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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
People Profiles
41. Robert D. Arnott (2010) 42. John Rogers (2010) 43. Jon Lovelace Jr. (2010)
44. Keith Hartstein (2010) 45. John Donovan (2010) 45. Robert Skinner (2010)
47. David Frederick (2010) 48. Eduardo Repetto (2010) 49. Robert Manning (2010)
50. Jonathan Thomas (2010)

News Stories Archives - Since 1998
How Social Are Asset Managers?
Though many asset managers are adopting social media as a marketing tool, others are hesitant...
MutualFundWire.com - Friday, November 18, 2016 Views
Barbara Delaney Gathers Retirement Execs in Downtown Manhattan
The founder of StoneStreet Advisors brought a couple of executives together to talk about politics...
401kWire.com - Friday, November 18, 2016 - Reader Rating: 1.33
Ascensus Names New RVP
Ivette Dominguez joins the Mid-Atlantic region sales team. ..
401kWire.com - Friday, November 18, 2016 - Reader Rating: 3.5
Filings for Fundsters - November 18, 2016
A compilation of the latest SEC filings!..
MutualFundWire.com - Friday, November 18, 2016 Views
Dallas Judge Hears Sides In DoL Rule Case
The case in Texas court challenges the DoL fiduciary regulations. ..
401kWire.com - Friday, November 18, 2016
Will Trump Put a Fundster Billionaire in the Cabinet?
Word is a top contender for Secretary of Commerce is a famed private equity investor whose firm is owned by a mutual fund shop...
MutualFundWire.com - Friday, November 18, 2016 Views
Invesco Teams Up For a $7B 529 Comeback
The publicly-traded mutual fund shop aligns with a 529 and 401k specialist and wins a $7-billion pair of 529 offerings...
MutualFundWire.com - Wednesday, November 18, 2015 Views
SunGard's Buyer Sails Its $1.3B 401(k) to a New RKer
Who recordkeeps for the recordkeeping software shop?..
401kWire.com - Wednesday, November 18, 2015
Public Pension Posse Pans 401(k)s
What are industry critics saying? ..
401kWire.com - Wednesday, November 18, 2015
A 14-Year LPL Vet Takes a Top Job With Chetney
GRP welcomes a new COO...
401kWire.com - Wednesday, November 18, 2015
Did Schwab Just Dramatically Change Investors' Access to OneSource?
The brokerage giant just reduced minimum initial and subsequent investments on its NTF platform...
MutualFundWire.com - Wednesday, November 18, 2015 Views
Who Has the Best 401(k) in Chicagoland?
The top dog in the Windy City is.....
401kWire.com - Wednesday, November 18, 2015 - Reader Rating: 4.76
Two Midwestern Fund Servicers Combine
Once the deal closes, the duo will service about $30 billion in combined assets...
MutualFundWire.com - Wednesday, November 18, 2015 Views
FeeX Empowers Plan Participants with New Concierge Service
FeeX is allowing investors to take actions on their old 401(k) accounts...
401kWire.com - Wednesday, November 18, 2015
Retail Now Generates Half of Legg Mason's Revenue
Joe Sullivan talks about his mutual fund shop's fiscal Q2 2015 results...
MutualFundWire.com - Tuesday, November 18, 2014 Views
Who Will Lead McKinsey's Asset Management Efforts Here?
Neuberger Berman hires a French Navy veteran who most recently hails from McKinsey...
MutualFundWire.com - Tuesday, November 18, 2014 Views
In Texas, a KPA Aligns With Pensionmark
Troy Hammond and his team welcome their latest affiliate that is based in Texas...
401kWire.com - Tuesday, November 18, 2014
Did the Great Recession Lower The Likelihood Of Americans Retiring On Time?
New research from EBRI shows that Americans are retiring later rather than sooner.....
401kWire.com - Tuesday, November 18, 2014
Auto-Enrollment Or Not? There's a Third Way
An academic teams up with a trade group to research another way of increasing enrollment in 401ks and other DC plans...
401kWire.com - Tuesday, November 18, 2014
Cafaro Greenleaf Welcomes a KPA in Boston
The Red Bank, New Jersey-based boutique shop Cafaro Greenleaf just welcomed a new 401(k) plan advisor (KPA) to the collaborative...
401kWire.com - Tuesday, November 18, 2014 - Reader Rating: 1
Can Cap Group, Fido, Franklin, T. Rowe, Thornburg and Vanguard Keep Up the Pace?
2014 isn't over yet, but if it were, these are the fundsters who might be smiling about their allocation funds. So predicts Morningstar...
MutualFundWire.com - Tuesday, November 18, 2014 Views - Reader Rating: 5
A CEO in Pennsylvania Aligns With LPL
A CEO of a employee benefits division at Duncansville, Pennsylvania-based KPA shop now uses LPL as his B-D.....
401kWire.com - Tuesday, November 18, 2014 - Reader Rating: 1
Franklin Enters the Alts Space
This is just the latest example of a fund giant embracing the alternatives category...
MutualFundWire.com - Monday, November 18, 2013 Views
Mercer's New DC Leader Is in Her Bailey-wick
Mercer filled Toni Brown's vacated position with one of its own. ..
401kWire.com - Monday, November 18, 2013 - Reader Rating: 3.2
Hennessy Is Hungry for More
He is more than peckish for acquiring assets...
MutualFundWire.com - Monday, November 18, 2013 Views
A $105MM 403b Sticks With TIAA-CREF
The higher-education behemoth retained the recordkeeping for a college's DC plan. ..
401kWire.com - Monday, November 18, 2013
52 Percent of Higher Ed Plans Are Single-Provider
A new report by Transamerica looks at the blossoming trend of Higher Education institutions streamlining their retirement plan offerings. ..
401kWire.com - Monday, November 18, 2013 - Reader Rating: 1
Fundsters Get Medieval on the Treasury
The fund industry is preparing to sound the battle charge over the Office of Financial Research...
MutualFundWire.com - Monday, November 18, 2013 Views
Nationwide Bolsters Its Mobile 457 Presence
The provider has enhanced its public retirement websites to for a more user-friendly experience on mobile devices. ..
401kWire.com - Monday, November 18, 2013 - Reader Rating: 3
A Plan Sponsor Fights to Keep a 401(k) Out of a Murderer's Hands
Rosemarie Little named Christopher Jackson a beneficiary to her 401(k) plan. Then he murdered her...
401kWire.com - Monday, November 18, 2013 - Reader Rating: 1
Highland's Ross Revs Up Hiring with a Sales Manager
New exec will lead firm's sales force, which will grow 30 percent next year...
MutualFundWire.com - Monday, November 18, 2013 Views
GAMCO Wins Over a Top Neuberger Alum
New hire will serve as executive vice president, general counsel and secretary...
MutualFundWire.com - Monday, November 18, 2013 Views
Barlow and Bush Dig Deep Into 401k Advisors' Practices
A trio of consultants team up to help advisors better evaluate and understand their own businesses...
401kWire.com - Monday, November 18, 2013 - Reader Rating: 1.5
Dreyfus Loses Another Sales Honcho
Second senior exec in four weeks leaves...
MutualFundWire.com - Monday, November 18, 2013 Views
DiCenso's Whirlwind
Mike DiCenso, MassMutual's newly announced institutional retirement chief, discusses his new role with 401kWire. ..
401kWire.com - Monday, November 18, 2013 - Reader Rating: 2
El-Erian Takes Action
Pimco co-CIO asserts more control over a flagging fund...
MutualFundWire.com - Monday, November 18, 2013 Views
Bros Allegedly Tried to Rob Fido Customers Blind, Online
Two twenty-something suspects are arrested in California...
MutualFundWire.com - Monday, November 18, 2013 Views
Aberdeen Defends Scotland from the Australians
Asset manager wins bidding war and now plans to take on the likes of Pimco and Blackrock, according to the Financial Times...
MutualFundWire.com - Monday, November 18, 2013 Views
Gross, El-Erian Plunge in Worth Ranking
The Pimco execs are down, by a lot, in a ranking of the finance industry's most powerful folk...
MutualFundWire.com - Monday, November 18, 2013 Views
Ned Johnson Broke His Leg
Fido chairman recovering from accident in Asia...
MutualFundWire.com - Monday, November 18, 2013 Views
OPERS "Narrows" its RKer Finalist List
It is also looking for an investment consultant...
401kWire.com - Friday, November 18, 2011 - Reader Rating: 3.5
Cap Group Associates Mourn JL's Passing
The chairman emeritus of Capital Research and Management Company and former chairman of The Capital Group of Companies passed away on Wednesday...
MutualFundWire.com - Friday, November 18, 2011 Views
fi360 Sells
A private equity firm buys the advisor training and tools specialist...
401kWire.com - Friday, November 18, 2011 - Reader Rating: 3.71
Hotchkis & Wiley Gives its Logo and Web Site a Refresh
The Los Angeles-based firm updated its logo and online home as it marked its 10th year as an employee-owned firm...
MutualFundWire.com - Friday, November 18, 2011 Views
An IPO Boosts a DC I-O Effort
An asset manager goes public and plans to invest in its 401k distribution...
401kWire.com - Friday, November 18, 2011
Manning and Napier Barely Climbs on Day 1
The Empire State mutual fund firm IPOs...
MutualFundWire.com - Friday, November 18, 2011 Views
Great-West Brings in a Digital Marketing Pro
Great-West Life & Annuity Insurance Company taps a Janus alum for the post...
401kWire.com - Friday, November 18, 2011 - Reader Rating: 2
A West Coast Shop Preps an RKer Platform
It is targeting the top 15 recordkeepers in the DC space. ..
401kWire.com - Friday, November 18, 2011 - Reader Rating: 2
Is Miller's Exit a 'Tactical Positive' for Legg Mason?
The departure of the fallen star PM gains coverage across numerous newspapers and wire services...
MutualFundWire.com - Friday, November 18, 2011 Views
Who Will Buy Claymore?
Guggenheim's Canadian subsidiary is reportedly drawing interest from local and U.S. buyers...
MutualFundWire.com - Friday, November 18, 2011 Views - Reader Rating: 5
The Price is Low on Manning and Napier's IPO...
After months of waiting, Manning and Napier has priced its initial public offering. The wait did not make the stock more dear, though...
MutualFundWire.com - Friday, November 18, 2011 Views
American Funds' Lovelace Dies
The chairman emeritus of Capital Rsearch and Management Company, which runs American Funds, died on Wednesday...
MutualFundWire.com - Friday, November 18, 2011 Views - Reader Rating: 5
A Fund Firm's Sales Chief is Leaving
The exec plans to depart the company at yearend...
MutualFundWire.com - Thursday, November 18, 2010 Views - Reader Rating: 2
What Types of Products are Advisors Asking For?
Cerulli Associates asked asset managers what they are hearing from advisors...
MutualFundWire.com - Thursday, November 18, 2010 Views
LPL Climbs on Day One
How did godfather of indie B-D fare in its first market day as a publicly-traded company?..
MutualFundWire.com - Thursday, November 18, 2010 Views
A Standard Vet is on Her Way Out
The exec is leaving the firm next year. ..
401kWire.com - Thursday, November 18, 2010
RPAG Wins Over an Ohio Advisor
An institutional consulting chief aligns with the NFP subsidiary...
401kWire.com - Thursday, November 18, 2010
Putnam Boosts DC Operations and Sales
The Boston-based plan provider is looking to grow its operations and sales units...
401kWire.com - Thursday, November 18, 2010 - Reader Rating: 2.5
Seven Pioneer Suitors Meet with UniCredit Bigwigs
UniCredit is said to have held meetings with seven Pioneer suitors about a possible partnership...
MutualFundWire.com - Thursday, November 18, 2010 Views
NRP's Parent-to-Be Goes Public
The debut comes weeks before the merger is expected to close...
401kWire.com - Thursday, November 18, 2010
Many Teachers Don't Have a Plan for their Retirement
New data from the ING Retirement Research Institute shows educators are not up to speed on retirement planning. ..
401kWire.com - Thursday, November 18, 2010
Axa Rosenberg Sees Another Change within its Senior Ranks
Axa Rosenberg bids adieu to a C-level exec...
MutualFundWire.com - Thursday, November 18, 2010 Views
Investors Flee Muni-Bond ETFs
The WSJ picks up on a selling frenzy in the muni-bond ETF market...
MutualFundWire.com - Thursday, November 18, 2010 Views - Reader Rating: 3
Franklin Does Back-to-Back Deals
Franklin Resources unveils two deals in as many days...
MutualFundWire.com - Thursday, November 18, 2010 Views - Reader Rating: 3
Credit Suisse Smiles on ETF Flows
An analyst at the Swiss bank argues that ETFs are gaining ground on mutual funds, in terms of flows...
MutualFundWire.com - Thursday, November 18, 2010 Views
LPL Debuts With a $3.2B Market Cap
The godfather of indie B-Ds will go public this morning, for $30 per share...
MutualFundWire.com - Thursday, November 18, 2010 Views
What's Next in the Schwab YieldPlus Saga?
The brokerage giant heads back to court thanks to a fallen mutual fund and a collapsed settlement deal...
MutualFundWire.com - Thursday, November 18, 2010 Views
Bob Reynolds Gives Props to the Private Sector
Putnam's CEO says the private sector is the engine that drives the economy. ..
MutualFundWire.com - Thursday, November 18, 2010 Views - Reader Rating: 4
Janus Taps an Interim Tech Chief
The Denver fund firm turns to a nine-year company vet for the role...
MutualFundWire.com - Wednesday, November 18, 2009 Views - Reader Rating: 3
A Pair of Pimco Alums Toss their Hat into the Absolute Return Ring
Portland, Oregon-based Harness Investment Management Group launches an absolute return fund...
MutualFundWire.com - Wednesday, November 18, 2009 Views
M&I Tweaks its Sales Strategy
M&I is increasing its focus on third-party sales...
401kWire.com - Wednesday, November 18, 2009
The Standard Adds a 403b Service
In December the Portland, Oregon-based provider will offer a proprietary service to 403b plans...
401kWire.com - Wednesday, November 18, 2009 - Reader Rating: 1
An LPL Firm Plans a New Brand and Targets 403bs
A Boston-based RIA will rechristen itself at the end of the year...
401kWire.com - Wednesday, November 18, 2009
A Manning and Napier Exec Thinks About Guarantees
Manning & Napier Advisors is studying guaranteed income products to see if the retirement product fits into their offerings...
401kWire.com - Wednesday, November 18, 2009 - Reader Rating: 4
Asset Managers are Back in Hiring Mode
A majority of asset management firms are looking to add to their ranks over the next 12 months, Fuse Research Network found...
MutualFundWire.com - Wednesday, November 18, 2009 Views - Reader Rating: 4
Another Target Date Manager Analyzes Target Date Funds
A consulting firm helps plan sponsors evaluate their age-based investment options...
401kWire.com - Wednesday, November 18, 2009
P&I Hunts for a 401k Reporter
A vacancy for a DC reporter opens up following the departure of one reporter and the promotion of another...
401kWire.com - Wednesday, November 18, 2009
Legg Mason Staffers will Rub Elbows with B-Schoolers
Legg Mason employees will be sharing elevators with students of the John Hopkins Business School starting next fall...
MutualFundWire.com - Wednesday, November 18, 2009 Views
Arnott and Co. Land a Patent
Updated | What does this mean for Research Affiliates' rival, WisdomTree?..
MutualFundWire.com - Wednesday, November 18, 2009 Views
IndexIQ Takes Aim At M&A with its New ETF
Rye Brook, New York-based IndexIQ debuts its merger arbitrage ETF on Tuesday, fresh on the heels of launching two hedging ETFs back in October...
MutualFundWire.com - Wednesday, November 18, 2009 Views
Houston Extends His Reach at Principal
The Principal exec is climbing the ranks again, adding a new word to his title at year-end when another top-dog retires...
401kWire.com - Wednesday, November 18, 2009
A New York Asset Manager Will Donate a Slice of its Management Fee
The investment manager will donate a portion of the management fee from its Green Fund to a network of environmental groups...
MutualFundWire.com - Tuesday, November 18, 2008 Views
Schwab Helps TPAs Benchmark Plans
The brokerage giant makes some of its own data available to partners...
401kWire.com - Tuesday, November 18, 2008
TD Reorgs its DC Sales Team
The industry trustodian bids adieu to a DC exec while combining sales efforts with another unit...
401kWire.com - Tuesday, November 18, 2008 - Reader Rating: 5
One Compass Replaces a Sub-Advisor with Three
The Indiana-based investment advisor replaces one sub-advisor with three...
MutualFundWire.com - Tuesday, November 18, 2008 Views
TPA Links More Than 300 Plans to a DC Vendor
A Midwestern firm switches administration and recordkeeping platforms...
401kWire.com - Tuesday, November 18, 2008 - Reader Rating: 3
Bernanke: Money Fund Backstop Begins Next Week
The third Fed facility designed to help money market mutual funds will become operational next week, says the Fed chairman...
MutualFundWire.com - Tuesday, November 18, 2008 Views
One Fund Firm Thanks Shareholders For Low Outflows
A Southern asset manager praises its fund investors and hopes its fund performance will turn over a new leaf soon...
MutualFundWire.com - Tuesday, November 18, 2008 Views
Mellon/Dreyfus Makes Five Funds Founder-less
A seventy-year-old brand will practically disappear next month...
MutualFundWire.com - Tuesday, November 18, 2008 Views
Stowers' Institute Spots a Deal in the Bond Market
The institute started by American Century founder Jim Stowers bought back its own bonds earlier this year...
MutualFundWire.com - Tuesday, November 18, 2008 Views
Philly MLB Office Hosts Fink
The former ICI head to be feted by Morgan, Lewis & Bockius...
MutualFundWire.com - Tuesday, November 18, 2008 Views
Templeton Charity Wins White House Recognition
The John Templeton Foundation wins a National Humanities Medal...
MutualFundWire.com - Tuesday, November 18, 2008 Views
BlackRock Picks Up the Axe for the First Time
The asset manager plans to cut an unspecified number of jobs this week...
MutualFundWire.com - Tuesday, November 18, 2008 Views - Reader Rating: 5
47 Job Cuts Lead Paper's Coverage
Like most papers, The WSJ focuses on the number of jobs unveiled at Putnam yesterday...
MutualFundWire.com - Tuesday, November 18, 2008 Views
Large Pensions See 10.4% October Loss
The largest pension plans have seen their status shift from well-funded to under-funded since the start of the year. October made a bad situation much worse...
401kWire.com - Tuesday, November 18, 2008 - Reader Rating: 5
Senate Pension Bill Includes Dem's Proposals
A Democrat sees his Enron provisions grafted onto the Senate pension bill. Meanwhile, Bush threatens a veto unless changes are made...
401kWire.com - Friday, November 18, 2005
Blog Watch: Talking About Universal 401(k)'s
Don't have time to read blogs? Check in with us to see what they are saying about the retirement industry. This week, a Democrat has new ideas for 401k...
401kWire.com - Friday, November 18, 2005 - Reader Rating: 3
M&I Adds Targets
The plan provider is supplementing its $1.5 billion line-up of asset allocation funds...
401kWire.com - Friday, November 18, 2005 - Reader Rating: 3
Jobs at Fido Hit New High in '05
Happy days must be here again for the fund industry -- the Boston Behemoth is reportedly hiring again. Fidelity Investments has added roughly 3,500 jobs since the start of the year, reports the Boston Herald, one of Fido's hometown papers. The hiring push leaves Fidelity with its highest reported head count ever...
MutualFundWire.com - Friday, November 18, 2005 Views
Lockyer Wins Ed Jones Appeal
The week was not a total loss for California Attorney General Bill Lockyer in his battle against mutual funds. While he lost an initial ruling in his revenue sharing suit against American Funds, he also won an appeal Thursday in his case against Edward Jones & Co...
MutualFundWire.com - Friday, November 18, 2005
Vilar Faces New Complaint
In a new blow to the embattled Amerindo founders, the Securities and Exchange Commission has widened the scope of its allegations against Alberto Vilar and Gary Tanaka...
MutualFundWire.com - Friday, November 18, 2005 Views
Newkirk Adds Booklets Aimed at the Affluent
The new booklets will allow providers to better cross-sell say Newkirk executives...
401kWire.com - Thursday, November 18, 2004 - Reader Rating: 1
CPI Adds Fund
Manarin Investment Counsel has one a spot in the fund lineup offered by CPI Qualified Plan Consultants to plan sponsors...
401kWire.com - Thursday, November 18, 2004 - Reader Rating: 5
Federal TSP Seeks Ed Provider
The Federal Thrift Savings Plan is in need of a vendor to create education materials around its three new lifecycle funds...
401kWire.com - Thursday, November 18, 2004
Investors Pile into Gold ETF
The World Gold Council's streetTRACKS Gold Trust gold-based exchange-traded fund began trading on the New York Stock Exchange on Thursday, as expected last week. The fund closed at $44.38 at the end of the day, with trading at more than six million shares. The fund opened with 2.3 million offered shares...
MutualFundWire.com - Thursday, November 18, 2004 Views
Disney Gives in on 401k Conversion
Walt Disney World workers would have seen their pension dropped in favor of a 401k...
401kWire.com - Thursday, November 18, 2004 - Reader Rating: 4
Pershing Dumps S&P for Morningstar
Bank of New York’s Pershing unit has replaced Standard & Poor data with Morningstar fund research on its brokerage platform, NetExchange Pro. Representatives can now access Morningstar's screening tools, holding data, NASD-compliant fund profiles, and tools that illustrate investment scenarios...
MutualFundWire.com - Thursday, November 18, 2004 Views
Cincy Fund Firm Outsources Distribution
Cincinnati, Ohio-based Summit Mutual Funds is expanding a relationship with U.S. Bancorp Fund Services to outsource more of its operations...
MutualFundWire.com - Thursday, November 18, 2004 Views
Fund Cos Get Fair Value Treatment
Regulatory pressures are not just hitting fund companies. SunGard Investment Management Services is tapping an existing relationship with FT Interactive Data to add a fair value tool to Invest One, the company's mutual fund accounting and reporting software, in response to client demand and market pressure...
MutualFundWire.com - Thursday, November 18, 2004 Views - Reader Rating: 2.33
MFS is Cool as a Cucumber
Exchange traded funds and hedge funds may be popular now, but one mutual fund firm executive does not see success for the products lasting long. Robert Manning, president and chief executive of MFS Investment Management, provided arguments against the fund competitors at an investors conference...
MutualFundWire.com - Thursday, November 18, 2004 Views
SEC Staffs Northeast Office
The SEC has promoted several enforcement officers in its Northeast office. Helene Glotzer, David Rosenfeld and Andrew Calamari were all promoted to associate regional directors in the Northeast regional office’s Enforcement Division...
MutualFundWire.com - Thursday, November 18, 2004 Views
PwC is the Target of 401(k), Cash Balance Suit
PricewaterhouseCoopers is finding itself in hot water in another cash balance-related suit...
401kWire.com - Thursday, November 18, 2004 - Reader Rating: 4
Janus and Putnam are Booted from DC Platform
On Tuesday the two fund firms lost their spots on a platform covering more than 600,000 participants...
401kWire.com - Tuesday, November 18, 2003
No Cash Balance in 2004
It is wait until next year (at least) for the hybrid DB plan...
401kWire.com - Tuesday, November 18, 2003 - Reader Rating: 5
San Fran Firm Adds Asian Fund
The new offering is the seventh in the Asian-focused family...
MutualFundWire.com - Tuesday, November 18, 2003 Views
American Century Expands
New Managers Are Hired..
MutualFundWire.com - Tuesday, November 18, 2003 Views
Income Annuities for Rollovers?
An insurer thinks that income annuities are the way to go. Tailors pitch for plan sponsors in bid to win rollovers...
401kWire.com - Tuesday, November 18, 2003 - Reader Rating: 5
Administrators Voice Opposition to Hard Close
Plan administrators air their case in a letter to the SEC...
401kWire.com - Tuesday, November 18, 2003 - Reader Rating: 5
401Konnect Teams Up With Marketing Firm
Deal to enhance advisor search possibilities...
401kWire.com - Tuesday, November 18, 2003
Pension Fund Fires Putnam
The embattled company loses another billion...
MutualFundWire.com - Tuesday, November 18, 2003 Views - Reader Rating: 5
Fund Scandals Up Standards of Sponsor
The head of one state retirement system is planning to make money managers open up or risk losing their mandates...
401kWire.com - Tuesday, November 18, 2003 - Reader Rating: 5
Donaldson Takes on Critics
The SEC chief fights back against critics who say he was soft on Putnam...
MutualFundWire.com - Tuesday, November 18, 2003 Views
Deal! Two Cos. Sign Fund Adoption Agreement
$4 billion will be turned over to New York-city based asset management firm...
MutualFundWire.com - Tuesday, November 18, 2003 Views
Axe Falls At Janus
The first executive at the Denver fund company feels the effects of the Spitzer probe...
MutualFundWire.com - Tuesday, November 18, 2003 Views
Judge Tosses Providian Class Action
Participants get a month to refile the suit over losses in company stock offered through the 401k...
401kWire.com - Monday, November 18, 2002 - Reader Rating: 3
Study Maps Small Biz Employer-Employee Gap
The Transamerican Center for Retirement Studies releases a study indicating lack of communication between the two groups...
401kWire.com - Monday, November 18, 2002 - Reader Rating: 5
Advisor Battling into the Black
Financial Engines is on the path to positive cash flow and is keeping its relationships with Merrill Lynch clients...
401kWire.com - Monday, November 18, 2002
GoldK Names New CEO
Brian Boyle is relinquishing his CEO title but staying as Chairman...
401kWire.com - Monday, November 18, 2002 - Reader Rating: 1.38
CNA Trust Reworks Its 457 Product
The firm relaunches its 457Custom brand after taking a fresh look at the public-sector deferred comp market...
401kWire.com - Monday, November 18, 2002
Strong Buys More Assets
The Wisconsin firm adds $286 million of assets by picking up a muni-fund from a Boston-based manager...
MutualFundWire.com - Monday, November 18, 2002 Views
Bay State TPA Signs Up With Schwab
The Third Party Administrator taps the Charles Schwab platform to offer a deeper line of retirement services...
401kWire.com - Monday, November 18, 2002
Delaware Turns to Fair Valuation Service
The fund firm is implementing a new pricing service to keep arbitragers at bay...
MutualFundWire.com - Monday, November 18, 2002 Views
Funds Will Lose Share, Says FRC
The researcher says funds will continue to lose market share to investment vehicles with open-architecture...
MutualFundWire.com - Monday, November 18, 2002 Views
Acadian Hires Marketer
Acadian Asset Management has hired a senior VP of marketing, an ex-PanAgora exec...
MutualFundWire.com - Thursday, November 18, 1999 - Reader Rating: 3
DLJ Offers Own Funds
DLJ is kicking off the launch of its new DLJdirect fund family with two actively managed equity funds, a strategic growth and of course a tech fund...
MutualFundWire.com - Thursday, November 18, 1999 - Reader Rating: 3
A Scudder Round-up
Scudder Defined Contribution Services has just announced a ton of RFP wins. These contracts bring a total of more than $104 million in plan assets with 4,600 participants under the firm's penumbra...
401kWire.com - Thursday, November 18, 1999 - Reader Rating: 3
Payroll and 401k Linked Online
Only two years ago, it seemed like the wasteland of the 401(k) industry. Could a vendor survive and thrive in the harsh climate of the small plan arena? For many, the answer was "no". "But the times," Bob Dylan once crooned, "they are a-changin'." More and more firms now believe that the Internet now offers them the opportunity to provide affordable service to small plans...
401kWire.com - Thursday, November 18, 1999 - Reader Rating: 3
Montgomery Management Moves
Montgomery has made several changes in its upper management, boosting the president to CEO and naming a new president and COO...
MutualFundWire.com - Thursday, November 18, 1999 - Reader Rating: 3
Odd Lots, November 18, 1999
No free names ... Putnam continues slide on bond front ... China fund managers optimistic...
MutualFundWire.com - Thursday, November 18, 1999 - Reader Rating: 3
Who are These Guys?
Walk around the exhibit booths at this year's SPARK and one question leaps to mind: Who are all these guys? Fifty-eight exhibitors are listed in the directory (we ran out of time to count the booths by hand). This is a record for SPARK and a miracle in considering that Bob Wuelfing keeps telling everyone that this is a consolidating market...
401kWire.com - Thursday, November 18, 1999 - Reader Rating: 3
Guardian Next to Update Phone Service
Guardian Life of New York, NY is the latest 401(k) plan provider to add a voice activated component to its telephone service for participants. A voice activated phone system allows the participant to access their accounts by speaking key words into the receiver without ever having to touch the keypad. The product will utilize technology from AlTech Language Technologies, Inc...
401kWire.com - Wednesday, November 18, 1998 - Reader Rating: 3
DAC Increases Staff
Mobile, Alabama-headquartered Daily Access Concepts (DAC) has added two new members to its operations department. The two individuals are Charles R. Collins and Susan Eissler. Both will answer to Gregg Wood, vice president of operations...
401kWire.com - Wednesday, November 18, 1998 - Reader Rating: 3
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