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News Stories Archives - Since 1998
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Vote For the Most Influential People!
401kWire is once again readying our Most Influential People in Defined Contribution list, and we want to hear from you!..
401kWire.com -
Wednesday, November 23, 2022
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Happy Thanksgiving!
MFWire will be closed tomorrow in observance of the Thanksgiving Day market holiday...
MutualFundWire.com -
Wednesday, November 23, 2022
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Happy Thanksgiving!
401kWire will be closed tomorrow in observance of the Thanksgiving Day market holiday...
401kWire.com -
Wednesday, November 23, 2022
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A $55B-AUC Trustodian's Chief Passes the Reins, But ...
A six-year company veteran will take over the Midwestern, private equity-backed company...
401kWire.com -
Wednesday, November 23, 2022
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SEC Smites a $1.5T-AUM Titan Over a $238MM-AUM ESG Trio
The giant asset manager has agreed to pay a $4-million penalty over accusations that it failed to follow its own ESG process...
MutualFundWire.com -
Wednesday, November 23, 2022
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The Healthiest RKer In 2022
A health data analytics company recognizes 100 employers for being people-centric...
401kWire.com -
Wednesday, November 23, 2022
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Reader Rating: 1
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In Two Months, Active Flows Plunge 73 Percent
The M* team updates U.S. flows data for October 2021 for ETFs and long-term, open-end mutual funds...
MutualFundWire.com -
Tuesday, November 23, 2021
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For Ret Income, Fidelity Connects Insurers With Participants
The Boston Behemoth is tackling the DC retirement income problem with a new platform...
401kWire.com -
Tuesday, November 23, 2021
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29 Years, 47 People, $100B AUA
A Garden State firm's team celebrates a big milestone...
401kWire.com -
Tuesday, November 23, 2021
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Reader Rating: 2
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A $230B-AUM Firm Buys a 17-Year-Old Shop
The deal is expected close in Q1 2022...
MutualFundWire.com -
Tuesday, November 23, 2021
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An RKer Finance Exec Heads Back to School ... As an Exec!
In the Bay Area, a former provider VP is returning to her alma mater...
401kWire.com -
Tuesday, November 23, 2021
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Reader Rating: 1
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Tom Carter Resurfaces, With a New ETF
After three years away, an industry alum joins a DC-based startup as president...
MutualFundWire.com -
Monday, November 23, 2020
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Crane Anoints Ascensus RVPs In the Midwest and Northwest
One sales exec rises within the RKer, while another joins from a giant RIA...
401kWire.com -
Monday, November 23, 2020
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Reader Rating: 5
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New to the U.S., an RKer's Leadership Team Expands
The firm's chief on this side of the pond hires a GM, a legal eagle, a COO, and directors of corporate strategy and retirement solutions...
401kWire.com -
Monday, November 23, 2020
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AMG Bets On a $24B-AUM Shop
The publicly traded multiboutique buys a minority stake in a growth equity asset manager...
MutualFundWire.com -
Monday, November 23, 2020
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Week In Preview, November 23 - November 29
This week, the teams at NAPA and Schroders are hosting online events...
401kWire.com -
Monday, November 23, 2020
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A Judge Delays the Richies' Trial
A federal judge grants the defendant's request to postpone the trial by at least 90 days. ..
401kWire.com -
Friday, November 23, 2018
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An ETF-In-a-Box Shop Takes the Lead
M* updates October 2018 flows data for ETFs and long-term, open-end mutual funds...
MutualFundWire.com -
Friday, November 23, 2018
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2008 Looms Large For Millennial Participants
A recent study highlights savings and education gaps when it comes to retirement savings. ..
401kWire.com -
Friday, November 23, 2018
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Reader Rating: 4
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Why Do Non-Adopters Shy Away From 401k?
A new study by Millennium Trust shows a number of reasons why small businesses are reluctant to offer retirement...
401kWire.com -
Friday, November 23, 2018
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Reader Rating: 4
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Will New Brand Rules Change the China Opp For U.S. Fundsters?
An SRO in the world's most populous country creates new asset management branding rules, scheduled to take effect in January...
MutualFundWire.com -
Friday, November 23, 2018
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Follow the Fundsters - November 23, 2016
Hirings, firings and the like!..
MutualFundWire.com -
Wednesday, November 23, 2016
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A Midwestern Fund Accounting Firm Revamps
The changes include a new brand, a new logo, a tweaked name, and a new website...
MutualFundWire.com -
Wednesday, November 23, 2016
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RayJay Welcomes $466MM KPAs in Texas
An independent broker-dealer has recruited three 401(k) plan advisors in Texas...
401kWire.com -
Wednesday, November 23, 2016
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CUNA Mutual Names a Vice President
The industry veteran has more than 20 years of experience. ..
401kWire.com -
Wednesday, November 23, 2016
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Reader Rating: 5
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What Do Cliff Asness and Sports Moguls Have In Common?
Connecticut wants its hedgers and fundsters to stay in Connecticut...
MutualFundWire.com -
Wednesday, November 23, 2016
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A Wisconsin KPA Joins LPL's B-D Platform
This KPA has more than 20 years experience. ..
401kWire.com -
Wednesday, November 23, 2016
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Reader Rating: 2
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Demand For Our Research, From the Platforms, Is Higher Than It's Ever Been
A fund firm's RIA channel chief chats with MFWire about how the space is changing...
MutualFundWire.com -
Monday, November 23, 2015
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OneAmerica Touts Its Mobile Platform Success
Now with five fewer steps.....
401kWire.com -
Monday, November 23, 2015
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Reader Rating: 4.5
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Industry Veteran Replaces Voya Retiree within DC Sales Team
Voya Financial has brought on a new senior vice president to join its large corporate market sales team...
401kWire.com -
Monday, November 23, 2015
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Hancock Beefs Up Its Mobile App
Enrollment? There's an app for that.....
401kWire.com -
Monday, November 23, 2015
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Reader Rating: 5
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Nevada County Renews With RKer
Who kept this plan in Reno? ..
401kWire.com -
Monday, November 23, 2015
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Empower Short of A National Sales Director
Who will take the sales throne?..
401kWire.com -
Monday, November 23, 2015
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Reader Rating: 3.75
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What's In a Fund Firm's Name? Ask Ariel
This isn't the Chitown mutual fund shop's first fight over branding. This time, they're going after a Sunshine State RIA...
MutualFundWire.com -
Monday, November 23, 2015
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Stock and Bond Funds Expand by $1T
2012 could be a near record for AUM expansion...
MutualFundWire.com -
Friday, November 23, 2012
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Another Shop Launches an MLP Energy Fund
The new fund seeks total return and makes quarterly cash distributions...
MutualFundWire.com -
Friday, November 23, 2012
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Chris Tobe Sets Stable Value Straight
An industry insider tries to explain to MarketWatch readers just how this quirky asset class works...
401kWire.com -
Friday, November 23, 2012
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Reader Rating: 3.67
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Casey Quirk Reboots Its Online Presence
The new site offers loads of goodies...
MutualFundWire.com -
Friday, November 23, 2012
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A $240MM Retailer Exchanges ING for Wells Fargo
The plan will switch recordkeepers at the end of this month. ..
401kWire.com -
Friday, November 23, 2012
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Reader Rating: 2.5
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The SEC Approves Neuberger's Request
The regulatory agency allows the mutual fund shop to create new funds of funds...
MutualFundWire.com -
Friday, November 23, 2012
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Borzi Gives Post-Sandy Tips
The EBSA chief includes IRS information for dealing with plans...
401kWire.com -
Friday, November 23, 2012
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Why Baron Hearts Stocks
The fund mogul Tells US News that equities are still underpriced...
MutualFundWire.com -
Friday, November 23, 2012
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Cohen Commits to Milwaukee
The mutual fund service provider is expanding its Milwaukee office...
MutualFundWire.com -
Friday, November 23, 2012
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Bettinger Offers His Two Cents on Money Funds
The Schwab CEO has an idea for solving the battle in the journal..
MutualFundWire.com -
Friday, November 23, 2012
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Columbia's Parent Still Faces a 401k Suit
A judge has thrown out the company's motion to dismiss a suit about the fees charged by teh funds in its 401(k) plan...
MutualFundWire.com -
Friday, November 23, 2012
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Reader Rating: 2
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BlackRock Hires Kemp to Bring the Equity Love
Former UBS exec will boost faltering stock funds..
MutualFundWire.com -
Friday, November 23, 2012
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Wells Fargo Names a New National Sales Manager
Wells Fargo taps a replacement for Wayne Badorf, who was promoted to run the bank's fund distribution arm...
MutualFundWire.com -
Wednesday, November 23, 2011
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Grandeur Peak's PM Will Spend T-Day on the Road
How does a start-up mutual fund shop break through the clutter? Well, for the folks at Grandeur Peak the answer is to work on Thanksgiving...
MutualFundWire.com -
Wednesday, November 23, 2011
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Jensen Expands its Sales Team
The Oregon-based company adds a sales director...
MutualFundWire.com -
Wednesday, November 23, 2011
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ING's Bank Channel Team Absorbs a Loss
He was in charge of West Coast distribution for the team...
401kWire.com -
Wednesday, November 23, 2011
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Reader Rating: 1
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Bond Stars Rock Mutual Funds
The next generation of mutual fund rock stars is led by PMs like Jeff
Gundlach and Mike Hasenstab. ..
MutualFundWire.com -
Wednesday, November 23, 2011
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Reader Rating: 4
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Deutsche's $6-Billion Deal
A wire service highlights the German bank's decision to review 'all strategic options' for many of its asset management businesses worldwide...
MutualFundWire.com -
Wednesday, November 23, 2011
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Advisors Now Fuel Nationwide's Retirement Biz
The micro-market plan provider now plays in the small market...
401kWire.com -
Wednesday, November 23, 2011
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Reader Rating: 5
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For $201M, the Proud New Owner of Matrix Is ...
Bluff Point sells the trustodian to an East Coast-based firm...
401kWire.com -
Tuesday, November 23, 2010
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Reader Rating: 3.29
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VALIC Snags a Former ING 403b
Wholesaler
The Houston-based pln provider is beefing up its sales team in the Mid-Atlantic states. ..
401kWire.com -
Tuesday, November 23, 2010
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General Dynamics' 401k Settlement is Official
The $15.15 million General Dynamics suit has met final court approval...
401kWire.com -
Tuesday, November 23, 2010
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A Mutual Fund Exec is Moving on from Hartford
The exec will stay through the end of the year...
MutualFundWire.com -
Tuesday, November 23, 2010
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Reader Rating: 1
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A Wirehouse Caters to Retirement Plan Specialists
Updated | Advisors need more than 10 plans and more than $40 million in plan assets to qualify for the new program...
401kWire.com -
Tuesday, November 23, 2010
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Reader Rating: 2
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Legg Mason Assembles a Retirement Advisory Council
The Baltimore-based mutual fund firm forms a 14-member advisory council to tackle retirement issues...
401kWire.com -
Tuesday, November 23, 2010
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Lincoln Adds to its 403b Team
Lincoln Financial plans to continue building its team...
401kWire.com -
Tuesday, November 23, 2010
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Prudential Hooks 401k into the FDIC
The Newark, New Jersey-based insurer has added a new FDCI product to its lineup. ..
401kWire.com -
Tuesday, November 23, 2010
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Reader Rating: 1
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Geier Prepares to Enter the Mutual Fund Business
The Maryland-based firm is gearing up to make its debut on the mutual fund stage...
MutualFundWire.com -
Tuesday, November 23, 2010
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Transamerica Boosts its Client Services Team
A Great-West client relationship manager finds a new home. ..
401kWire.com -
Tuesday, November 23, 2010
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Vanguard Scraps Investment Minimums for its Signal Shares
The WSJ finds pre-Black Friday deals in Vanguard and M&I. ..
MutualFundWire.com -
Tuesday, November 23, 2010
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Reader Rating: 5
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To Promote Itself, TIAA-CREF Turns to Rivals
TIAA-CREF has rolled out a new batch of online ads...
MutualFundWire.com -
Tuesday, November 23, 2010
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MStar Won't Give Up on Four Laggards
The fund ratings firm urges mutual fund investors to have faith in certain offerings from Artisan, Diamond Hill and Janus...
MutualFundWire.com -
Tuesday, November 23, 2010
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Reader Rating: 5
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A Midwestern Asset Manager Scouts for a CEO
The asset manager hopes to double its AUM in the next five years...
MutualFundWire.com -
Monday, November 23, 2009
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Sentinel Expands its Sales Team
The Massachusetts-based TPA makes four new hires and promotes one of its own...
401kWire.com -
Monday, November 23, 2009
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Reader Rating: 5
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DWS Picks an I-O Chief
The asset management arm of Deutsche Bank draws from within its ranks for the post...
401kWire.com -
Monday, November 23, 2009
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Reader Rating: 4.2
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Activists Worry Over Anti-Genocide Proxy Voting at American Funds
Updated | Investors Against Genocide cites foul play among mutual fund shareholder proxy voting contests in the wake of recent complaints leveled at American Funds...
MutualFundWire.com -
Monday, November 23, 2009
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Reader Rating: 4
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A Buffalo Man Allegedly Embezzles $69K in 401k Money
A federal prosecutor charges a plan sponsor for allegedly taking money out of his plan...
401kWire.com -
Monday, November 23, 2009
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Reader Rating: 3
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CPI Plants its Flag in New Jersey
The new hire at the CUNA Mutual subsidiary will cover New Jersey, New York, Connecticut and eastern Pennsylvania...
401kWire.com -
Monday, November 23, 2009
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Reader Rating: 4
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National Investment Managers Adds a Familiar Face to its Board
A Lehman Brothers veteran signs on as a director of the TPA acquirer...
401kWire.com -
Monday, November 23, 2009
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Reader Rating: 2.5
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Vanguard Says its ETF Assets are Up 95 Percent
The Valley Forge, Pennsylvania-based firm says its ETF assets are up nearly 95 percent this year. ETF net cash flow amounted to $21 billion...
MutualFundWire.com -
Monday, November 23, 2009
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Reader Rating: 4
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Judge OKs $55 Million Countrywide Settlement
Judge John Walter of the U.S. District Court for the Central District of California gave his blessing to the settlement agreement last week...
401kWire.com -
Monday, November 23, 2009
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Reader Rating: 2
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Monster Awaits Approval of a Seven-Figure Stock Settlement
A group of Monster employees seek the final judicial greenlight for an out-of-court settlement of a stock-drop lawsuit...
401kWire.com -
Monday, November 23, 2009
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Reader Rating: 2
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Fiduciary Benchmarks Unveils a Database of Retirement Readiness
The DC benchmarking firm unveils its latest offering, evaluating 21,000 defined contribution plans...
401kWire.com -
Monday, November 23, 2009
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Reader Rating: 4
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DWS is Close to Revealing its Pick for National Sales Manager
The firm plans to announce its choice next month, says DWS' top distribution executive...
MutualFundWire.com -
Monday, November 23, 2009
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Advisors Favor American Funds' Ideas
Advisers pick the top five funds for sales and business-building ideas in the latest data released by kasina and Horsesmouth...
MutualFundWire.com -
Monday, November 23, 2009
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Van Eck is Expanding its International ETF Lineup
The New York asset manager has filed to launch two ETFs targeting oil-rich nations...
MutualFundWire.com -
Monday, November 23, 2009
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Keeley Sextuples Down on Legg Mason
Chicago firm bets big on a Baltimore fund firm...
MutualFundWire.com -
Monday, November 23, 2009
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A Hedge-Fund-Like Manager Plans an ETF of ETFs
The California-based firm already offers portfolios of ETFs, managed to follow trends...
MutualFundWire.com -
Monday, November 23, 2009
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TPA Hopes Sponsors Lunch 'n Learn
Taking a plan sponsor to lunch may be one way to explain the new Roth 401(k)...
401kWire.com -
Wednesday, November 23, 2005
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Fiserv ISS Adds Arrowhead IRAs
Denver-based Fiserv Investment Support Services (Fiserv ISS), has added 1,000 self-directed IRAs from Arrowhead Trust, Inc. to its portfolio. The accounts hold about $48 million in assets that are invested in a range of assets including mutual funds and alternative investments such as private equity, real estate, mortgages and trust deeds...
401kWire.com -
Wednesday, November 23, 2005
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A.G. Edwards Launches Asset Management Subsidiary
A.G. Edwards has come up with an innovative way to extend the capabilities it built for its managed account business. The St. Louis-based broker-dealer has created an asset management subsidiary that will provide subadvisory services to third party institutions..
MutualFundWire.com -
Wednesday, November 23, 2005
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Reader Rating: 3
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Manor Care Hires Fidelity for 401k
Manor Care is moving its $279 million, bundled 401(k) plan to Fidelity Investments next month. The Toledo, Ohio-based plan sponsor recently informed plan participants that it would begin the move on December 15. The plan will be blacked out during the one-month transition...
401kWire.com -
Wednesday, November 23, 2005
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SEI Taps Chief for Irish Fund Business
SEI has tapped Barry O’Rourke to lead it fund services and fund accounting business based in Dublin, Ireland. The back-office firm landed O’Rourke from HSBC Alternative Fund Services (formerly Bank of Bermuda) where he was director and head of Alternative Fund Administration for their Irish-based Securities Services business...
MutualFundWire.com -
Wednesday, November 23, 2005
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Kansas City Brokerage Seeking Wholesaler
Waddell & Reed is hunting for an external wholesaler for the retirement plan channel...
401kWire.com -
Wednesday, November 23, 2005
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Turner Names New Marketing Director
Turner Investment Partners has tapped Jennifer W. Dietrich to oversee marketing-related activities at its institutional business division...
MutualFundWire.com -
Wednesday, November 23, 2005
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Too Slow, Bro
A plan trustee gets sued for failing to forward employee contributions in a timely fashion...
401kWire.com -
Tuesday, November 23, 2004
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Reader Rating: 4
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GoldK to Merge with Administrator
The outsourced recordkeeper is planning to merge with a Southeastern plan provider. The new provider will have backing from GoldK VCs...
401kWire.com -
Tuesday, November 23, 2004
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Reader Rating: 4
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Top Exec Departs ING DC Business
The top executive overseeing the defined contribution business at ING is out the door...
401kWire.com -
Tuesday, November 23, 2004
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Reader Rating: 4
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Spitzer Has Eyes on Bigger, Better Things
Short-attention span Spitzer, already long gone from the fund scandal front, will announce a gubernatorial run in early December
according to the WSJ. "He's planning to run. He believes he can turn the state around," an unnamed "close associate" of Spitzer told the WSJ. The close associates was one of a few that Spitzer confided in, according to the WSJ. For $1,000, friends and foe will have a chance to speak their mind to the enterprising AG at a fundraiser in New York City to take place on December 9...
MutualFundWire.com -
Tuesday, November 23, 2004
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Top Dog at National City Investment to Resign
Donald Ross, president and chief investment officer of National City Investment Management Company, will leave the company in at the end of March to pursue other career options, the company announced on Tuesday. If a replacement is not found before Ross leaves, he will continue to manage investments for the company. Ross joined NCIMC in 1995. NCIMC is the advisor to the Armada Funds family.
..
MutualFundWire.com -
Tuesday, November 23, 2004
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No More Co Stock Says Consultant
EnnisKnupp is one of the first on the record to tell clients to avoid using company stock...
401kWire.com -
Tuesday, November 23, 2004
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Congress Quells Uproar over Indy Chair Rule
In a Saturday session, Congress approved language on a budget bill ordering the SEC to study how funds with independent chairmen perform compared to funds without independent chairman. The SEC will have to report back to Congress by May 1 and must act on the recommendations of the report by January 1, 2006...
MutualFundWire.com -
Tuesday, November 23, 2004
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Class is in Session
CitiStreet helps participants educate themselves.
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401kWire.com -
Tuesday, November 23, 2004
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Reader Rating: 4
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Come Again?
Palm greasing is a two-way street, apparently. The SEC and the NASD are investigating at least two dozen broker-dealers for overly generous gifting to mutual fund executives, according to a Reuters article. Under scrutiny are expensive gifts such as golf trips and Super Bowl Tickets, a SEC spokesman told Reuters. "[S]ome brokerage firms may have given excessive gifts to employees of mutual fund advisers in an effort to curry their favor," an SEC spokesman told Reuters...
MutualFundWire.com -
Tuesday, November 23, 2004
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Integrity Acquires $70 MM in Funds
Minot, North Dakota-based Integrity Mutual Funds is acquiring two funds with $70 million in assets from IPS Millennium of Knoxville, Tennessee. The two funds, IPS Millennium fund and the New Frontier Fund, will be combined into a new fund called the Integrity Millennium Fund and will be advised by IPS Advisory. Robert Loest at IPS Advisory will manage the fund...
MutualFundWire.com -
Tuesday, November 23, 2004
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Executive Life Case Drags On
Judge tries to strong arm settlement and avoid a trial next year...
401kWire.com -
Tuesday, November 23, 2004
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Reader Rating: 3
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Dem Commissioner to Leave SEC
The President will have to nominate a Democratic replacement in 2005...
MutualFundWire.com -
Tuesday, November 23, 2004
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American Century Closes Doors On New Opportunities
American Century is closing its New Opportunities fund to new investors, its first fund to close because of asset size...
MutualFundWire.com -
Tuesday, November 23, 1999
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Reader Rating: 3
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Money Managers of the Century
A new survey by The Carson Group for the most part shows the money managers of the last twenty years and the short memory of the financial world...
MutualFundWire.com -
Tuesday, November 23, 1999
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Reader Rating: 3
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New York Life Teams with Quicken
Now that most of us are on the Internet, the new competitive focus is on the trench warfare that is technological enhancements. New York LIfe Benefit Services, Inc. is upgrading its 401(k) website by allowing participants in its system to download their information into Quicken software...
401kWire.com -
Tuesday, November 23, 1999
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Reader Rating: 3
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Will Schwab Enter into an Advice Alliance?
The word on the street is that the California Colossus is going to enter into an advice alliance. Will it? And if so, with which firm?..
MutualFundWire.com -
Tuesday, November 23, 1999
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Reader Rating: 3
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Odd Lots, November 23, 1999
The dot that's not always hot ... Firsthand feels success ... Turn-of-the-century investors...
MutualFundWire.com -
Tuesday, November 23, 1999
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Reader Rating: 3
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TAG On: Vacation Pay
The Technical Answer Group, Inc. (“TAG”) is a weekly guest on the 401kWire.com site. TAG provides technical answers and supporting research for professional firms and individuals that administer, sell or sponsor qualified employee benefit plans. The following question was asked by a TAG Subscriber and includes the TAG answer:..
401kWire.com -
Tuesday, November 23, 1999
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Reader Rating: 3
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*Profile* A Look at Western Pension
Technology, particularly the Internet, has transformed the way we think about the 401(k) industry. At its heart, the defined contribution business is one about information: compiling, collating, and disseminating information. And the Internet speeds up all of those processes. Popular perception may lead the 401(k) investor to believe that only the big providers -- the Fidelities, the Vanguards, the Schwabs -- are accessible online. But that is changing. In San Rafael, California, there is Western Pension, a third-party administrator with high-tech goals...
401kWire.com -
Monday, November 23, 1998
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Reader Rating: 3
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Lifeguard Surfs to New Vendor
San Jose, California-based Lifeguard, Inc., a health care provider, has chosen New York Life Benefit Services, Inc. (NYLBSI) to be the bundled provider for the company's 401(k) plan. The plan has 600 participants and $15 million in assets...
401kWire.com -
Monday, November 23, 1998
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Reader Rating: 3
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