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Schwab Asset Management [view profile

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211 Main Street San Francisco CA 94105 ph: 800-648-5300
http://www.schwab.com - SEC Filings

Fund Profiles

News Stories Archives - Since 1998
KraneShares Wins February With $1.8B The M* team updates U.S. flows data for February 2025 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Thursday, March 27, 2025
A Chi-Town McKinsey Alum Takes Over Firm Strat For an RKer The move comes after the provider added its first CSO last year... 401kWire.com - Thursday, March 27, 2025
Davidson Teams Up With an Emergency Savings Shop A financial wellness specialist is partnering with a firm in the Pacific Northwest... 401kWire.com - Thursday, March 27, 2025
403b Specialists Prepare For a New Holiday A plan sponsor trade group creates a sibling to 401(k) Day... 401kWire.com - Thursday, March 27, 2025
10 Consecutive Years of Positive Flows A publicly traded RKer's reflects on recent growth and looks ahead... 401kWire.com - Thursday, March 27, 2025 - Reader Rating: 2
Two U.S. Fund Firms Expand Across the Pond A Northeastern asset manager and a Southwestern one are both opening new European offices... MutualFundWire.com - Thursday, March 27, 2025
Schwab Pulls Ahead With $10.4B The M* team updates U.S. flows data for February 2024 for money market mutual funds... MutualFundWire.com - Wednesday, March 27, 2024
54 PEPs, $1B In AUA, and Counting FiduciaryxChange marks its 54th registered PEP... 401kWire.com - Wednesday, March 27, 2024
Kais Takes Over an RKer At a 165-Year-Old Insurer Updated \| The new hire's predecessor is shifting within the publicly traded company's senior leadership team... 401kWire.com - Wednesday, March 27, 2024
A 154,000-Plan RKer Will Buy a 27-Year Ally The target provider serves more than 2,300 plans, 65,000 participants, and $3.9 billion in AUA... 401kWire.com - Wednesday, March 27, 2024 - Reader Rating: 5
An Ultra Short Term Fund Turns 20 Within a publicly traded company's asset management arm, an $8.4-billion-AUM team is celebrating a big milestone for one of their mutual funds... MutualFundWire.com - Wednesday, March 27, 2024
"What Does It Mean to Have a Personal Brand?" A Network Celebrates Year One A DC marketing entrepreneur's latest venture reached a big milestone this month... 401kWire.com - Wednesday, March 27, 2024
Passive Inflows Drop $76B, and ... The M* team updates U.S. flows data for February 2023 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Monday, March 27, 2023
At EBRI, a Successor to Lucas Joins There's a new chief on board at a key think tank that does retirement plan research... 401kWire.com - Monday, March 27, 2023
Reish Dismisses Political Theatre of the ESG-in-401k Pendulum An ERISA legal eagle weighs in President Biden's first ever veto... 401kWire.com - Monday, March 27, 2023 - Reader Rating: 5
What's Next For Hancock Retirement Under a New Chief? The RKer's former interim chief will continue to lead strategy and transformation... 401kWire.com - Monday, March 27, 2023
Week In Preview, March 27 - April 2 This week, the teams at Capital Group, DCIIA, ERIC, Fi360, P&I, and WIPN will host events... 401kWire.com - Monday, March 27, 2023
Week In Preview, March 27 - April 2 This week, the teams at IDC, MFDF, and MMI will host events... MutualFundWire.com - Monday, March 27, 2023
DeCamillo Finds Reibel's Successor Updated \| A senior retail distribution leader is joining the Manulife family to take over John Hancock Retirement... 401kWire.com - Monday, March 27, 2023 - Reader Rating: 5
DC I-Os Navigate the Time of COVID-19 Asset managers are adapting to the ongoing coronavirus crisis... 401kWire.com - Friday, March 27, 2020
Two Leaders Rise After a Midwestern Fund Firm's Prez Retired Two other execs rose to SVP, too... MutualFundWire.com - Friday, March 27, 2020
An RKer's Parent Donates 153K Face Masks A publicly traded provider is helping out health care workers in the Garden State as they battle the coronavirus pandemic... 401kWire.com - Friday, March 27, 2020 - Reader Rating: 5
A Kansas KPA Will Lead RAC Updated \| An RIA's chief is now the trade group's new president... 401kWire.com - Friday, March 27, 2020
Some Asset Manager's Parents Are Shielding Jobs Mid-Crisis As the coronavirus pandemic and the related economic slowdown continue, the publicly traded parents of several big fund firms are holding off on some cuts... MutualFundWire.com - Friday, March 27, 2020
Defined Contribution Industry Insiders Smile on the Stimulus Deal Update \| The proposal for stimulating the COVID-19-economy includes many retirement plan-related pieces... 401kWire.com - Friday, March 27, 2020 - Reader Rating: 5
A $3B KPA Team Grows to 13 People and Counting The latest hire is a former NFP advisor, and the team is still on the hunt... 401kWire.com - Wednesday, March 27, 2019
25 Years In, a Religious Fundster Preps ETFs and More Watch for the firm to broaden the reach of one of its non-fund offerings, too... MutualFundWire.com - Wednesday, March 27, 2019 - Reader Rating: 5
Case of the Week: Relief For Delinquent Form 5500-EZ Filers ERISA consultants at the Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs, qualified retirement plans and other types of retirement savings plans, including nonqualified plans, stock options, and Social Security and Medicare. We bring Case of the Week to you to highlight the most relevant topics affecting your business... 401kWire.com - Wednesday, March 27, 2019
GRPF Welcomes a Central Florida Shop The team previously aligned with IFP... 401kWire.com - Wednesday, March 27, 2019 - Reader Rating: 4.98
Neuberger Buys Into a Silicon Valley PE A subsidiary of the Gotham fund firm buys a minority stake in a west coast shop... MutualFundWire.com - Wednesday, March 27, 2019
Transamerica's Zino Hires a 30-Year Principal Vet Transamerica has a new division sales manager for its southeastern division... 401kWire.com - Wednesday, March 27, 2019
An RKing Giant Expands Online Resources for Special Needs Clients Voya Financial has expanded its myOrangeMoney tool to now account for the specific needs of disabled clients including government benefits and other specialized resources... 401kWire.com - Tuesday, March 27, 2018
How Do Pre-Retirees and Retirees Handle Investment Risk? A bundled provider's newest study looks at investment behavior from pre-retirees and retirees to understand what motivates them as retirement gets closer... 401kWire.com - Tuesday, March 27, 2018
Ascensus Moves Forward in Tennessee With a Sixth 2018 Deal The private-equity-backed RKer agrees to acquire a 42-year-old TPA in Nashville... 401kWire.com - Tuesday, March 27, 2018 - Reader Rating: 4.57
Even Vanguard and BlackRock Took a Flows Hit Industrywide active flows swung negative last month, passive inflows dwindled, and money funds swung into positive inflows territory... MutualFundWire.com - Tuesday, March 27, 2018
A Big Blue Vet Takes Over a Mega Market Biz The new hire will lead the company's Human Resources Services (HRS) unit, which includes its defined contribution recordkeeping business... 401kWire.com - Tuesday, March 27, 2018 - Reader Rating: 3.5
Meet the Latest Fund Evaluation Complexities: LUP and LOP M* has thrown yet another potential wrench into the way investors and FAs evaluate actively managed mutual funds and other investment products. Expect questions!.. MutualFundWire.com - Tuesday, March 27, 2018
People Get the Set-It-and-Forget-It Method The chief of the retirement plan recordkeeping side of a publicly traded financial services giant talks about new findings on individual investors' retirement savings sentiments and more... 401kWire.com - Tuesday, March 27, 2018
Arnerich Massena Promotes a 15-Year Industry Vet Three years after joining, an investment consultant rises to senior consultant... 401kWire.com - Monday, March 27, 2017
USC ERISA Plans Remain in Court A judge denies USC's motion to force a retirement fee-related suit into arbitration. .. 401kWire.com - Monday, March 27, 2017 - Reader Rating: 5
Gross and Pimco Bury the Hatchet The fallen bond king and his former firm settle in court, reportedly to the tune of $81 million... MutualFundWire.com - Monday, March 27, 2017
Troy Tarr Officially Joins a KPA Shop The firm welcomes Tarr to assist its business development efforts. .. 401kWire.com - Monday, March 27, 2017 - Reader Rating: 5
An RK Entrepreneur Leaves Newport An SVP is moving on from the PE-backed recordkeeper. .. 401kWire.com - Monday, March 27, 2017 - Reader Rating: 4.46
Ferguson Switches Up Nuveen's Chief The TIAA chief anoints a new leader for his $882B asset management arm as Rob Leary moves on... MutualFundWire.com - Monday, March 27, 2017
18 ETF Shops Double Their AUM, Or Better Nearly one quarter of the ETF issuers in the business increased their assets by at least 100 percent in 2016. And seven of those fast-growing shops have more than $1 billion in AUM... MutualFundWire.com - Monday, March 27, 2017
Bello Hires Three and Searches For Three More The Mutual of Omaha 401(k) sales chief continues to expand his team... 401kWire.com - Friday, March 27, 2015 - Reader Rating: 1.05
A $4.1B 457 Rehires T. Rowe Price A Midwestern state's board of investement decides to rehire its recordkeeper. .. 401kWire.com - Friday, March 27, 2015 - Reader Rating: 4
And the Winners Are ... Empower, Vanguard, and Many More The stars aligned last night in midtown Manhattan for fundsters from 12 shops and other firms... MutualFundWire.com - Friday, March 27, 2015
Can This $1.35B Boutique Crack Multiple Channels? A West Coast mutual fund passes a key milestone after a year spent "building economies of scale.".. MutualFundWire.com - Friday, March 27, 2015
An Illinois RIA Tweaks its Managed Accounts and Adds a Service An RIA headquartered in Chicago just unveiled two new .. 401kWire.com - Friday, March 27, 2015 - Reader Rating: 4
Dimitriou Passes Along the NAPA Crown The trade group names its new chief!.. 401kWire.com - Friday, March 27, 2015 - Reader Rating: 3
March Hires Two Boston-based BridgePoint Group, LLC. hires alumni of Fidelity and Congruent... 401kWire.com - Friday, March 27, 2015
Get Your Russell Bids In Next Week! The LSE has reportedly sent out as many as 70 books to potential buyers for the asset management arm of the consulting and indexing giant. The first-round bidding deaadline is approaching fast... MutualFundWire.com - Friday, March 27, 2015
So Many Advisor Conferences, So Little Time Every which way you turn, someone else is hosting another event to attract retirement plan advisors. This week's column delves into the pros and cons of attending various 401k conferences... 401kWire.com - Thursday, March 27, 2014
Yoerger Hires a MassMutual Sales Vet OneAmerica welcomes a retirement plan wholesaling executive in the Northeast... 401kWire.com - Thursday, March 27, 2014 - Reader Rating: 4.33
Arden's Retail Push Goes Beyond Fidelity Following the billion dollar nod from Fidelity, Arden is going out to other retail investors with a second multi-manager fund... MutualFundWire.com - Thursday, March 27, 2014
Calvert Sexes Up Social Responsibility Executives from the veteran socially responsible investing shop shows off its sexier side at a tony breakfast on the upper West Side... MutualFundWire.com - Thursday, March 27, 2014 - Reader Rating: 4
Two-Thirds of Participants: We're Not Ready ...according to a newly published Pentegra survey. .. 401kWire.com - Thursday, March 27, 2014
An Open-Architecture RKer Quietly Debuts an App An East Coast-based provider gets on the Apple App Store. Google Play on Android is Next... 401kWire.com - Thursday, March 27, 2014 - Reader Rating: 2
Fink Dares to Be More Than a Financial Observer The extremely opinionated chief executive of the world's largest asset manager is willing to affect the phenomena he observes... MutualFundWire.com - Thursday, March 27, 2014
Jackson Adds Three to Am Century DC I-O The DC I-O chief continues to build out his team... 401kWire.com - Wednesday, March 27, 2013 - Reader Rating: 1.67
BlackRock Hires Former Swiss Re CIO Exec will lead BlackRock's European push... MutualFundWire.com - Wednesday, March 27, 2013
Franklin Appoints "Spokesperson" to Advisors Executive will lead firm's outreach to financial advisor community... MutualFundWire.com - Wednesday, March 27, 2013
Retirement Assets Hit New Milestone U.S. assets hit record high at end of 2012 and are up over 44 percent since Financial Crisis low, according to ICI... 401kWire.com - Wednesday, March 27, 2013 - Reader Rating: 1
Northern Lights Names a CEO Fund distributor also names a president... MutualFundWire.com - Wednesday, March 27, 2013 - Reader Rating: 4
MassMutual Anoints a Hartford Sales Exec A wholesaler out west lands a post at his new firm... 401kWire.com - Wednesday, March 27, 2013 - Reader Rating: 1
Vanguard Escalates FTSE Push Fund shifts index tracking of two funds... MutualFundWire.com - Wednesday, March 27, 2013
Participants Go Mobile and Defer More The Principal releases new data about the success of its mobile app for retirement plan participants... 401kWire.com - Wednesday, March 27, 2013
Middle-Aged Americans Aren't Thinking Much About Longevity A new study highlights one of the uphill battles faced by those providing retirement income products... 401kWire.com - Wednesday, March 27, 2013
WSJ Highlights the Auto-Rollover Debate The national pub talks about low-balance participants being pushed out of plans... 401kWire.com - Wednesday, March 27, 2013
FUSE Partners with U.K. Researcher Venture will expand FUSE's European-focused product line... MutualFundWire.com - Wednesday, March 27, 2013
An Asset Manager Hires a Head of Intermediary Sales Exec will lead firm's sales efforts to including wirehouses, regional and independent advisors, registered investment advisors (RIAs), among others... MutualFundWire.com - Wednesday, March 27, 2013
SunGard's Simons Ramps Up Relius' Capabilities The software giant enhances its TPA-focused RKing offering... 401kWire.com - Wednesday, March 27, 2013 - Reader Rating: 1.5
A Wirehouse Seeks a Gatekeeper Exec will manage fund due diligence... MutualFundWire.com - Wednesday, March 27, 2013
A Dreyfus Fund Director Dies An 83-year-old attorney passes away... MutualFundWire.com - Wednesday, March 27, 2013
Allianz Anoints a Global Exec Firm hires Kuwaiti executive with experience in Dutch pensions... MutualFundWire.com - Wednesday, March 27, 2013
PMs Can Find Alpha, Even in Mega-Caps Maybe passive isn't unbeatable... MutualFundWire.com - Wednesday, March 27, 2013
Big Cash Flows Into Leveraged Volatility Funds Barron's and Bloomberg report on three niche products' recent good fortunes... MutualFundWire.com - Wednesday, March 27, 2013
Not All Active PMs Are Losers InvestmentNews reports there is actually a category where they are doing well... MutualFundWire.com - Wednesday, March 27, 2013
What Does 408(b)(2) Mean For Model Portfolios? A collective trust specialist warns advisors about the impact of new fee disclosure regulations... 401kWire.com - Tuesday, March 27, 2012 - Reader Rating: 4
A Michigan Advisor Joins an LPL Shop A retirement plan advisory firm expands into the Midwest for the first time... 401kWire.com - Tuesday, March 27, 2012 - Reader Rating: 1
Hays Expands Aston's Sales Team The mutual fund firm's national sales manager names a company vet to external wholesaling post and looks to add more internals... MutualFundWire.com - Tuesday, March 27, 2012 - Reader Rating: 4
MassMutual Builds a New Edge for Advisors The bundled provider amps up its web presence for retirement plan intermediaries... 401kWire.com - Tuesday, March 27, 2012 - Reader Rating: 3
Pyxis Taps a Fellow Texan for its Natural Resources Fund Pyxis launches a natural resources fund which will invest substantially all of its assets in a master fund managed by Ascendant Advisors... MutualFundWire.com - Tuesday, March 27, 2012
"Mr. Gorman Has the Better Hand" The WSJ ponders whether or not Morgan Stanley will buy out Citigroup's stake in the wirehouse... MutualFundWire.com - Tuesday, March 27, 2012 - Reader Rating: 5
How GoodHaven Relied on a Key Investor With more and more PMs striking out on their own and launching funds, success stories are important to emulate... MutualFundWire.com - Tuesday, March 27, 2012
Transamerica is a Big Loss for Morningstar Joe Mansueto tells Morningstar's workers that the setback will not lead to job cuts at the Chicago-based fund tracker... MutualFundWire.com - Tuesday, March 27, 2012 - Reader Rating: 5
Global X Tries to Track Investing Giants, Via ETFs The Big Apple ETF provider files for four new offerings... MutualFundWire.com - Tuesday, March 27, 2012
FRC Hangs its Shingle Next to That of its New Parent The mutual fund research firm moves its headquarters... MutualFundWire.com - Friday, March 27, 2009
Rydex to Rechristen Several Funds Next Week The investment manager plans to rename nine funds next week... MutualFundWire.com - Friday, March 27, 2009
First American Plans to Merge Two Funds and Tweak Another The Minneapolis-based fund firm plans to merge two funds and alter the investment strategy of another product... MutualFundWire.com - Friday, March 27, 2009
A Retirement Exec Leaves BlackRock BlackRock bids adieu to a DC vet as Bank of America digests Merrill Lynch... 401kWire.com - Friday, March 27, 2009 - Reader Rating: 1
DC Education Specialists Discover a New Partner A financial services database provider aligns with a web-focused vendor in the retirement business... 401kWire.com - Friday, March 27, 2009
A Fund Lion Dies The mutual fund industry says goodbye to one of its retail pioneers... MutualFundWire.com - Friday, March 27, 2009 - Reader Rating: 5
An Insurer Starts Catering to Fee-Based DC Advisors A provider chief explains a strategy shift for the Midwestern firm... 401kWire.com - Friday, March 27, 2009
A Majority of Plan Providers Say They Need More Time to Comply with Schedule C Rules Nearly three-quarters of plan providers need additional time and guidance to comply with the Form 5500 Schedule C requirements, according to a Spark Institute survey... 401kWire.com - Friday, March 27, 2009 - Reader Rating: 2
Paychex Execs Reveal the Market Slump's Impact on Retirement Revenue Though retirement services revenue growth was negatively impacted due to the market downturn, Paychex saw some good news during the quarter. Its retirement services client base grew by 6 percent... 401kWire.com - Friday, March 27, 2009
A Provider Vet Climbs an NRP Firm's Ladder A Boston-based NRP firm elevates a retirement specialist to senior vice president of corporate benefit services... 401kWire.com - Friday, March 27, 2009
DWS Says AufWiedersehen to Three Funds DWS plans to liquidate three funds in June... MutualFundWire.com - Friday, March 27, 2009
Three Fund Shops Seek to Serve Up Toxic Assets on a Closed-End Platter In Friday's WSJ Fund Track, Diya Gullapalli reports that at least three fund firms are planning to offer closed-enders to take advantage of the Treasury's program... MutualFundWire.com - Friday, March 27, 2009
A Star Manager's Team Will Follow Him Out Morgan Stanley's Door Four will head out the door with the star manager when he starts his new firm this spring... MutualFundWire.com - Friday, March 27, 2009
New York Life Names Director of Rollover Strategy The provider has turned to a MassMutual alum for the newly created post... 401kWire.com - Thursday, March 27, 2008
Invesmart Alum Returns to Lead Alliance Benefit John Blossom stays put as the national enterprise brings on a familiar face as its first executive director. .. 401kWire.com - Thursday, March 27, 2008
Paychex Retirement Client Roster Grows 10 Percent The Rochester, New York-based payroll company ended its fiscal third quarter with a longer client list... 401kWire.com - Thursday, March 27, 2008
Bear Bites Back at Brokers who Defected Bear Stearns is not taking its broker defections lightly... MutualFundWire.com - Thursday, March 27, 2008 - Reader Rating: 1.5
PIMCO Makes Spring Promotions PIMCO has promoted a whopping 82 people... MutualFundWire.com - Thursday, March 27, 2008 - Reader Rating: 4
Senate Banking Chair Wants to Chat with Dimon Sen. Christopher Dodd, chairman of the Senate Banking Committee, wants to talk to James Dimon about the Bear Stearns deal... MutualFundWire.com - Thursday, March 27, 2008
Seligman Readies its Fifth Spring Sale The New York firm will waive set-up costs on its 401k product for plans with at least half a million dollars of assets... 401kWire.com - Thursday, March 27, 2008 - Reader Rating: 2
BGI Chooses an Annuity Provider for its DC Product BGI executives have named the annuity provider they will work with for the product they introduced last fall... 401kWire.com - Thursday, March 27, 2008
A Provider Sees Managed Accounts Double and Then Some The managed account unit of a recordkeeper reveals its 2007 growth. .. 401kWire.com - Thursday, March 27, 2008
Ex-Fidelity Worker Claims She is a Protected Whistleblower A former finance director at the Boston Behemoth filed suit last week alleging that the firm retaliated against her after she raised concerns regarding fund profitability methods... MutualFundWire.com - Thursday, March 27, 2008 - Reader Rating: 2
Janus Could Give Executives the Option of a Bigger Payout Janus is asking shareholders to approve a new compensation structure... MutualFundWire.com - Thursday, March 27, 2008
Bears Attack FundTrack David Tice makes gloomy predictions for the market's future... MutualFundWire.com - Thursday, March 27, 2008
Recruiters Recruit From Recruiters An industry executive search veteran changes firms. .. 401kWire.com - Tuesday, March 27, 2007 - Reader Rating: 1
What's Under the Rug? A under the radar proposal by the SEC would require broker-dealers to provide a quarterly notice to customers telling them that they can opt out of a default sweep option and choose another vehicle for their cash reports, Investment News. The practice of sweeping customer cash into low paying bank accounts has begun to cause concern among regulators. If you have any thoughts on the matter the SEC will be open to hearing them until May 18th... MutualFundWire.com - Tuesday, March 27, 2007
Principal Snags West Coast Sales Exec The new vice president will lead consultant relations in the West. .. 401kWire.com - Tuesday, March 27, 2007 - Reader Rating: 4
The Outsiders What makes Transamerica IDEX different from all the other funds out there? Well you won't find out here, read the story!.. MutualFundWire.com - Tuesday, March 27, 2007 - Reader Rating: 4
Lincoln's Retirement Income Group Adds Three The five-month-old retirement income group at Lincoln Financial has gotten three senior-level additions... 401kWire.com - Tuesday, March 27, 2007 - Reader Rating: 5
Hitting the Mark With Target Date Funds A reader provides some guidance for the use of age-based funds. .. 401kWire.com - Tuesday, March 27, 2007 - Reader Rating: 3.5
CitiStreet Alum Picked To Oversee TSP The Federal Retirement Thrift Investment Board has chosen a replacement for Gary Amelio... 401kWire.com - Tuesday, March 27, 2007
Datatrends Away From Its Plan The DoL sues to strip a Centennial State sponsor of trustee and fiduciary status, and hopes to recover lost contributions. .. 401kWire.com - Tuesday, March 27, 2007
Do you XBRL? You Will. So it seems that Vanguard's decision to introduce XBRL is not a publicity stunt, they really need it to stay competitive. Allocation technology, not performance is the next revolution in the fund industry report the good people of funsrsquared.com. What does allocation depend on you ask? Categories and measurements, simply put, data technology, the wave of the future... MutualFundWire.com - Tuesday, March 27, 2007 - Reader Rating: 3.12
In the Black Gary Black is a happy man, or at least he should be. His compensation based on performance, was valued at $10.6 million last year. TheDenverChannel.com reports that this package includes a base salary of $800,000,$3.8 million for achieving certain performance goals, $4 million for the performance of the mutual fund managing company's funds, and $824,694 from the vesting of a mutual fund unit award granted in 2004. Black got this compensation by meeting performance goals In 2006, Janus reported net income of $133.6 million, up from $87.8 million for 2005. Average assets under management rose 7.8 percent to $165.1 billion, and net inflows totaled $2.3 billion for 2006. Way to go Gary... MutualFundWire.com - Tuesday, March 27, 2007
Lone Star State Plan Administrator Secures Contract Renewal The Dallas-based firms has snagged a three-year contract worth $4.7 million... 401kWire.com - Tuesday, March 27, 2007
B Happy It's not often that regulators admit to mistakes, so the two former First Western Advisors' stockbrokers that were charged with fraud in Utah should be thanking their lucky stars. The Salt Lake Tribune reports that charges brought last week by the Utah Securities Division against Brian G. Kasteler and David A. Russon have been cleared of all charges after further investigation. Apparently B-shares aren't so sacary after all... MutualFundWire.com - Tuesday, March 27, 2007 - Reader Rating: 4
The Check's in the Mail It's settled, Beacon Rock, the hedge fund charged with defrauding mutual funds through market timing, will pay $475,000 to settle federal allegations. The Oregonian reports that the settlement is tentatively scheduled for approval April 4... MutualFundWire.com - Tuesday, March 27, 2007
K Training in the Sun A group from Pittsburgh heads west to teach and certify retirement plan advisors. .. 401kWire.com - Tuesday, March 27, 2007
It's Hiring Season Scot Butcher has joined Duff & Phelps as Managing Director in the Business Incentives Advisory practice. Additionally, Thomas Stringer and Michelle Cammarata joined the firm's Business Incentives Advisory practice as Director in the New York office and Vice President in the Boston office, respectively... MutualFundWire.com - Tuesday, March 27, 2007 - Reader Rating: 2.33
A Distant Second You know here at MFWire we were taught that if you don't have anything nice to say, don't say anything at all. So today, Ignites we won't point out that we had the story about ICI recommendations on prospectuses yesterday. Oops, that just slipped out!.. MutualFundWire.com - Tuesday, March 27, 2007
You and Me and Checkfree Checkfree Corporation and Genworth have become partners, with Genworth being chosen to run Checkfree's mutual fund advisory, as well as its separately managed and unified managed account (UMA) offerings. Their symbiotic relationship will allow CheckFree to power portfolio management and monitoring services for Genworth Financial Asset Management's various investment services. By incorporating CheckFree APL into its managed account solutions, Genworth Financial Asset Management can utilize advanced portfolio management capabilities to help financial advisors meet specific client requirements... MutualFundWire.com - Tuesday, March 27, 2007 - Reader Rating: 2.33
All Panned Out Is your fund being "panned"? Morningstar has released their ,list of funds to dump immediately. Among the highlights: 10 ING Principal-protection funds which Morning star thinks is a bad idea to begin with, made worse by ING, also on the list high cost, low return funds (didn't see that one coming)... MutualFundWire.com - Tuesday, March 27, 2007 - Reader Rating: 3
Fee Legislation Coming Fast A beltway insider sheds light on future government action in the retirement space... 401kWire.com - Tuesday, March 27, 2007 - Reader Rating: 4.75
Fee-tastic Are 12b-1 fees about to fade into the sunset? The SEC has put a review of the fees on their agenda for this year. Today's WSJ FundTrack says that the fees were created in the 1980's when the fund industry was struggling to keep it's head above water, due to sustained redemptions. The worry was that if some money was not put into marketing the funds they would soon join the dinosaurs. Most of the mony collected in 12b-1 fees today goes to compensate financial advisers and administrators who help with shareholder services. .. MutualFundWire.com - Tuesday, March 27, 2007 - Reader Rating: 2
Lincoln's Retirement Income Group Adds Three The five-month-old retirement income group at Lincoln Financial has gotten three senior-level additions... MutualFundWire.com - Tuesday, March 27, 2007
Industry Vet Quietly Builds a Retirement Learning Center The Retirement Learning Center keeps a low profile, but that hasn't prevented it from attracting a number of big name clients... 401kWire.com - Monday, March 27, 2006 - Reader Rating: 1.22
Hueler Readies Stable Value Data Site Plan sponsors seeking reliable data on how their stable value manager stacks up will soon have a source... 401kWire.com - Monday, March 27, 2006 - Reader Rating: 4
BP Settles Enron Related 401k Suit A plan sponsor and its investment manager will pay $7 million to settle the havoc Enron wreaked on its 401k... 401kWire.com - Monday, March 27, 2006 - Reader Rating: 4
ICMA-RC Scores DC Contract The public sector provider will administer 457 and 401(k) plans... 401kWire.com - Monday, March 27, 2006
Calvert Taps SVP Calvert has tapped Bennett Freeman as senior vice president for social research and responsibility, a newly created position. He reports to Barbara Krumsiek, president and chief executive of the Bethesda, Maryland-based provider of socially responsible investment products. .. MutualFundWire.com - Monday, March 27, 2006
Future NASD Chief Reassures Industry The NASD is not deaf to complaints from the SIA, and has recommended possible Sarbanes-Oxley exemptions to the SEC, vice president Mary Schapiro told fund industry representatives. .. MutualFundWire.com - Monday, March 27, 2006
Report: Dreyfus Allowed Market Timing by Millenium Dreyfus Corp. executives had reportedly given their blessing in 2002 for hedge fund Millenium Partners to market time its funds. .. MutualFundWire.com - Monday, March 27, 2006
If Gabelli Goes, GAMCO Has Pinch Hitter Having distanced itself from his name, Mario Gabelli's company has eyed a possible interim successor to its founder and chief exec. But even GAMCO wonders where it will be without him. .. MutualFundWire.com - Monday, March 27, 2006
Citi EVP Joins Trust Firm One of the architects of the CitiStreet birth joins a trust firm specializing in NDCC... 401kWire.com - Thursday, March 27, 2003 - Reader Rating: 5
Fund Firms Rank Last in Fee Disclosures Compared with DC providers and brokerage firms, fund firms do not fare well in presenting fee information in investor statements, says this industry report... MutualFundWire.com - Thursday, March 27, 2003
GIS Adds BizDev Exec The firm splits its sales duties in response to its growing customer base... MutualFundWire.com - Thursday, March 27, 2003 - Reader Rating: 4
Study Ranks the Good, Bad & Ugly in Fee Info DALBAR ranks most DC statements as good to very good in terms of fee disclosure, but a minority totally avoids providing such info to participants... 401kWire.com - Thursday, March 27, 2003 - Reader Rating: 4
GoldK Names New COO A former Putnam Investments exec is tapped to lead operations and client services... 401kWire.com - Thursday, March 27, 2003 - Reader Rating: 2
Matrix Teams Up for Asset Managememt Service The Web-based services and account admin solution offers mutual fund model portfolios for broker-dealers, fund firms and RIAs... MutualFundWire.com - Thursday, March 27, 2003
NYLIM Kicks off Fiduciary Ed Service The Bay State Provider aims to help sponsors better understand their role as plan fiduciaries... 401kWire.com - Thursday, March 27, 2003 - Reader Rating: 4
Religious Group Picks New Plan Updated: A conservative Rabbi group consolidates its retirement-plan recordkeeping under one provider... 401kWire.com - Thursday, March 27, 2003
Aloha State Makes 457 Decision Updated: The state picks a new provider, after sticking with the incumbent for some 20 years, for its public-sector plan... 401kWire.com - Thursday, March 27, 2003 - Reader Rating: 4.5
NYLife to Sponsor NAFE Franklin Growth & Income Becomes Capital ... Pru Names New Bond Man. .. 401kWire.com - Wednesday, March 27, 2002 - Reader Rating: 3
DAC Exec Moves to CNA The new firm puts him in a regional sales spot... 401kWire.com - Wednesday, March 27, 2002 - Reader Rating: 3
Clinic Has 401k Checkup Invesco has won a new DC client in Virginia... 401kWire.com - Wednesday, March 27, 2002 - Reader Rating: 3
Fido Creates New Retirement Unit Fidelity Investments Institutional Services Company has announced the formation of its newly intergrated Retirement Business Unit. The unit focuses on small plans sold through intermediaries and currently has $48 million in assets under managment. Donald C. Holborn, executive vice president, will be heading the group. This number includes service to more than 4,200 financial institutions... 401kWire.com - Tuesday, March 27, 2001 - Reader Rating: 3
Monument Seeks Partners The tech boutique is looking for an invitation from the right dance partner after it cuts staff... MutualFundWire.com - Tuesday, March 27, 2001 - Reader Rating: 3
RSIM Taps Montgomery Alum After a dot-com stint, the San Francisco firm brings the marketer back to the fund world... MutualFundWire.com - Tuesday, March 27, 2001 - Reader Rating: 3
SEI Cleans up in 2000 The Pennsylvania-based firm won outsourcing business across the world... 401kWire.com - Tuesday, March 27, 2001 - Reader Rating: 3
North Track Examines ETFs Just after two funds launch, the Midwest firm plots more funds and contemplates ETFs in the future... MutualFundWire.com - Tuesday, March 27, 2001 - Reader Rating: 3
Persumma Nabs One E-service provider finds a client willing to test out its platform... 401kWire.com - Tuesday, March 27, 2001 - Reader Rating: 3
The State of the States The 401kWire.com spoke with Ellyn McColgan, president of Fidelity Investments Tax-Exempt Services, about the trends in the 457 market and how the firm operates in that arena. She spoke at length about how administrators in those plans were looking to the 401(k) market in order to build a better offering for their participants... 401kWire.com - Monday, March 27, 2000 - Reader Rating: 3
Communications Firm and Financial Consultant Merge A technology firm for brokerage houses and mutual fund companies is merging with a strategic financial consultant... MutualFundWire.com - Monday, March 27, 2000 - Reader Rating: 3
Growth Fund Grows in the Desert A new fund is being introduced that invests in Middle-Eastern companies... MutualFundWire.com - Monday, March 27, 2000 - Reader Rating: 3
T. Rowe Offers Total Retirement Outsourcing T. Rowe Price Retirement Plan Services is now offering total retirement outsourcing for defined contribution and defined benefit plans to its plan sponsor clients. In order to provide the DB recordkeeping portion of the service, the firm has forged an alliance with the AAC Group... 401kWire.com - Monday, March 27, 2000 - Reader Rating: 3
A Proven Technique for Building Your Business The first in a monthly column from Martin Baird, president of advisormarketing.com. Using PR and the media to help your business. Who knew?.. MutualFundWire.com - Monday, March 27, 2000 - Reader Rating: 3
Coming Soon: Self-Directed Accounts Apparently self-directed accounts are coming. Plan sponsors and vendors should embrace it and help out as much as they can... 401kWire.com - Monday, March 27, 2000 - Reader Rating: 3
Odd Lots, March 27, 2000 Different strategies at Neuberger and Berman ... MetLife IPO ... ETFs at Vanguard?.. 401kWire.com - Monday, March 27, 2000 - Reader Rating: 3
Odd Lots, March 27, 2000 Different strategies at Neuberger and Berman ... MetLife IPO ... ETFs at Vanguard?.. MutualFundWire.com - Monday, March 27, 2000 - Reader Rating: 3
Skandia Sends EWholesalers on the Road American Skandia is getting its affiliated advisors online one way or the other. The Connecticut firm is sending out a team of EWholesalers to help RIAs with their IT questions... MutualFundWire.com - Monday, March 27, 2000 - Reader Rating: 3
And The Oscar Goes To... Seems like financial service firms are using the Oscar's to advertise. This Cleveland-based bank is no exception... 401kWire.com - Monday, March 27, 2000 - Reader Rating: 3
Weekly Roundup Modernization is Key to Success Modernization. Everyone says state-of-the-art systems are important for success in garnering clients. But is this belief really true? Well, just ask the folks at Firstar Trust. STRATTEC Security replaced Firstar because the sponsor was reportedly unhappy with the level of service it was receiving from its recordkeeper. STRATTEC's complaints ranged from delayed billing to a lack of significant technology. So, out with Firstar, in with Scudder... 401kWire.com - Friday, March 27, 1998 - Reader Rating: 3
STRATTEC Feels Secure with Scudder Milwaukee, WI-based STRATTEC Security has bundled with Scudder for its 401(k) plan that has approximately $13 million in assets and over 550 participants. According to reports, the sponsor was dissatisfied with the services it had been receiving from previous vendor Firstar Trust... 401kWire.com - Friday, March 27, 1998 - Reader Rating: 3

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