Ties Offerings on Web
The investment firm has a new retirement portal...
401kWire.com - Tuesday, March 26, 2002 - Reader Rating: 3
ICMA Seeks Chief Marketer
The government plan specialist is looking for a replacement CMO. The outgoing exec left for personal reasons...
401kWire.com - Tuesday, March 26, 2002 - Reader Rating: 3
DB Sponsor Chooses SEI
Changes at AGF ... Morgan Stanley Reports ... London Calls to BoNY ... Brandes Heads North ... ING in Brazil. ..
401kWire.com - Tuesday, March 26, 2002 - Reader Rating: 3
Invesco Gets The Premium
Five insurance affiliates drop a number of vendors to bundle with Invesco. ..
401kWire.com - Monday, March 26, 2001 - Reader Rating: 3
Schwab Gives Advice!
The discount broker seeks to change its image as more investors turn to advice. ..
MutualFundWire.com - Monday, March 26, 2001 - Reader Rating: 3
Undiscovered Managers Plans New Fund
After closing two large cap funds, the Dallas firm has another in the works. What gives?..
MutualFundWire.com - Monday, March 26, 2001 - Reader Rating: 3
Another Bank Says Goodbye to Recordkeeping
This time it is a Tennessee-based bank letting go of its recordkeeping business. The winner is UPI...
401kWire.com - Monday, March 26, 2001 - Reader Rating: 3
Berger CEO Plots Firm's Next Move
The Denver boutique's Jack Thompson is strategizing about ways to move out from under its big sib Janus's shadow...
MutualFundWire.com - Monday, March 26, 2001 - Reader Rating: 3
Sponsor Adds Funds, Near Advice
The Midwest manufacturer ups its offerings to twelve and adds Portfolio Planner...
401kWire.com - Monday, March 26, 2001 - Reader Rating: 3
Fasciano Completes Hand-Off
SunBank Adds Securities Services ... Fasciano Completes Hand-Off ... Berkshire Expands Financial Products ... American Century Makes New Investment ... SunGard Makes Low-Ball Play for Bridge..
401kWire.com - Monday, March 26, 2001 - Reader Rating: 3
Fasciano Completes Hand-Off
SunBank Adds Securities Services ... Fasciano Completes Hand-Off ... Berkshire Expands Financial Products ... American Century Makes New Investment ... SunGard Makes Low-Ball Play for Bridge..
MutualFundWire.com - Monday, March 26, 2001 Views - Reader Rating: 3
Tech Fund Managers Keynote California Conference
FirstHand and Robertson Stephens fund managers will headline the Informed Investors Silicon Valley Technology Stock Forum...
MutualFundWire.com - Friday, March 26, 1999 - Reader Rating: 3
Week of March 26, 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 - Friday, March 26, 1999 - Reader Rating: 3
401k Forum Adds to Team
San Francisco, California-based 401k Forum has added two new members to its team, David Peckman, vice president of marketing, told the 401kWire.com...
401kWire.com - Friday, March 26, 1999 - Reader Rating: 3
Norwest Hooks into Architec(k)
Norwest will start testing Architec(k), Wiesenberger's online retirement solution, this month. The vendor will be utilizing account information and planning guidance services as well as a transactional capability...
401kWire.com - Friday, March 26, 1999 - Reader Rating: 3
BISYS Introduces New Fund Inquiry and Trading System
BISYS has introduced a new web-based mutual fund account inquiry and trading system designed to link multiple accounts...
MutualFundWire.com - Friday, March 26, 1999 - Reader Rating: 3
MainStay Reopens Convertible Fund
New York Life's fund family will reopen its Convertible Fund later this month...
MutualFundWire.com - Friday, March 26, 1999 - Reader Rating: 3
Mentor and Evergreen Funds To Merge
First Union Corporation (NYSE: FTU) and EVEREN Capital Corporation (NYSE: EVR) will form an asset management joint venture that would combine the Evergreen mutual fund complex with the Mentor Investment Group...
401kWire.com - Friday, March 26, 1999 - Reader Rating: 3
Odd Lots, March 26, 1999
The Domini fund shows the power of caring, and the money it brings ... Enhanced index funds perhaps not so enhanced ... Fido cuts off too-talky customers...
MutualFundWire.com - Friday, March 26, 1999 - Reader Rating: 3
Petrie Makes Shift in Puerto Rico
Secaucus, NJ-based Petrie Retail, Inc. has changed 401(k) providers for its business in Puerto Rico, Susan R. Welch, vice president of benefits and risk management, told the 401kWire. The plan, with assets close to $1 million, has 324 participants. Petrie made the move from Oriental Trust to American Funds...
401kWire.com - Thursday, March 26, 1998 - Reader Rating: 3
Y2K Makes Its Debut in 401k
This week Towers Perrin admitted to the first documented appearance of the "Year 2000" bug in defined contribution plans. While the consultant reports that this bug is a small issue in the entirety of its business and affects only a handful of clients, the appearance of the Y2K bug raises a number of important issues for the industry...
401kWire.com - Thursday, March 26, 1998 - Reader Rating: 3
Love Boat Weighs Anchor in Wells Fargo Waters
Los Angeles, CA-based Princess Cruises is bundling with Wells Fargo for its $32 million 401(k) plan, according to a report in Defined Contribution News. Former recordkeeper Louis Kravitz & Associates decided to no longer offer daily valuation; Union Bank of California was to take over Kravitz's business. The report states that Wells Fargo could more quickly convert the account. The plan serves 900 participants. For more information on this subject, go to our article "Kravitz Outsource Daily Recordkeeping to Union Bank"...
401kWire.com - Thursday, March 26, 1998 - Reader Rating: 3
Week of March 22, 1998
Wednesday, March 25, 1998. Investor's Business Daily.
David Mutch in "Making Money in Mutuals" discusses the growing trend among sponsors to institute negative elections in their 401(k) plans. Mutch discusses the benefits of 401(k)'s and the importance for participants to diversify. He also mentions that negative elections have the blessing of the IRS but that the DoL has not yet given its full support due to issues of education...

401kWire.com - Thursday, March 26, 1998 - Reader Rating: 3
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