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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
5. Andy Sieg (2011) 4. Abby Johnson (2011) 3. Charlie Nelson (2011)
2. Bob Reynolds (2011) 1. Phyllis Borzi (2011)

News Stories Archives - Since 1998
Why He Sold His 23-Year-Old TPA
An entrepreneur talks about the deal and about what's next...
401kWire.com - Tuesday, January 28, 2020 - Reader Rating: 3.33
A Gotham DC I-O Switches to KPA Work
An industry veteran of more than a dozen years recently left a Big Apple asset manager and joined an advisory firm...
401kWire.com - Tuesday, January 28, 2020
Amundi Pioneer and ICI Mourn a Fallen Leader
The retired fundster and lawyer worked with the company for more than half a century, and he spent 42 years on the trade group's board...
MutualFundWire.com - Tuesday, January 28, 2020 Views
A Key Fundster Voice Prepares to Leave
He has led an industry organization for 16 years and will retire at the end of 2020...
MutualFundWire.com - Tuesday, January 28, 2020 Views
Pinto Promotes Three at Pentegra
The execs have each been with the Gotham-area provider for about five years or more...
401kWire.com - Tuesday, January 28, 2020
Five Fund Firms Stand Above the Rest
An investment research giant highlights the five shops that receive its highest rating...
MutualFundWire.com - Tuesday, January 28, 2020 Views
An RKer Wins a BIG Award For Its Participant Portal
The provider is one of 100 companies recognized...
401kWire.com - Tuesday, January 28, 2020 - Reader Rating: 2
A KPA Shop Launches a Financial Wellness University
The program is designed for employers, workers and retirees to increase their financial knowledge...
401kWire.com - Monday, January 28, 2019 - Reader Rating: 5
Active Outflows Dwarf Passive Inflows
M* updates ETF and long-term, open-end mutual fund flows data for December 2018...
MutualFundWire.com - Monday, January 28, 2019 Views
In Texas, an RVP Joins Ascensus
The new hire previously worked with an insurance provider...
401kWire.com - Monday, January 28, 2019 - Reader Rating: 5
A DC I-O PNC Alum Joins a Collective Trust Shop
The new hire is based in Pennsylvania...
401kWire.com - Monday, January 28, 2019
McCarthy Hires a CitiStreet Vet For a Key Role
Meanwhile, the OneAmerica Retirement Services prez is still on the hunt for a large market sales chief...
401kWire.com - Monday, January 28, 2019 - Reader Rating: 2.14
Week In Preview, January 28-February 3
This week the teams at ABC, EBRI, FRA, and NTSA are all hosting events...
401kWire.com - Monday, January 28, 2019
Week In Preview, January 28-February 3
This week the teams at Direxion, FIASI, FSI, IDC, and T3 are all hosting events...
MutualFundWire.com - Monday, January 28, 2019 Views
Spring 2016 Conference Preview
Here's a glimpse of the industry events you might want to squeeze into your calendar in the coming months...
401kWire.com - Thursday, January 28, 2016
NT and Pimco Team Up
Northern Trust Asset Management brings its latest target-date fund to the defined contribution market...
401kWire.com - Thursday, January 28, 2016
Kansas Is Prepping A Consulting RFP
Eventually we will see an RFP searching for a plan consultant. ..
401kWire.com - Thursday, January 28, 2016
Keep an Eye on AB, Guggenheim, and Janus
Neil Bathon and Co. release their 2016 predictions for the mutual fund business...
MutualFundWire.com - Thursday, January 28, 2016 Views - Reader Rating: 5
A Volunteer State RM Joins a DC Consulting Group
The new hire previously served as treasury director and more of Native American Tribe. ..
401kWire.com - Thursday, January 28, 2016 - Reader Rating: 1
Lucas and Musto Will Oversee a DC Trade Group
The group also welcomed five new operating committee members and 22 new executive committee members...
401kWire.com - Thursday, January 28, 2016 - Reader Rating: 4
This Virginia Beach KPA Swims To NFP
NFP Retirement welcomes a new KPA to its Virginia homefront...
401kWire.com - Thursday, January 28, 2016
Pentegra's Swisher Hires a New England Wholesaler
Pentegra Retirement Services welcomes a new regional director...
401kWire.com - Thursday, January 28, 2016 - Reader Rating: 1
MassMutual Scores a Touchdown with a Seminole-area Insurer
With three DC plans in play, MassMutual comes out on top. ..
401kWire.com - Thursday, January 28, 2016 - Reader Rating: 2
Six 403b and 457 Advisors Win in Tucson
The national Tax-deferred Savings Association recognizes six advisors for their outstanding achievements...
401kWire.com - Thursday, January 28, 2016 - Reader Rating: 3.5
Amboian and Schreier Pass the Reins
Two familiar faces will take over Nuveen, "a centerpiece of TIAA-CREF's global asset management business."..
MutualFundWire.com - Thursday, January 28, 2016 Views
What Happens When Index Funds Control Corporate America?
A hedge fund titan, in his mea culpa letter to investors after a rough year, paints a picture of where the passive management business is headed and what it means for the markets...
MutualFundWire.com - Thursday, January 28, 2016 Views
Brightscope's New Look
The ratings and research specialist unveils a new website look with a more up-to-date homepage!..
401kWire.com - Wednesday, January 28, 2015 - Reader Rating: 4.62
This DC I-O Ally Now Offers Retail and RIA Channel Data, Too
A SoCal data specialist is expanding its reporting platform outside its original, 401k stomping ground...
MutualFundWire.com - Wednesday, January 28, 2015 Views
Carroll Hires For Hancock in the Gulf
The insurer's 401k recordkeeping side names a wholesaler to cover Louisiana and Mississippi...
401kWire.com - Wednesday, January 28, 2015
MFS Gains a U.S. Sibling
Sun Life is buying another asset manager south of the border, one that just entered the mutual fund business...
MutualFundWire.com - Wednesday, January 28, 2015 Views
10 KPAs Rise: Who Will Win?
Who will win the NAPA's 2015 401(k) Advisor Leadership Award?..
401kWire.com - Wednesday, January 28, 2015
Transamerica Wins a $26MM 403-457 Client
A Midwestern non-profit hires the insurer's retirement plan recordkeeping arm...
401kWire.com - Wednesday, January 28, 2015
Obama's 529 Fight Fizzles
The President is reportedly dropping his plan to tax college savings accounts' earnings almost as fast as he raised the idea...
MutualFundWire.com - Wednesday, January 28, 2015 Views
Bringing Retail Advisors to 401k: This RIA Has a Plan
A California shop launches a discretionary plan management service for 401k participants to use with their personal financial advisors...
401kWire.com - Tuesday, January 28, 2014 - Reader Rating: 4.5
Invest in the Number 12!
Onion staffers reveal to ETF.com attendees this and other completely truthful money-making insights...
MutualFundWire.com - Tuesday, January 28, 2014 Views
New York Life's App is Winning
...and the firm has a new award to prove it...
401kWire.com - Tuesday, January 28, 2014
Transamerica Nabs RKing for a $242MM 401k Trio
The RKer won over a trio of construction company plans. ..
401kWire.com - Tuesday, January 28, 2014 - Reader Rating: 2
A $150MM Higher-Ed System Chooses ING
A group of six universities in Oklahoma switches to ING U.S. for RKing. ..
401kWire.com - Tuesday, January 28, 2014
RIAs See Room for 401k Growth, and the DoL Can Help
A TD Ameritrade survey shows that there's plenty of room for RIAs to expand their retirement business, and pending regulation could help. ..
401kWire.com - Tuesday, January 28, 2014
Cap Group Hunts For DC Wholesalers
The advisor-sold mutual fund titan is recruiting for two regional internal wholesalers and continues to beef up its DC team. ..
401kWire.com - Tuesday, January 28, 2014 - Reader Rating: 3.5
WSJ Gives Some Props to Alts, Stress on the "Some"
Alts have come a long way baby in the hearts of investors, but they still have farther to go...
MutualFundWire.com - Tuesday, January 28, 2014 Views
Appelstein Preps a Big Distribution Push at RBC
Firm has significantly increased sales staff in a number of areas to increase operations in retail and consultant channels...
MutualFundWire.com - Monday, January 28, 2013 Views
ASPPA Wants MEP Clarification
A letter to Labor and Treasury, the trade group seeks more agency cooperation on multiple employer plans...
401kWire.com - Monday, January 28, 2013 - Reader Rating: 3
Matrix Offers Advisors a "How-To" Guide
The new book published by the financial firm contains pointers on how to navigate the world of fiduciary responsibility. ..
401kWire.com - Monday, January 28, 2013 - Reader Rating: 5
Three Things To Know About Federated's Earnings
The Pittsburgh mutual fund shop is weathering money fund debate nicely...
MutualFundWire.com - Monday, January 28, 2013 Views
ING Brings in a New Large Market Exec
The bundled provider makes a high level hire in its large corporate markets unit...
401kWire.com - Monday, January 28, 2013 - Reader Rating: 2.5
For Five Funds, Vanguard Cuts Fees
The low-cost mutual fund giant also raised expense ratio on one fund...
MutualFundWire.com - Monday, January 28, 2013 Views
Hark! A Key Senator Won't Run Again
The HELP chairman will be leaving the senate after 40 years in Washington...
401kWire.com - Monday, January 28, 2013
Vanguard Wants A Biz Dev Exec
Exec would manage a sales organization within the company...
MutualFundWire.com - Monday, January 28, 2013 Views
A Sponsor With a $70MM Plan Settles a Stock Drop Suit
The lawsuit hit the regional bank in 2010...
401kWire.com - Monday, January 28, 2013
Fidelity Continues Its Attack on Money Fund Reform
In statement to SEC, Boston Behemoth continues the fight against further reforms...
MutualFundWire.com - Monday, January 28, 2013 Views
Daily NAVs Could be Overblown
The publication of daily floating NAVs isn't as huge a deal as it may seem, according to one writer. ..
MutualFundWire.com - Monday, January 28, 2013 Views
InvestmentNews Compares Vanguard to Apple
Both companies have to replace legends. The financial pub tells a tale of two Tims...
MutualFundWire.com - Monday, January 28, 2013 Views
Lord Abbett's Raging Bull Dies
The ex-PM and CIO spent 32 years at the mutual fund shop. He passed away last week...
MutualFundWire.com - Monday, January 28, 2013 Views
Simon Says Goodbye to Pimco
Mortgage debt accounts for largest slice of Total Return Fund...
MutualFundWire.com - Monday, January 28, 2013 Views - Reader Rating: 5
The Vanguard Crew Sails to the Big Apple
Vanguard crew members are in New York City on Friday to mark the launch of a new ETF at the Nasdaq Stock Market...
MutualFundWire.com - Friday, January 28, 2011 Views
Frost Launches an Absolute Return Mutual Fund
The launch brings the total number of retail mutual funds in the Texas firm's lineup to 11...
MutualFundWire.com - Friday, January 28, 2011 Views
Van Eck Brings Down Expense Caps on Two ETFs
The New York firm implemented the change on Wednesday...
MutualFundWire.com - Friday, January 28, 2011 Views
Russell Makes a Wish List for Plan Sponsors
The consultant is giving plan sponsors 11 issues to brood over for 2011...
401kWire.com - Friday, January 28, 2011
Milwaukee Lures a Retirement Plan RIA
A Midwestern advisory firm opens a new branch in Wisconsin...
401kWire.com - Friday, January 28, 2011
RPAG Hooks Up With Another B-D
A Midwestern firm ties into the retirement plan tool provider and network...
401kWire.com - Friday, January 28, 2011 - Reader Rating: 1
PSCA Gives Plan Sponsors Homework
The PSCA is taking plan sponsors back to the classroom...
401kWire.com - Friday, January 28, 2011
Principal Promotes a Wholesaler
A Principal wholesaler in the Northwest moves up...
401kWire.com - Friday, January 28, 2011 - Reader Rating: 1
Putnam Lures Two More Fidelity Vets
The two will join Putnam this summer...
MutualFundWire.com - Friday, January 28, 2011 Views - Reader Rating: 1
Money Market Fund Assets Drop for the Fourth Straight Week
Assets in money market funds are declining for the fourth week in a row...
MutualFundWire.com - Friday, January 28, 2011 Views
The PNC Deal Could Come Next Week. What Will the Price Tag Be?
The PNC deal chatter has hit the mainstream, with The Wall Street Journal reporting Thursday afternoon that a deal could be announced as soon as next week...
MutualFundWire.com - Thursday, January 28, 2010 Views - Reader Rating: 3
Ron Baron Ends His Hunt for a Distribution Head
After a two-and-a-half month search, Baron Capital finds a new chief distribution officer...
MutualFundWire.com - Thursday, January 28, 2010 Views
Wellington's Marketing Maven Moves On
The Boston firm's director of marketing services bids adieu after nearly 20 years at the company...
MutualFundWire.com - Thursday, January 28, 2010 Views - Reader Rating: 5
Alger Unwraps a Long-Short Fund
The New York City-based fund firm rolls out the latest addition to its product roster...
MutualFundWire.com - Thursday, January 28, 2010 Views
Jensen's Chairman Plans His Retirement
Jensen Investment Management chairman and portfolio manager Robert Millen plans to retire early next year. ..
MutualFundWire.com - Thursday, January 28, 2010 Views
Ascensus Harnesses Avatar Talent
Ascensus makes a sales hire in the West...
401kWire.com - Thursday, January 28, 2010 - Reader Rating: 3.5
Judge Cans the Kraft 401k Fee Suit
An Illinois district judge threw out the excessive fee suit against Kraft and Altria...
401kWire.com - Thursday, January 28, 2010 - Reader Rating: 1.5
More than Half of Plan Sponsors Saw Hardship Withdrawals Rise
Towers Watson sheds some light on participant behavior...
401kWire.com - Thursday, January 28, 2010
T. Rowe's Target Dates See Big Inflows
The target-date business at the Baltimore fund company is positively contributing to AUM..
401kWire.com - Thursday, January 28, 2010 - Reader Rating: 4
Guardian Initiates a Cash Balance Program
The insurer introduced a new cash balance plan offering for two variable annuity products..
401kWire.com - Thursday, January 28, 2010
Glynn Expands Commonwealth's Retirement Team
Amy Glynn adds a consulting veteran to her sales force and looks to fill another post...
401kWire.com - Thursday, January 28, 2010
T. Rowe Posts a Big Jump in Q4 Profit
The fourth quarter earnings from the Baltimore bank were revealed Thursday, showing a jump in AUM...
MutualFundWire.com - Thursday, January 28, 2010 Views
Waddell Netted Over $9 Billion in Flows in 2009
The Midwestern mutual fund firm reports earnings that barely missed expectations...
MutualFundWire.com - Thursday, January 28, 2010 Views - Reader Rating: 5
Janus' Q4 Net Soars by More than 300 Percent
The Denver fund firm, which will have a new CEO this coming Monday, saw its fourth quarter earnings soar...
MutualFundWire.com - Thursday, January 28, 2010 Views
The Fed Takes Away Money Fund Carrots as the SEC Brandishes the Stick
The central bank prepares to shut down two money market fund support programs next week, as planned...
MutualFundWire.com - Thursday, January 28, 2010 Views
A Bank Exec Makes a Vertical Move
The former head of Union Bank of California's 401k business will head up a new retirement-focused firm...
401kWire.com - Wednesday, January 28, 2009 - Reader Rating: 2.67
Russell Preps the Ax
Will the DC unit at the Tacoma, Washington-based investment manager survive the year unscathed?..
401kWire.com - Wednesday, January 28, 2009 - Reader Rating: 2
Russell is 'Not Immune,' Prepares to Slim Down
The West Coast investment manager will eliminate about 20 percent of its staff by the end of 2009...
MutualFundWire.com - Wednesday, January 28, 2009 Views - Reader Rating: 4
Franklin's Earnings Slide 77 Percent
The San Mateo, California-based investment manager saw its AUM fall 18 percent from end-September and 35 percent from end-2007...
MutualFundWire.com - Wednesday, January 28, 2009 Views - Reader Rating: 4
A Plan Sponsor Sedates its 403b Match
A Tennessee non profit is among the latest to suspend its match in an effort to cut down on costs...
401kWire.com - Wednesday, January 28, 2009
Fidelity Reveals the State of 401k
The Boston Behemoth on Wednesday released numbers on plan participant activity during 2008. ..
401kWire.com - Wednesday, January 28, 2009 - Reader Rating: 3.5
Liquidations and Money Fund Woes Cost Wachovia Over $1 Billion
The final earnings report from the freshly acquired bank provides a glimpse of the impact of changes at its asset management subsidiary...
MutualFundWire.com - Wednesday, January 28, 2009 Views
Legg Mason Chalks Up its Fourth Straight Loss
The Baltimore firm posted a $1.5 billion loss in its fiscal third quarter...
MutualFundWire.com - Wednesday, January 28, 2009 Views
ICI: Get Your Weekly Fund Data While It's Fresh!
The mutual fund trade group unveils a regular report for those more interested in the non-money market side of the business...
MutualFundWire.com - Wednesday, January 28, 2009 Views
Does a New ETF Pose a Challenge to WisdomTree?
IndexUniverse raises that question in its report on one startup's latest offering...
MutualFundWire.com - Wednesday, January 28, 2009 Views
Calamos Posts a $26 Million Loss
The Naperville, Illinois-based fund firm, which cut 12 percent of its workforce earlier this month, recorded a $26 million loss for fourth quarter...
MutualFundWire.com - Wednesday, January 28, 2009 Views
Integrity Adds Educational Extras to its Website
The Minot, North Dakota-based fund firm has souped up its website...
MutualFundWire.com - Monday, January 28, 2008 Views
Richardson Sees a Bright 08 For Dwight, Stable Value
Insiders see opportunity on the horizon. ..
401kWire.com - Monday, January 28, 2008
Dechert Adds an M&A Vet to its Roster
Dechert has tapped Drake Tempest as partner in the corporate and securities group...
MutualFundWire.com - Monday, January 28, 2008 Views
DWS Scudder Hires Four for Distribution Team
The new recruits join DWS Scudder's financial advisor division...
MutualFundWire.com - Monday, January 28, 2008 Views
ICI Gives ETF Shops a Greater Voice
The Investment Company Institute is making ETFs a priority...
MutualFundWire.com - Monday, January 28, 2008 Views - Reader Rating: 1.5
Transamerica Puts the i in TPA
The Los Angeles-based provider pays homage to Steve Jobs with its new product...
401kWire.com - Monday, January 28, 2008 - Reader Rating: 3.33
State Street Puts a Back Office Win in the books
State Street's back-office division has won a new mandate...
MutualFundWire.com - Monday, January 28, 2008 Views
Chicago Merc Confirms its Courtship of NYMEX
Months after closing on its acquisition of the Chicago Board of Trade, the Chicago Mercantile Exchange seems poised to pick up another exchange...
MutualFundWire.com - Monday, January 28, 2008
Raymond James Rewards No. 1 Recruiter
Raymond James has promoted a company veteran to regional director of business development for the midwest, Ohio Valley and Mid-Atlantic regions of Raymond James Financial Services...
MutualFundWire.com - Monday, January 28, 2008
Sun Life RSI Picks a New Beantown Home
Sun Life's Retirement Services Inc., which is in the process of being acquired by The Hartford, is moving to new offices this spring...
401kWire.com - Monday, January 28, 2008 - Reader Rating: 2
NRP Moves Into Florida
A retirement plan advisory firm working with almost $1 billion in assets just switched to the Capistrano Beach, California-based firm's BD. ..
401kWire.com - Monday, January 28, 2008 - Reader Rating: 3
Nachmany Gets D.C. Exposure
Strategic Insight's Avi Nachmany managed to reach Washington politicos over the weekend...
MutualFundWire.com - Monday, January 28, 2008 Views
Jaffe Advises Taking a Fine-Toothed Comb to Annual Reports
Investors may actually be taking a look at fund company's annual reports, thanks to Chuck Jaffe...
MutualFundWire.com - Monday, January 28, 2008 Views
AIM Smells an Opportunity in Volatility
The volatility in foreign markets have prompted officials at AIM Investments to reopen the AIM European Small Company Fund...
MutualFundWire.com - Monday, January 28, 2008 Views
Merrill's Brokerage Arm Reportedly Won't Escape the Knife
Merrill FAs who tuned into CNBC Monday morning may have felt a churn in their stomach as the business network reported that Bob McCann is planning "major cuts" in the unit...
MutualFundWire.com - Monday, January 28, 2008
Primecap Goes Live with Fund Website
Primecap's own three-fund family has a website up and running. While the site is obviously intended for prospective fund investors, the site also gives the firm's watchers some fodder...
MutualFundWire.com - Friday, January 28, 2005 Views
M&A Talk is Ticking Up
A block of 600,000 participants may soon be changing hands, say industry insiders. The deal could be the fourth this year after just 11 in all of 2004...
401kWire.com - Friday, January 28, 2005 - Reader Rating: 3.5
Will the Bottom Fall out of the PNC-Riggs Deal?
Riggs' book of business could be back on the block...
401kWire.com - Friday, January 28, 2005 - Reader Rating: 3
Bisys Retirement Humming Along
The firm's retirement services unit sees a slight uptick in operating margins...
401kWire.com - Friday, January 28, 2005 - Reader Rating: 3
NASD Lets Franklin off the Hook
Regulators up North, however, are not being as forgiving...
401kWire.com - Friday, January 28, 2005
NASD Lets Franklin off the Hook
The San Mateo, California-based fund firm is still being investigated by regulators up North, however...
MutualFundWire.com - Friday, January 28, 2005 Views - Reader Rating: 4.33
Cohen & Steers' Fund Starts Trading
Cohen & Steers' Dividend Majors Fund started trading on the NYSE on Thursday under the ticker "DVM." The firm raised approximately $236 million through the offering...
MutualFundWire.com - Friday, January 28, 2005 Views
Calamos Adds Indy Directors
Publicly-trade Calamos Asset Management has named G. Bradford Bulkley and Richard W. Gilbert as independent directors of its board. The two will serve on audit, compensation, nominating and corporate governance committees...
MutualFundWire.com - Friday, January 28, 2005 Views
It's My American Century
American Century Investments has settled a lawsuit against American Century Mortgage Corp., a fellow Kansas City company, for trademark-infringement, reports the Kansas City Business Journal. As a result of the suit, ACMC will have to change its name...
MutualFundWire.com - Friday, January 28, 2005 Views
DoL Enlists Auditors to Better Ensure Timely Deposits
Agency places auditors in charge of making sure that sponsors deposit 401k plan funds on time...
401kWire.com - Wednesday, January 28, 2004 - Reader Rating: 4
Want to Learn About the Fund Industry?
NICSA will be offering college grads a way to go to the classroom to add to their skills...
MutualFundWire.com - Wednesday, January 28, 2004 Views
Profits Are Up at Marsh
Business is good despite scandal...
MutualFundWire.com - Wednesday, January 28, 2004 Views
Fund Probe Goes International
Canadian Bank tied to Enron said to be cooperating with the Spitzer's office in latest twist of the fund probe...
MutualFundWire.com - Wednesday, January 28, 2004 Views
Fund Execs Are Missing the Point
A look at how did papers around the country covered the Senate hearing on the mutual fund industry yesterday...
MutualFundWire.com - Wednesday, January 28, 2004 - Reader Rating: 3.5
Putnam To Slash Fees By $35 Million
In another effort to repair its rep, the fund company announces a number of new disclosure policies...
MutualFundWire.com - Wednesday, January 28, 2004 Views
Alabama Bank Recruits New Retirement Head
The regional player has tapped a new executive for its restructured retirement business...
401kWire.com - Tuesday, January 28, 2003 - Reader Rating: 2
Evergreen Discovers Three New Funds
The Wachovia fund arm has purchased three funds from a Dallas-based complex...
MutualFundWire.com - Tuesday, January 28, 2003 Views
CD-Maker Pops in Fidelity
The Boston Behemoth takes a Key client away from Principal...
401kWire.com - Tuesday, January 28, 2003
Cambridge Selects SMA Partner
The broker-dealer has tapped a partner to offer managed accounts for its 550 reps...
MutualFundWire.com - Tuesday, January 28, 2003 Views - Reader Rating: 2
Ohio Bank to Select Outsourcer Today
The regional bank will pick from two finalists for its new small plan product...
401kWire.com - Tuesday, January 28, 2003 - Reader Rating: 3.33
Former Invesco CEO Dies of Injuries
The industry has lost part of its collective intellect with the passing of 37-year industry veteran Dan Hesser...
MutualFundWire.com - Tuesday, January 28, 2003 Views - Reader Rating: 5
Pitt-bull Will Not Let Go
Just a week after forcing proxy vote disclosure, the SEC is readying new rules that would require firms to hire a CCO. And that is not the end...
MutualFundWire.com - Tuesday, January 28, 2003 Views
Palmer & Cay Opens Houston Office
The benefits consulting firm expands its national reach with new office, new hires...
401kWire.com - Tuesday, January 28, 2003 - Reader Rating: 2
Another Beantown Firm Mulls R-Shares
No, it is not Putnam. A second Boston giant is looking into launching the share class, with financial advisors and TPAs in mind...
401kWire.com - Tuesday, January 28, 2003 - Reader Rating: 4.5
Will Global Crossing Add to Co Stock Debate?
Global Crossing filed Chapter 11 today. One-third of the plan was in company stock at the start of the year...
401kWire.com - Monday, January 28, 2002 - Reader Rating: 3
Latest Investor Tool from Morningstar
The Chicago firm has a new service to help clients assess portfolio risk...
MutualFundWire.com - Monday, January 28, 2002 Views - Reader Rating: 3
PSCA Eligibility Survey
Who's Eligible to Save? ... Federated Consolidates Funds ... Enron Workers of the World Unite...
MutualFundWire.com - Monday, January 28, 2002 Views - Reader Rating: 3
401k Providers Must Join the Debate
The winds of change are growing, and the 401k industry needs to react to them now...
401kWire.com - Monday, January 28, 2002 - Reader Rating: 3
PSCA Eligibility Survey
Who's Eligible to Save? ... Federated Consolidates Funds ... Enron Workers of the World Unite...
401kWire.com - Monday, January 28, 2002 - Reader Rating: 3
On the Bisys Team
There is new face in the executive suite at Bisys...
MutualFundWire.com - Monday, January 28, 2002 Views - Reader Rating: 3
Advice Wanted
A 457 plan is seeking the service...
401kWire.com - Monday, January 28, 2002 - Reader Rating: 3
BB&T Makes a Buy
BB&T purchases a Virginia brokerage firm...
MutualFundWire.com - Monday, January 28, 2002 Views - Reader Rating: 3
Co Stock Legislation is in the Cards
President Bush will address the issues raised by the Enron 401k in his State of the Union tomorrow...
401kWire.com - Monday, January 28, 2002 - Reader Rating: 3
American Century Closes International Fund
American Century has closed the door to new investments on another fund, closely following the close of New Opportunities...
MutualFundWire.com - Friday, January 28, 2000 - Reader Rating: 3
Week of January 28, 2000 RFP Roundup
The 401kWire.com takes its regular look at the week in searches. [This week, we present a potential search from our occasional low-hanging fruit report.]..
401kWire.com - Friday, January 28, 2000 - Reader Rating: 3
Small Bytes: Deutsche Hires US Index Head
This feature appears every Friday on the The MutualFundWire.com to provide quick news bytes about the week's happenings in the mutual fund business and related financial service companies...
MutualFundWire.com - Friday, January 28, 2000 - Reader Rating: 3
Small Bytes: New Service for Public Employees
This feature appears every Friday on the 401kWire.com to provide quick news bytes of what is happening in the defined contribution business and related industries...
401kWire.com - Friday, January 28, 2000 - Reader Rating: 3
Odd Lots, January 28, 2000
Hancock in modest debut... Janus shares piece of Healtheon pie...
MutualFundWire.com - Friday, January 28, 2000 Views - Reader Rating: 3
Nissan Test Drives Advice
Will sponsors choose advice for their participants? If the recent decision by Smyrna, Tennessee-based Nissan Motor Manufacturing Corp. USA (Nasdaq: NSANY) is anything to judge by, then the answer is "yes" and "no". The car maker will be offering advice to its employees, Jay Young, senior treasury analyst, told the 401kWire.com, but only for those who specifically choose that option. The plan has 6,000 participants and $375 million in assets. ..
401kWire.com - Thursday, January 28, 1999 - Reader Rating: 3
Odd Lots, Jan. 28, 1999
Pru launches new fund...Hartford plans Super Bowl ad campaign...Wilshire will start first Wilshire 5000 Index Fund...Nuveen prez retires...Funds outflows grew significantly in 1998.....
MutualFundWire.com - Thursday, January 28, 1999 Views - Reader Rating: 3
SVA Jan 21 1999

Weekly Bullet GIC/BIC Statistics from FCM

Rates as of Jan. 21, 1999*

Compound 3 Year 5 Year 7 Year 10 Year
High 5.79 6.01 6.04 6.17
Average 5.38 5.52 5.65 5.81
Low 4.84 4.98 5.17 5.52
Treasuries 4.65 4.65 4.69 4.76
Spread 1.14 1.36 1.35 1.41
Issuers 21 20 17 8
Simple 3 Year 5 Year 7 Year 10 Year
High 5.77 5.97 6.01 6.11
Average 5.30 5.47 5.40 5.69
Low 4.83 4.97 2.39 5.25
Treasuries 4.65 4.65 4.69 4.76
Spread 1.12 1.32 1.32 1.35
Issuers 26 26 18 10

*All rates are for non-benefit responsive, investment-only contracts with a value of $5 million. Rates are net of all expenses, with no commissions payable. Treasury quotes are for close of business Wednesday.

Source: Fiduciary Capital Management

..

401kWire.com - Thursday, January 28, 1999 - Reader Rating: 3
Berg on Advice
No issue in the defined contribution market is as hot today as that of offering workers investment advice in their 401(k) plans. Until recently, most sponsors and even plan vendors believed that offering specific advice to participants on how they should invest their assets was "crossing the line." The experts were wrong...
401kWire.com - Thursday, January 28, 1999 - Reader Rating: 3
A New Report from P&I's DC/401k Meeting
The second and final day of Pensions & Investment's annual Defined Contribution/401(k) conference was highlighted by a morning address by Olena Berg, the former Assistant Secretary for the Department of Labor's Pension and Welfare Benefits Administration...
401kWire.com - Thursday, January 28, 1999 - Reader Rating: 3
TAG On: Tax on Corrective Distributions
We have a plan with a January 31 year-end. We will fail our Average Deferral Percentage test. To correct this failure we plan to refund the excess to highly compensated employees. What year 1099-R form is used?..
401kWire.com - Thursday, January 28, 1999 - Reader Rating: 3
MasteryPOINT Demos Web-Based Front End
MasteryPOINT is currently working on an Internet/Intranet-based software application designed to keep participants informed about their employer-sponsored defined contribution plans. This software, which is scheduled for a March 1998 release, attempts to provide employees with clear and easily understandable 401(k) data through charts, graphs, and concise explanations about laws, regulations, and tax codes. ..
401kWire.com - Wednesday, January 28, 1998 - Reader Rating: 3
Kravitz Outsource Daily Recordkeeping to Union Bank
Union Bank of California will take over the recordkeeping and administrative functions for the daily valued accounts of Louis Kravitz Associates. The switch will take place Feb. 28 according to Union Bank.
..

401kWire.com - Wednesday, January 28, 1998 - Reader Rating: 3
For Wednesday, January 28, 1998
The growing focus on retirement savings -- and by extension the growing interest in 401(k)'s -- is opening new doors for financial advisors. There is also no doubt that financial advisors realize the opportunity that lies before them. In a survey just released by Fidelity Investments, fifty-seven percent of financial advisers say the growing retirement market provides them with the greatest growth potential over the next five years...
401kWire.com - Wednesday, January 28, 1998 - Reader Rating: 3
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