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Charles Schwab Investment Management [view profile ]
211 Main Street  San Francisco  CA  94105  ph: 800-648-5300 

http://www.schwab.com  -  SEC Filings
Fund Profiles
News Stories Archives - Since 1998
IRS Offers New Guidance on Hardships
The guidelines were published on Friday and are effective immediately. ..
401kWire.com - Friday, February 24, 2017
Booth Gives Butler a Mandate
Booth talks about his most recent appointee and his role on MoMAís board...
MutualFundWire.com - Friday, February 24, 2017
DeAM's ETF Biz Is Focused on Two Big Opps
The U.S. passive arm of the multinational asset manager added people and product in 2016...
MutualFundWire.com - Friday, February 24, 2017
Vince Morris' RIA is Expanding!
Vince Morris, president of Resources Investment Advisors (RIA) and a Super OSJ organization, servicing 11 independent financial advisory practices that collectively support approximately 68 advisors and $5 billion in client assets, is expanding!..
401kWire.com - Friday, February 24, 2017
Filings for Fundsters - February 24, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Friday, February 24, 2017
Pru's Scott Boyd Hires in the West
Prudential Retirement has named a new vice president of tax-exempt markets. ..
401kWire.com - Friday, February 24, 2017 - Reader Rating: 3.67
Parry on Top at Realigned FIS
Reorganization of the lines of business have Scott Parry leading the way. ..
401kWire.com - Friday, February 24, 2017 - Reader Rating: 3.5
State Officials Ask Senator McConnell to Vote No
A group of state treasurers and governmental officials sent a letter to the Senate to save the safe harbor for state and municipal run retirement plans. ..
401kWire.com - Friday, February 24, 2017
Cammack on Campus
an independent retirement plan consulting and investment advisory firm, has designed a new initiative to give back to their higher-education clients and their student communities...
401kWire.com - Friday, February 24, 2017
The Most Exclusive ETF Club Is About to Double Its Membership ... to Two
A second ETF looks poised to pass the $100-billion mark soon...
MutualFundWire.com - Friday, February 24, 2017
Workers Save No More Than Company Match, Study Says
Millennials ahead in saving..
401kWire.com - Wednesday, February 24, 2016
When Targeting FAs, Here's What Fundsters Want to Know Now
New data from Fuse Research Network highlights how fundsters are changing the way they segment advisors...
MutualFundWire.com - Wednesday, February 24, 2016 Views
A Two-Fund Shop Prepares to Shutter One
A Lone Star State mutual fund shop plans to liquidate a two-year-old fund next month...
MutualFundWire.com - Wednesday, February 24, 2016 Views
Staples Connects With a New Recordkeeper
They are moving their roughly $1.4 billion plan effective this spring. ..
401kWire.com - Wednesday, February 24, 2016 - Reader Rating: 3
T. Rowe is Adding an Integration with SmartDollar
The new program feature hopes to aim plan sponsors. ..
401kWire.com - Wednesday, February 24, 2016
This KPA Shop's Louisville Office Seeks KPAs
A newly-opened, Louisville, Kentucky 401(k) plan advisor (KPA) office is seeks to expand its team...
401kWire.com - Wednesday, February 24, 2016
Hancock Launches New Digital Platform for TPAs
John Hancock Retirement Plan Services looks to generate business opportunities for TPA owners...
401kWire.com - Wednesday, February 24, 2016 - Reader Rating: 1
A Lincoln Vet Okays a SoCal Software Shop
The new hire will serve as VP of marketing and communications ..
401kWire.com - Wednesday, February 24, 2016 - Reader Rating: 5
MassMutual Goes Virtual To Promote Saving For Retirement
MassMutual is promoting saving for retirement with a new video game...
401kWire.com - Wednesday, February 24, 2016
A Silicon Valley 401k Provider for Small Businesses Raises Millions
A modern tech company is targeting startups and small businesses to provide affordable, 401(k) plans...
401kWire.com - Wednesday, February 24, 2016
Gus Sauter: Where Is He Now?
The former Vanguard CIO lends his expertise down under...
MutualFundWire.com - Wednesday, February 24, 2016 Views
A Kansas KPA Joins a Legacy
This 401(k) plan advisor (KPA) in the Sunflower State just joined a Legacy.....
401kWire.com - Tuesday, February 24, 2015
Another ETF Strategist Enters '40 Act Country
A Midwestern manager of tactical models debuts its first mutual fund...
MutualFundWire.com - Tuesday, February 24, 2015 Views
Keep an Eye On Putnam and Three Others
In its predictions for 2015, an industry consulting shop looks into its crystal ball to see which fundsters will win...
MutualFundWire.com - Tuesday, February 24, 2015 Views
The Supreme Court Asks, How Deep Should 401k Fund Monitoring Go?
The Supremes ponder a statute of limitations questions around retail mutual funds selected long ago and kept in since, despite regular due diligence checks...
401kWire.com - Tuesday, February 24, 2015 - Reader Rating: 5
A $67MM 457 Wants Help Consolidating
A city in the Pacific Northwest wants a consultant to help them move to a single recordkeeper...
401kWire.com - Tuesday, February 24, 2015
Natixis Closes In On a $627MM Parisian Deal
The French multinational asset manager enters exclusive talks to buy a nearby shop. Will any of the target's wares make it across the Atlantic?..
MutualFundWire.com - Tuesday, February 24, 2015 Views
Hurry Up and Wait For the DoL
Borzi submits her fiduciary redefinition to the OMB, with the President's backing. But we still don't know the details...
401kWire.com - Tuesday, February 24, 2015 - Reader Rating: 5
DB-Less 401k Sponsors Are Less Likely to Offer Non-Qual Plans
... according to a Towers Watson study looking into non-qualified retirement plans. ..
401kWire.com - Monday, February 24, 2014
Lincoln Trust Brings On An ePlan Vet
The new hire joins the Mile High City-based open architecture RKer's wholesaling team...
401kWire.com - Monday, February 24, 2014
Pioneer's 60 Wholesalers Go to Alts Boot Camp
As his firm embraces liquid alts, chief executive Daniel Kingsbury is launching internal initiatives to turn his 60 sales folk into alternative warriors...
MutualFundWire.com - Monday, February 24, 2014 Views - Reader Rating: 5
An Advisor Pens a 401k Roadmap
Stephen Butler's new book distills over 15 years' worth concepts he's written about as a columnist into 100 pages. ..
401kWire.com - Monday, February 24, 2014
16 Plan Sponsors Try Out Financial Engines' New Tool
The managed account and advice provider discussed the new offering in a call reporting Q4 2013 earnings results, which marginally underperformed analyst expectations. ..
401kWire.com - Monday, February 24, 2014
Healthcare Workers Need a More Personal 403b Touch
Lincoln's new study looks into savings behavior of participants in healthcare organizations' retirement plans. ..
401kWire.com - Monday, February 24, 2014
Pru Offers Up Savings Tips for Participants
...as part of a week-long retirement savings initiative. ..
401kWire.com - Monday, February 24, 2014
Do the Old Guys Have to Go? Really?
The latest example of investing phrenology argues that old funds just don't have the same mojo as the youngins...
MutualFundWire.com - Monday, February 24, 2014 Views
A $33MM Massachusetts RIA Shutters
...as of the end of last year. ..
401kWire.com - Monday, February 24, 2014 - Reader Rating: 2.5
Fidelity and Lord Abbett Win Online Gold
Corporate Insight gives out its 2011 Monitor Awards...
MutualFundWire.com - Friday, February 24, 2012 Views - Reader Rating: 1
iShares Offers International Dividends to ETF Fans
The BlackRock unit launches two new ETFs based on Dow Jones indexes...
MutualFundWire.com - Friday, February 24, 2012 Views
An RKer Boosts its 401k and Puts its DB on Ice
A DC plan provider preps a new employer contribution in light of a pending pension freeze...
401kWire.com - Friday, February 24, 2012
Schlichter Krafts a Back-From-the-Dead Fee Settlement
A jumbo plan sponsor agrees to do an RFP and shell out $9.5 million to end two proposed class action cases...
401kWire.com - Friday, February 24, 2012 - Reader Rating: 5
A Fidelity IPO? You Wish
The Boston Behemoth lands on a new list...
MutualFundWire.com - Friday, February 24, 2012 Views
Royce Limits Access to its Special Equity Fund
The New York City-based mutual fund firm plans to close the $2.6 billion fund to new investors on February 29...
MutualFundWire.com - Friday, February 24, 2012 Views - Reader Rating: 1
An ETF Guru Starts Consulting
The former ETF research chief at BlackRock starts up her own firm...
MutualFundWire.com - Friday, February 24, 2012 Views
How a Boutique Fund Shop is Preparing for its Next Phase of Growth
One of the fastest-growing private companies in the country embarks on initiatives to handle the next stage of growth...
MutualFundWire.com - Thursday, February 24, 2011 Views - Reader Rating: 5
SSgA Rolls Out a Pair of Emerging Market ETFs
The two ETFs started trading on the NYSE Arca today...
MutualFundWire.com - Thursday, February 24, 2011 Views
SageView Expands in Chicago and Kansas City
Randy Long hires two new retirement plan consultants and an account executive in the Midwest...
401kWire.com - Thursday, February 24, 2011
401k Balances Reach a 10-Year High, Says Fido
Sign of the times: Plan participants in Fidelity-recordkept plans reach a 10-year high in their 401(k) balances...
401kWire.com - Thursday, February 24, 2011
Top Advisors: Fred Pieracci
Cape Star Company (RPAG/Financial Telesis)..
401kWire.com - Thursday, February 24, 2011
Top Advisor: Brian Ward
Ward Financial Advisory (Wells Fargo Advisors)..
401kWire.com - Thursday, February 24, 2011 - Reader Rating: 5
Top Advisor: Chris Venuti
Century Financial Group (UBS Institutional Consulting Group) ..
401kWire.com - Thursday, February 24, 2011
UniCredit Awaits Binding Offers for Pioneer
UniCredit's top exec sees offers coming in by March...
MutualFundWire.com - Thursday, February 24, 2011 Views
A Steelpath Mutual Fund Catches the WSJ's Eye
The Thursday edition of the WSJ Fund Track spotlights a $253.9 million MLP muutal fund from Steelpath...
MutualFundWire.com - Thursday, February 24, 2011 Views
Judge Refuses to Toss Out SEC Suit Against the Reserve
A federal judge in Manhattan on Wednesday denied the Reserve's bid to dismiss the suit...
MutualFundWire.com - Wednesday, February 24, 2010 Views
Profits Double at a Boston Asset Manager
The firm earned $51.5 million in the three months ended January, up from $25.3 million in the year-ago period...
MutualFundWire.com - Wednesday, February 24, 2010 Views
Top 40 Advisor: Michael Goss
This Windsor, Connecticut-based RIA lands in the top forty defined contribution advisors of 2009 as one of the ten finalists in the large market...
401kWire.com - Wednesday, February 24, 2010 - Reader Rating: 4.38
Retirement Consultants Say They Saved More than $3 Million for Clients
Officials at a Boston-based RIA trumpet how much their clients saved in operating expenses for 401k, 403b and pension plans...
401kWire.com - Wednesday, February 24, 2010 - Reader Rating: 2
An Advisor is Sentenced to Prison for Swiping Retirement Funds
A Nebraska advisor will spend nine months in prison for stealing nearly $118,000...
401kWire.com - Wednesday, February 24, 2010 - Reader Rating: 4
Two California Fund Firms are Now One
Less than three months after the deal was unveiled, TCW has finished its MetWest purchase...
MutualFundWire.com - Wednesday, February 24, 2010 Views - Reader Rating: 3
CUNA Mutual Unveils a Stable Value Product
Company executives say the offering is fully guaranteed...
401kWire.com - Wednesday, February 24, 2010
Great-West Adds a Midwest Wholesaler
Great-West expands its sales team with the addition of a Hartford alum...
401kWire.com - Wednesday, February 24, 2010
Columbia Makes a Sales Hire in the West
Columbia Management, which is about to become part of Ameriprise, hires a DC wholesaler for the Western region...
401kWire.com - Wednesday, February 24, 2010 - Reader Rating: 2
Allianz Plans Target Date Fund Price Cuts
Allianz Global Investors reportedly plans to lower the expense ratios in the funds by 15 bps...
MutualFundWire.com - Wednesday, February 24, 2010 Views
SEC Lists Effective Date for Money Fund Rules
The commission lists the spring effective date of the money market fund rules...
MutualFundWire.com - Wednesday, February 24, 2010 Views
How Much M&A Will 2010 Bring?
Jefferies makes its 2010 deal predictions for the asset management industry...
MutualFundWire.com - Wednesday, February 24, 2010 Views
ASPPA, Small Business Group Give Connecticut DC Proposal the Thumbs Down
ASPPA, CIKR and the Small Business Council of America are opposing a resurrected proposal to create a state 401(k) plan for small businesses in Connecticut...
401kWire.com - Tuesday, February 24, 2009
In Annual Report, Fidelity Wannabes May Find that Fido's Feat is Tough to Mimic
Compared to 2006, the Boston Behemoth actually increased revenues and operating income even as AUM fell. How did Fidelity pull this off?..
MutualFundWire.com - Tuesday, February 24, 2009 Views - Reader Rating: 5
Despite Staff Reduction, Fidelity Says its DC Business Flourished
Even as it reduced DC-related expenses and staff, Fidelity saw an increase in plans and participants in 2008...
401kWire.com - Tuesday, February 24, 2009 - Reader Rating: 3
Hewitt Research Quantifies 401(k) Balances' Deep Losses
Hewitt released the results of a study today that found that the impact of the recent market collapse on 401(k) balances is far more severe than many employees think...
401kWire.com - Tuesday, February 24, 2009
Bogle to Miller: Mash All DC Into a Unitary Plan
The Vanguard founder and other witnesses advocate various new universal retirement systems in a hearing before the biggest 401k fee disclosure advocate on Capitol Hill...
401kWire.com - Tuesday, February 24, 2009 - Reader Rating: 4
A California Fund Firm Moves Forward on an Acquisition
The company is buying Kensington Funds...
MutualFundWire.com - Tuesday, February 24, 2009 Views - Reader Rating: 5
TIAA-CREF Taps an SEC Alum as Chief Legal Officer
The New York-based 403b giant turns to a SEC alum for the newly created post...
401kWire.com - Tuesday, February 24, 2009
EBRI Chief Set to Talk Target Date Funds With Senate
The witness list comes to light for the second Congressional hearing this week on retirement...
401kWire.com - Tuesday, February 24, 2009
Fidelity Stockholders See Share Value Increase by $85.99
Fidelity employees who hold stock in the company will see their shares gain in value by $85.99 for 2008...
MutualFundWire.com - Tuesday, February 24, 2009 Views - Reader Rating: 4
Phillips Points MStar Toward 'Bigger Picture'
The WSJ follows up on the reorg revealed last week by the fund ratings specialists...
MutualFundWire.com - Tuesday, February 24, 2009 Views - Reader Rating: 5
IXIS Asset Management Group Names US CEO
IXIS Asset Management Group has named Jeremiah Chafkin president and chief executive officer of the firm's US operations, a newly created position. He will report to Peter Voss, president and chief executive officer of the Boston-based firm...
MutualFundWire.com - Friday, February 24, 2006 Views
National Retirement Partners Hires Francis
The ING veteran will work on acquisition strategies and help providers navigate its member network...
401kWire.com - Friday, February 24, 2006 - Reader Rating: 4.88
Smith Barney Offers Legg Mason Mutual Wrap
More products may be selected from the asset management firm, further to last year's Citigroup-LM deal...
MutualFundWire.com - Friday, February 24, 2006 Views
Evergreen Directors to Mull Tender Offer
Wachovia's fund arm is acting to prop up the value of one of its closed-end mutual funds. Evergreen Investments said Friday that it will ask the fund directors to authorize the repurchase of up to 5 percent of the shares of the Evergreen Utilities and High Income Fund...
MutualFundWire.com - Friday, February 24, 2006 Views
Rydex To Add Six ETFs
Rydex Investments is expanding its menu of exchange-traded fund offerings. The Rockville, Maryland-based firm will roll out six ETFs next month...
MutualFundWire.com - Friday, February 24, 2006 Views
DailyAccess Taps National Sales Director
The recordkeeper and plan administrator has signed on a former Columbia Funds executive to head up its sales effort...
401kWire.com - Friday, February 24, 2006 - Reader Rating: 4.27
Illinois Senator Files 401(k) Bill For State Employees
The bill would give participants in all state retirement systems the option to participate in a voluntary, self-managed plan...
401kWire.com - Friday, February 24, 2006
Fidelity Wins One, Loses One at Reuters
The plan sponsor has recently shaken up the investment option lineup in its defined contribution plan...
401kWire.com - Friday, February 24, 2006 - Reader Rating: 2
FRC Study Highlights Opportunities In Small Plan Segment
DC plan flows in the small-business segment could hit over $100 billion if the participation rate grows to 40 percent, says the FRC...
401kWire.com - Friday, February 24, 2006 - Reader Rating: 4
Marsh May Move to Expand Putnam
After months of rumors it will dump its ailing unit, Marsh stirs speculation it will look for acquisitions instead...
MutualFundWire.com - Friday, February 24, 2006 Views
The Advantages of John Hancock
One of the best-known brands in the retirement industry is going away...
401kWire.com - Thursday, February 24, 2005 - Reader Rating: 3
Thrift Savings Plan Dangles Bait, But Who Will Bite?
The recordkeeping contract for the TSP is up for grabs...
401kWire.com - Thursday, February 24, 2005
Kids Get Creative about 401(k)s
Who would have thought that the boring 401(k) could capture kids' imaginations?..
401kWire.com - Thursday, February 24, 2005
Former PwC Partner Honored at NICSA '05
The National Investment Company Service Association (NICSA) took time at its annual meeting in Miami to honor an industry consultant, educator and author. Dr. Lee L. Gremillion picked up the 2005 PricewaterhouseCoopers Award at the event. ..
MutualFundWire.com - Thursday, February 24, 2005 Views
Hewitt Looks to Align Consulting, Outsourcing
Hewitt names two company veterans to top posts in its consulting and outsourcing businesses...
401kWire.com - Thursday, February 24, 2005
AIM Hires Academic to Distribute Settlement Monies
AIM Investments has tapped a University of Minnesota academic to serve as an independent distribution consultant, in line with the firm's final settlement with the SEC. The announcement was made on Tuesday...
MutualFundWire.com - Thursday, February 24, 2005 Views
Schwab Looks to Bank on Equity Ratings
Charles Schwab Investment Management, capitalizing on the success of stock picks in its model equity portfolio, is launching a new fund based on the number one-rated portfolio...
MutualFundWire.com - Thursday, February 24, 2005 Views
Columbia Continues Fund Revamp
Columbia Management Group has announced plans to liquidate two funds and consolidate 13 others...
MutualFundWire.com - Thursday, February 24, 2005 Views
Canada Eliminates Cap: Could be Boon for U.S. Funds
A change in Canadian law may open opportunities for U.S. fund firms. Wednesday the Canadian government dropped a 30-year-old rule that had kept Canadian retirement plans from investing more than 30 percent of their assets outside of Canada. Canadian mutual funds and pension plans manage some C$1 trillion in assets. ..
MutualFundWire.com - Thursday, February 24, 2005 Views
IRS Clarifies Wrap Fee Rules
The Internal Revenue Service is giving wrap accounts a break. The tax agency issued a private letter ruling that would allow IRA account holders to pay fees from assets held outside of the accounts. In the past, wrap providers have been concerned that the IRS would consider such fee payments as contributions. ..
MutualFundWire.com - Thursday, February 24, 2005 Views
ICI Offers Disclosure Suggestions
The agency gives the SEC some suggestions...
MutualFundWire.com - Tuesday, February 24, 2004 - Reader Rating: 4
Rydex Launches 11 New Funds
Maryland-based fund company increases its offerings...
MutualFundWire.com - Tuesday, February 24, 2004 Views
DOL To Launch Investigation Into Plan Administrators
The Employee Benefits Security Administration plans to put plan administrators under a microscope...
401kWire.com - Tuesday, February 24, 2004 - Reader Rating: 4
Goldman Sachs Details Settlement
In an annual report, the firm acknowledged a near $50 million settlment with regulators over improper trading practices...
MutualFundWire.com - Tuesday, February 24, 2004 Views
SEC Charges After Fleet
The Columbia Unit hit with civil charges...
MutualFundWire.com - Tuesday, February 24, 2004 Views
MFS Loses Mandate
Illinois pulls the plug on the embattled fund company...
401kWire.com - Tuesday, February 24, 2004
Canadian Firm Intros New Funds
The newest funds at Accumulus Managment include a core equity fund and a diversified monthly income fund...
MutualFundWire.com - Tuesday, February 24, 2004 Views - Reader Rating: 2.33
Regulators Charge After Fleet
Civil charges filed against Fleet unit...
MutualFundWire.com - Tuesday, February 24, 2004
MetLife Launches New VAs Product
The provider aims to complement retirement savings programs by offering income guarantees and investment flexibility...
401kWire.com - Monday, February 24, 2003 - Reader Rating: 3
Compass Bank Converts to New Plan
The unit of Alabama-based Compass Bancshares closes the search for a 401(k) recordkeeper after its old provider decides to cease service...
401kWire.com - Monday, February 24, 2003 - Reader Rating: 3
Lord Abbett Adds Analyst Pair
The New York City firm has added to equity analysts...
MutualFundWire.com - Monday, February 24, 2003 Views
AIG SunAmerica Fund Services Names Chief
The Jersey City-based firm names a replacement for Peter Sutton...
MutualFundWire.com - Monday, February 24, 2003 Views
PFPC PAR Client Issues RFIs
At least on fund firm is looking at TA alternatives in wake of changes at PFPC...
MutualFundWire.com - Monday, February 24, 2003 Views
GE May Put FGIC on the Block
The reinsurer may be for sale according to a New York paper...
401kWire.com - Monday, February 24, 2003
Training and Staffing Issues
At today's ICI Retirement Plans Conference, industry leaders explored the issues involved in staffing their customer service and call centers...
MutualFundWire.com - Thursday, February 24, 2000 Views - Reader Rating: 3
First American Hires Brinson Manager
A fixed-income portfolio manager has left Brinson Partners to join First American Asset Management...
MutualFundWire.com - Thursday, February 24, 2000 - Reader Rating: 3
Goodshark Swims with Employease
Partnership will allow "goodsharks" access to online account and payroll information...
401kWire.com - Thursday, February 24, 2000 - Reader Rating: 3
Something is Cooking at Nabisco
This New Jersey food and tobacco company is looking at the 401(k) for its spin-off division...
401kWire.com - Thursday, February 24, 2000 - Reader Rating: 3
Online Account Statements
BISYS Fund Services of Little Falls, New Jersey is launching a new product, WebStatements, that is designed to provide mutual fund investors with account statements over the Internet. WebStatements is a part of WebSuite, BISYS's line of Web service for mutual fund firms...
MutualFundWire.com - Thursday, February 24, 2000 - Reader Rating: 3
Odd Lots, February 24, 2000
Lens v. Pioneer, round 2 ... Index mania ... Go abroad, young man...
401kWire.com - Thursday, February 24, 2000 - Reader Rating: 3
Odd Lots, February 24, 2000
Lens v. Pioneer, round 2 ... Index mania ... Go abroad, young man...
MutualFundWire.com - Thursday, February 24, 2000 - Reader Rating: 3
Delaware Creates Consultant Relations Post
Delaware Investments is continuing its recent hiring spreee with the appointment of a new executive to market to consultants...
MutualFundWire.com - Thursday, February 24, 2000 - Reader Rating: 3
INVESCO Hunting Advice
INVESCO is in the finalist stages of entering into an advice alliance for its 401(k) clients, a spokesperson with the firm told the 401kWire.com...
401kWire.com - Thursday, February 24, 2000 - Reader Rating: 3
E*TRADE Walks With Titans
A New Titans Index fund is now part of E*TRADE's growing fund selection...
MutualFundWire.com - Thursday, February 24, 2000 - Reader Rating: 3
UAM Shops Pilgrim Baxter ... Again
Just months after being jilted by Nationwide, Pilgrim Baxter & Associates, Inc., the United Asset Management Corp.-owned asset manager, has retained Goldman Sachs and Allen & Co. to investigate possible distribution partners, a move cementing the talk that UAM is still looking to sell Pilgrim Baxter...
401kWire.com - Wednesday, February 24, 1999 - Reader Rating: 3
UAM Shops Pilgrim Baxter ... Again
Can PBHG find a new bride to step up to the altar and replace Nationwide?..
MutualFundWire.com - Wednesday, February 24, 1999 - Reader Rating: 3
Gabelli Hires Web Help
Gabelli hires a new chief technology officer from S&P's Personal Wealth. Is it looking to upgrade its web-site?..
MutualFundWire.com - Wednesday, February 24, 1999 - Reader Rating: 3
Wiesenberger Names Sales Director for Retirement Products Division
David Young has joined Wiesenberger (Rockville, MD) as its new director of sales for its Retirement Products Division. He had been national accounts sales manager at Standard & Poor's Comstock...
401kWire.com - Wednesday, February 24, 1999 - Reader Rating: 3
Short Takes: Putnam Wins Two
Cerritos, California-located Impco Technologies has chosen Putnam Defined Contribution Services to bundle its 401(k) plan. The plan has $4.65 million in assets...
401kWire.com - Wednesday, February 24, 1999 - Reader Rating: 3
AMCORE to Improve DC Biz
Rockford, Illinois-headquartered AMCORE Investment Group (AIG), a subsidiary of AMCORE Financial, Inc., (Nasdaq: AMFI), has drafted a non-binding letter of intent to purchase Wellmark Capital Value, Inc., a recordkeeper in Des Moines, Iowa. AIG is looking to enhance its 401(k) product...
401kWire.com - Wednesday, February 24, 1999 - Reader Rating: 3
Odd Lots, Feb. 24, 1999
SEC chair Arthur Levitt wants to improve the lot of independent mutual fund directors. And Bogle, Jr. speaks out on Numeric...
MutualFundWire.com - Wednesday, February 24, 1999 - Reader Rating: 3
Schwab's Four Internet Lessons
Schwab co-ceo David Pottruck shares the lessons that the firm has learned since it started electronic trading in 1984. Also, a bonus of five Internet myths...
MutualFundWire.com - Wednesday, February 24, 1999 - Reader Rating: 3
NYC Seeking GIC
New York City Deferred Compensation Program is looking to add a traditional GIC fund to the lineup of its 457 plan, an official with the city told the 401kWire.com. As of December 1, 1998, the plan has $3.4 billion in assets and 91,600 participants...
401kWire.com - Wednesday, February 24, 1999 - Reader Rating: 3
For Tuesday, February 24, 1998
If you have noticed that it is getting more difficult to win investment management services, rest easy, it may not be your fault. Newly released data compiled by Nelson's Information, Inc., a unit of Primedia, reveals that the number of investment management hires by defined contribution sponsors has been plummeting in recent years. Indeed, Nelson's found that there were less than half as many searches in 1997 as compared to 1995...
401kWire.com - Tuesday, February 24, 1998 - Reader Rating: 3
Week of February 22, 1998
Friday, February 27, 1998. San Antonio Business Journal.
In "Government Looking into Whether Fees Are Unfair," Mark M. Little examines the legal complexities facing sponsors and providers when dealing with the DOL. The article explores issues surrounding 12b-1 fees and what exactly constitutes "excessive fees". Little advises sponsors to beat DOL to the punch and to meet with participants and discuss plan costs and expenses.

Friday, February 27, 1998. Times Union.
According to the Albany, NY paper, McDermott Food Brokers, Inc. sued F.P. Kessler Jr. & Associates and New England Mutual Life Insurance Company, the administrators of its employee stock ownership plan and 401(k) plan. The food brokerage company agreed to settle its "malpractice" claim. The IRS declared that McDermott's pensions were declared technically in default. New England Mutual paid a settlement of $150,000. Other defendants will pay $50,000.

Sunday, February 22, 1998. The New York Times.
Jon Christensen in "When a Smorgasbord Replaces a Diet Plate in a 401(k)" reports on American Stores. The article notes that many investment professionals are unhappy with American Stores's new decision to offer 137 new choices through their 401(k)plan. While some believe that such a cornucopia of choices gives individual participants greater independence and power, many argue that it will further confuse employees and cause them to make poor financial decisions...

401kWire.com - Tuesday, February 24, 1998 - Reader Rating: 3
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