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News Stories Archives - Since 1998
Three National Accounts Execs Leave a DC I-O Team
The departures come amid broader changes at the asset manager...
401kWire.com - Tuesday, June 25, 2019 - Reader Rating: 2
After Four Years, an SVP is Leaving Neuberger
He has already begun his separation process from the firm...
MutualFundWire.com - Tuesday, June 25, 2019
WaPo Lauds a Local RKer
The DC provider is recognized for its workplace excellence...
401kWire.com - Tuesday, June 25, 2019
Ruffel Brings an Asset International Vet to Kudu
Though she is moving on from a 25-year professional relationship, she reunites with a familiar face...
MutualFundWire.com - Tuesday, June 25, 2019
Not-Yet-Retirees Miscalculate Retirement Income
A recent report shows the contrast between vision and reality of retirement income...
401kWire.com - Tuesday, June 25, 2019
17 Months In, an Atlanta ERISA Attorney Rises
A firm makes an internal promotion to fill a managing attorney position...
401kWire.com - Tuesday, June 25, 2019
Will the Low-Cost Leviathan Retry This Next?
The house that Bogle built is reportedly talking to firms about a new alternative product area...
MutualFundWire.com - Tuesday, June 25, 2019
Mutual of Omaha Promotes a New 401k VP
A lifer at Mutual of Omaha steps up the promotional ladder..
401kWire.com - Tuesday, June 25, 2019
PCS Shows No Signs of Stopping After Buying PensionSource
CEO's of PCS and PensionSource shared details about their merger, and the future. ..
401kWire.com - Monday, June 25, 2018 - Reader Rating: 5
A Bundled Provider Debuts a Tweakable Stable Value Product
The new general account offering offers some flexibility to plan sponsors around issues like contract termination provision...
401kWire.com - Monday, June 25, 2018
After 10 Years, a Top Fund Services Exec Leaves UMB
The departure comes four months after a leadership shift at the mutual fund back-office services provider...
MutualFundWire.com - Monday, June 25, 2018 Views
DiCenso Lands At a PE-Backed RKer
The veteran DC distro exec takes a top job reporting directly to the chief...
401kWire.com - Monday, June 25, 2018 - Reader Rating: 4
Lincoln's West Anoints Two Sales Directors
Jayson West's sales team grows by two, with one promotion and a new hire. ..
401kWire.com - Monday, June 25, 2018
Week In Preview, June 25-July 1
This week the teams at Pru and Sheridan Road are hosting events...
401kWire.com - Monday, June 25, 2018
Week In Preview, June 25-July 1
This week the teams at Crane Data and the FPA are hosting events...
MutualFundWire.com - Monday, June 25, 2018 Views
What Women Want From You: Krawcheck Explains
Sallie Krawcheck shares five things that fundsters, FAs, and financial services folks in general should do to boost women's financial engagement...
MutualFundWire.com - Thursday, June 25, 2015 Views - Reader Rating: 3
KPAs, FINRA Wants You To Be on Top of Your A-Game
My colleague Lande covers FINRA's new campaign.....
401kWire.com - Thursday, June 25, 2015
Former SunGard Executive Joins OneAmerica
A top retirement-industry executive has taken on a new role...
401kWire.com - Thursday, June 25, 2015
NFP Adds a KPA in Louisiana
...a new 401(k) plan advisor (KPA) has joined NFP.....
401kWire.com - Thursday, June 25, 2015
Thornburg's DiBruno Retires
After 12 years with an investment firm, the head of retirement head has decided to retire...
401kWire.com - Thursday, June 25, 2015
This Indie B-D Just Released Its First Annual Retirement index
The largest independent broker-dealer just released its first annual retirement index....
401kWire.com - Thursday, June 25, 2015
TIAA-CREF: Millennials Love Annuities, But Don't Know It Yet
An annuity? What's that?..
401kWire.com - Thursday, June 25, 2015 - Reader Rating: 4.5
Where Are 401k Lineups Going? Czochara Shares Northern Trust's Vision
The DC exec speaks at a media lunch at the asset manager's parent bank's HQ in downtown Chitown...
401kWire.com - Thursday, June 25, 2015 - Reader Rating: 5
MFWire at Morningstar
MFWire editor-in-chief Sean Hanna and managing editor Neil Anderson are out at the Morningstar Investment Conference today...
MutualFundWire.com - Thursday, June 25, 2015 Views
These Are the 10 Topics You Can Ask Grantham About
The famously pessimistic GMO guru delivers the opening keynote address at the 2015 Morningstar Investment Conference...
MutualFundWire.com - Thursday, June 25, 2015 Views
Most Large Sponsors Don't Like 'Skimming It Off the Top'
401kWire polled large and jumbo 401k plan sponsors to ascertain their philosophies on revenue sharing and other structures for paying plan expenses. ..
401kWire.com - Wednesday, June 25, 2014
Why Is OneAmerica Buying a West Coast RKer? Yoerger Explains
The insurer's retirement plan chief explains his latest deal, slated to close later this year. And he's still in the market for more...
401kWire.com - Wednesday, June 25, 2014 - Reader Rating: 5
Justices Unanimously Toss Company Stock's 'Presumption of Prudence'
...and the president of The ERISA Industry Committee responds...
401kWire.com - Wednesday, June 25, 2014
A Public Plan Sponsor in NYC Dies
An industry veteran in charge of investment administration for a public plan system has died from a heart attack...
401kWire.com - Wednesday, June 25, 2014
Thole Takes Charge of U.S. Bancorp's Asset Arm
The 17-year company veteran, and former COO, is now president and CEO of the firm, which manages $38.71 billion in the First American Funds money market product lineup...
MutualFundWire.com - Wednesday, June 25, 2014 Views
IRAs Captured $324B From Rollovers Last Year
Cerulli Associates finds that Baby Boomer rollovers and stock market gains accounted for most of the sum...
401kWire.com - Wednesday, June 25, 2014
Most Small Business 401k Participants Diversify, a Lot
Many of Vanguard's small business 401(k) participants have plan investments professionally managed...according to a new report...
401kWire.com - Wednesday, June 25, 2014
401k Plans Add $100B
Here are the results for the 401(k) plan assets for Q1-2014.....
401kWire.com - Wednesday, June 25, 2014
Perella Weinberg Goes Retail, Sort Of
The firm's institutional alternative boutique managers are looking to sub-advise mutual funds...
MutualFundWire.com - Wednesday, June 25, 2014 Views
A North Carolina Advisory Shop Hires One
A new hire has just been announced at Guardian Capital Advisors.....
401kWire.com - Wednesday, June 25, 2014
Tony Rochte Triumphs
ETF late-comer Fido is quickly making headway in this space dominated by the likes of Vanguard, State Street and BlackRock. Rochte was a big driver of this success...
MutualFundWire.com - Wednesday, June 25, 2014 Views
OneAmerica Acquires, Swelling Yoerger's Empire By $6.5B
The insurer buys up a bank's retirement plan recordkeeping business...
401kWire.com - Wednesday, June 25, 2014 - Reader Rating: 4
Castille Blazes a New Path for BlackRock TDFs
The DC I-O is debuting a new glide path for its LifePath TDFs, as well as two new LifePath fund families...
401kWire.com - Wednesday, June 25, 2014
Post Acquisition, Hedger Plans Mutual Fund Invasion
When acquisition of mutual shop clears in third quarter, hedge firm plans to go for gusto in both retail and institutional channels...
MutualFundWire.com - Tuesday, June 25, 2013 Views
Cassler Gets Promoted
Head of institutional distribution at John Hancock gets a new title. ..
MutualFundWire.com - Tuesday, June 25, 2013 Views
Putnam Wins a $1.1B Plan
Ed Murphy and his team land their biggest plan sponsor client yet for Bob Reynolds...
401kWire.com - Tuesday, June 25, 2013 - Reader Rating: 4.5
BlackRock Strategist: Enjoy Equities Bull Market
BlackRock's global chief investment strategist told investors that if they are forced to decide between bonds and stocks, they should pick stocks, MarketWatch reported. ..
MutualFundWire.com - Tuesday, June 25, 2013 Views
Double Rock's Plan of Attack, Starring Industry Vet Tom Hogan
Heading Double Rock's subsidiary, Retirement Systems Data, Tom Hogan is engineering ways to simplify life for plan sponsors, recordkeepers, and plan participants...
401kWire.com - Tuesday, June 25, 2013
A MassMutual Fund Updates Annual Operating Expenses
Effective immediately, MassMutual's [profile] Russell 2000 Small Cap Index Fund has updated their annual fund operating expenses for Class Z, Class I, Class S, Class Y, Class L and Class A. [SEC Filing]...
MutualFundWire.com - Tuesday, June 25, 2013 Views
A Lord Abbett Fund Adds New PMs
Effective June 11, 2013, Walter H. Prahl and Frederick J. Ruvkun will serve as PMs to the Lord Abbett [profile] Affiliated Fund. The fund has also modified its investment strategy. [SEC Filing]...
MutualFundWire.com - Tuesday, June 25, 2013 Views
Threadneedle Enters Sharing-Arrangement
The investment manager for Columbia's [profile] Emerging Markets Fund and Strategic Income Fund  has entered into a personnel-sharing arrangement with its affiliate, Threadneedle Investments. Threadneedle is a wholly-owned subsidiary of Ameriprise Financial. [SEC Filing]...
MutualFundWire.com - Tuesday, June 25, 2013 Views
ING Increases Management Fee for a Fund Complex
Under the proposed amended fee structure, the current “management fee” rate would continue to be charged with respect to assets invested in underlying funds in the ING Partner's [profile] Fund Complex, but a higher management fee rate would be charged on assets invested in other types of securities. [SEC Filing]. ..
MutualFundWire.com - Tuesday, June 25, 2013 Views
Global X Enters Into Expense Agreement
Effective immediately, Global X Management Company [profile], the investment adviser to the Global X FTSE Colombia 20 ETF, entered into a voluntary expense limitation agreement with the fund to assure that the fund’s total operating expenses will not exceed 0.68% of the fund’s average daily net assets per year until at least July 1, 2014 and is annually renewable thereafter. [SEC Filing]. ..
MutualFundWire.com - Tuesday, June 25, 2013 Views
Forbes Recites ETF Winners and Losers of The Week
Forbes looks at the ETFs with biggest inflows and outflows. ..
MutualFundWire.com - Tuesday, June 25, 2013 Views
SSgA Adds a PM
Adel Daghmouri has been added as a PM to SSgA's [profile] International Stock Selection Fund. Daghmouri will serve as PM along with Stuart Hall who has been a PM of the fund since 2010. [SEC Filing]. ..
MutualFundWire.com - Tuesday, June 25, 2013 Views
A PM Joins a Nationwide Fund
Gary Chropuvka has been added as to the PM team for Nationwide's [profile] Alternatives Allocation Fund.  [SEC Filing]...
MutualFundWire.com - Tuesday, June 25, 2013 Views
CFTC Beats Back ICI Challenge
A rule requiring that mutual fund companies trading in commodities register with regulators that overuse those markets was upheld after a challenge from the ICI and Chamber of Commerce...
MutualFundWire.com - Tuesday, June 25, 2013 Views
A Software Shop Lands a Major 401k Provider Client
The new product is designed to cut costs...
401kWire.com - Tuesday, June 25, 2013 - Reader Rating: 2.5
Direxion Rolls Out Two New Japan ETFs
Direxion caters to popularity of Japan ETFs by launching two new ETFs Wednesday...
MutualFundWire.com - Tuesday, June 25, 2013 Views - Reader Rating: 3
Russell Drills Down on Core for DC Plans
What is Core good for? Russell asks...
401kWire.com - Tuesday, June 25, 2013
ETF Market Panic Shows Access Has Risks
Market tumult in the municipal bond and emerging market ETFs Thursday remind investors that ETF access comes at a price...
MutualFundWire.com - Tuesday, June 25, 2013 Views
Rekenthaler Says Hedge Funds Inferior to Lower Cost Investments
John Rekenthaler doesn't know why high net worth investors choose investment instruments that are opaque and have poor long term results. ..
MutualFundWire.com - Tuesday, June 25, 2013 Views
BMO Global's Branching Down Under
BMO Global Asset Management is broadening its bases with its first office in Australia. ..
MutualFundWire.com - Tuesday, June 25, 2013 Views
Will Schwab Ever Crack 401k's with an ETF-Only Plan?
IndexUniverse thinks that Schwab's ETF-only 401k plan, in the works since 2011, might actually have a shot...
401kWire.com - Tuesday, June 25, 2013
Muni Bust Could Translate into ETF Flows
Exchange-traded products covering municipal debt may have gotten cheap enough to rekindle a buying spree, according to Bloomberg...
MutualFundWire.com - Tuesday, June 25, 2013 Views
Advisors Are "Piling On" Alternative Funds
Bond investors are going to look better yields elsewhere, and what better place to look than hedge-fund like mutual funds?..
MutualFundWire.com - Tuesday, June 25, 2013 Views
Two Pubs Focus on the Impact of the Gospel of Vanguard
InvestmentNews and IndexUniverse explore why advisors are shying away from alternative funds...
MutualFundWire.com - Tuesday, June 25, 2013 Views
RIA Plans To Launch ETF With Help of Chinese PE
A registered investment advisor company plans to launch an ETF company with the help of Chinese private equity...
MutualFundWire.com - Tuesday, June 25, 2013 Views
Vanguard Researchers Say Stable Value is, Well, Stable
Investors and providers overrate the harm of rising interest rates on stable value funds...
401kWire.com - Monday, June 25, 2012 - Reader Rating: 5
Hennessy Clears One Hurdle on FBR Buy
Yet the California fund shop still needs the blessing of the FBR Funds shareholders...
MutualFundWire.com - Monday, June 25, 2012 Views
MFS Funds Responds to Fee Disclosure with R Shares
The New R5 share class will provide low fees and more clarity...
401kWire.com - Monday, June 25, 2012
More Studies Highlight the Bennies of Auto-Enrollment
Auto-enrollment and higher default rates encourage more participation by employees...
401kWire.com - Monday, June 25, 2012 - Reader Rating: 2
Milliman Plans to Launch a New Fund
Risk-management advisor preps the Sustainable Opportunities Fund for July launch..
MutualFundWire.com - Monday, June 25, 2012 Views
DeSantis Pushes Sector Specialization at Fido
A new fund for Fidelity's Stock Selector series highlights the firm's sector expertise for mid-cap companies..
MutualFundWire.com - Monday, June 25, 2012 Views
Szilagyi Closes a Fund
The International Value Fund, lacking assets, closes after a year..
MutualFundWire.com - Monday, June 25, 2012 Views
Issakainen Brings First Trust Into the ETF Biz
The new fund will invest in energy infrastructure and be managed by Energy Income Partners..
MutualFundWire.com - Monday, June 25, 2012 Views
Two Advisors Gather Plan Sponsors Near Stone Street
Sponsors attend a lunch event in lower Manhattan, put together by a 401k advisory shop...
401kWire.com - Monday, June 25, 2012 - Reader Rating: 1
Delaware's Sales Team Expands
The firm has new regional director for Chicago and five new consultants..
MutualFundWire.com - Monday, June 25, 2012 Views
Did CDR and Warburg Drop Out of TCW's Auction?
More details emerge on the sale process for the SoCal fixed income shop...
MutualFundWire.com - Monday, June 25, 2012 Views
Peltz Turns His Attention to Another Wall Street Firm
The activist investor says that this time he has found a "great brand" and a "great franchise."..
MutualFundWire.com - Monday, June 25, 2012 Views
Schapiro Pushes for July Money Fund Vote
The SEC commissioner has a strategy in calling for the vote, reports the WSJ...
MutualFundWire.com - Monday, June 25, 2012 Views
Can ETNs Be Too Popular?
Caps on ETN share issuance brings provider commitment into question...
MutualFundWire.com - Monday, June 25, 2012 Views
BlackRock's Senior Strategist Resigns
Larry Fink's team loses another member...
MutualFundWire.com - Monday, June 25, 2012 Views
SEC Claims BNY Mellon "Gouged" Fido, Others on FOREX Trades
Federal suit from last fall claims the firm defrauded custodial clients..
MutualFundWire.com - Monday, June 25, 2012 Views - Reader Rating: 2
Fund Investors Buy the Right Funds at the Wrong Times
Your shareholders are likely to pick the better funds but their timing is off...
MutualFundWire.com - Monday, June 25, 2012 Views
Putnam Says Goodbye to a Research Chief
A Fidelity unit wins over a top research exec from Bob Reynolds and his team...
MutualFundWire.com - Friday, June 25, 2010 Views - Reader Rating: 1
Are I-O Managers and RKers Starving Their Future?
Two industry consultant urge providers to pay attention to participants who are not yet close to retirement, too...
401kWire.com - Friday, June 25, 2010 - Reader Rating: 3
An Africa-Focused Fund Adds Schwab, Fido, Pershing Distribution
RIAs and other advisors seeking a way to gain clients exposure to Africa now have an easier path to the Nile...
MutualFundWire.com - Friday, June 25, 2010 Views
Dreyfus Catches Active ETF Fever
The BNY Mellon subsidiary files to get into a new game...
MutualFundWire.com - Friday, June 25, 2010 Views
BP Faces Stock-Drop Flak After the Spill
Three class action law firms investigate the beleaguered oil giant...
401kWire.com - Friday, June 25, 2010
Payden Gains Access to a DC Platform
The fund firm gets some distribution via an open architecture provider...
401kWire.com - Friday, June 25, 2010
DiCenso Wants You (in Minneapolis or New York)
The Gallagher Retirement Services chief is hiring in several locals...
401kWire.com - Friday, June 25, 2010 - Reader Rating: 5
The Mutual Fund Store Another Kansas Branch
The RIA firm is adding a radio station and a store front, bringing the mutual fund message to Wichita...
MutualFundWire.com - Friday, June 25, 2010 Views
FPA's Romick Bemoans the 'Jacked Up' Economy
What are managers saying at the Morningstar conference?..
MutualFundWire.com - Friday, June 25, 2010 Views
Reynolds Shares His Plan at Morningstar
The Putnam chief speakers at the Morningstar conference...
MutualFundWire.com - Friday, June 25, 2010 Views - Reader Rating: 5
BusinessWeek Describes How the Worm Turned on CGM Focus
The magazine profiles the recent woes of Ken Heebner's former star fund...
MutualFundWire.com - Friday, June 25, 2010 Views
Canary Era ex-BofA Exec Joins Bessemer
A former private banker with Bank of America who praised the bank's deal with late-trading Canary Capital signs on with a hedge fund...
MutualFundWire.com - Friday, June 25, 2010 Views
Morningstar Plans to Take on Bankrate
The firm has shared its plans for a new 529-focused service set for launch in the fall...
MutualFundWire.com - Friday, June 25, 2010 Views
McNabb Focuses on Trust While S&P Licenses More Broadly
Vanguard's CEO spoke to advisors at Morningstar about trust and not the licensing deal with S&P yesterday in Chicago...
MutualFundWire.com - Friday, June 25, 2010 Views
Ex-Fido President Takes a Board Post
Less than a year after stepping down from Fidelity due to medical reasons, Michael Clark has signed on as chairman of a government contractor...
MutualFundWire.com - Friday, June 25, 2010 Views
USI Hunts for More DC Sales Consultants
The consulting arm of the insurance brokerage adds a DC exec in the Midwest and prepares to fill two more regional posts...
401kWire.com - Thursday, June 25, 2009
FRC's New Chief Speaks of His Plan
Bruce Fador, FRC's incoming CEO, talks to The MFWire about his plans for the Boston fund research and consulting firm...
MutualFundWire.com - Thursday, June 25, 2009 Views
An Advisor, a Fundster and a Marketer Lead a Reborn Alliance
A revamped industry trade group names its three chiefs...
MutualFundWire.com - Thursday, June 25, 2009 Views - Reader Rating: 5
A 401k Guy Blogs for Participants
A DC industry insider gives participants the dish on retirement plans...
401kWire.com - Thursday, June 25, 2009
What Does Nybo Have Planned for Transamerica Retirement?
The new chief looks to stay the course...
401kWire.com - Thursday, June 25, 2009 - Reader Rating: 4
WisdomTree Tweaks Four ETFs
The New York City-based ETF shop unveils changes to four of its ETFs...
MutualFundWire.com - Thursday, June 25, 2009 Views
PlanSponsor Gains a Sibling
The new parent of the retirement-plan-focused magazine makes another acquisition...
401kWire.com - Thursday, June 25, 2009
Laporte to Relinquish the Reins at T. Rowe's Second Oldest Fund
Jack Laporte is reportedly stepping down from the $4.5 billion fund next year...
MutualFundWire.com - Thursday, June 25, 2009 Views
An Oakmark PM Packs Up
The co-manager of the Oakmark International Small Cap Fund..
MutualFundWire.com - Thursday, June 25, 2009 Views
The Gray Lady Worries About Target Date Funds
Another national newspaper takes note of an all-day joint SEC-DoL hearing last week...
MutualFundWire.com - Thursday, June 25, 2009 Views
Peltz Shakes Legg Mason Shares
The famed investor is upping his stake in the Baltimore fund manager in what may the first step in a board fight...
MutualFundWire.com - Thursday, June 25, 2009 Views
AIG Inaugurates 403b University
AIG Retirement Services wants plan sponsors to attend its newly launched 403b University...
401kWire.com - Wednesday, June 25, 2008
optionsXpress Makes a Buy
The Chicago firm has inked a deal to buy a futures broker for $18 million...
MutualFundWire.com - Wednesday, June 25, 2008
XShares Makes its Big Announcement
The New York ETF shop has named an interim replacement for Bill Henson and raised new funds...
MutualFundWire.com - Wednesday, June 25, 2008 Views
A New York TPA Fills a New Exec Spot With a Company Insider
A bank-owned firm creates a new position and promotes one of its own...
401kWire.com - Wednesday, June 25, 2008
A Des Moines-Area Insurer Gets a New 401k Provider
An Iowa-based insurance company has tapped a new provider for its $11-million 401k plan...
401kWire.com - Wednesday, June 25, 2008
A DC SRI Specialist Reaches Out to 403bs
A Massachusett-based firm urges non-profit sponsors to examine all their options as they prepare to comply with new IRS regulations...
401kWire.com - Wednesday, June 25, 2008
UBS May Face Strategic Crossroads
The New York Post has reported that the Swiss bank has tapped Lazard Freres to explore its options. The hiring could reshape the wirehouse landscape...
MutualFundWire.com - Wednesday, June 25, 2008
Great-West Teaches an E-Class
The Colorado-based provider has inaugurated a virtual classroom for clients seeking financial planning information...
401kWire.com - Wednesday, June 25, 2008 - Reader Rating: 5
A DC Plan Takes Flight for Boeing's New Hires
Boeing officials unveiled a DC plan for new hires effective next year...
401kWire.com - Wednesday, June 25, 2008
UBS Commits to DC Plans Post Trust Sale
The wirehouse has sold its 401k-related trust business, leaving it to focus on its advisor efforts in the space. ..
401kWire.com - Wednesday, June 25, 2008
Federated Does Some Work on its Kaufmann Team
The Pittsburgh company brought in a new portfolio manager and moved around some old ones...
MutualFundWire.com - Wednesday, June 25, 2008 Views - Reader Rating: 5
Fees, Fees and Spitzer in the WSJ
Wednesday's edition features an article that looks up, down and sideways at fund fees...
MutualFundWire.com - Wednesday, June 25, 2008 Views
A Market Pessimist from Federated Gets Positive WSJ Play
The WSJ shines a spotlight on Steve Lehman, manager of the Federated Market Opportunity Fund...
MutualFundWire.com - Wednesday, June 25, 2008 Views
UBS Sells its Fiduciary Trust Unit
The wirehouse has sold off a retirement trust focused business...
401kWire.com - Wednesday, June 25, 2008 - Reader Rating: 5
Manning & Napier Adds to Target-Date Line-Up
The New York company has filled out its line of DC-IO products...
401kWire.com - Wednesday, June 25, 2008
ProShares Trumpets its ETF Assets
Right around their second anniversary in the ETF business, ProShares executives tout net assets in their products...
MutualFundWire.com - Wednesday, June 25, 2008 Views
Rangel Delays Fee Hearing
The 401k industry side-stepped a snap Congressional hearing on fees that was to have happened tomorrow morning. Instead, look for hearings in the fall...
401kWire.com - Monday, June 25, 2007
Investors to Janus: It's Not Over Yet
Janus investors are taking a second crack at recovering the funds they lost during the market-timing scandal...
MutualFundWire.com - Monday, June 25, 2007 Views
12b-1 Fees Face Major Obstacles
A chief compliance officer at an RIA reflects on what last week's 12b-1 SEC rountable means...
MutualFundWire.com - Monday, June 25, 2007 Views - Reader Rating: 3.48
Survey: FA's Concerned About Practice Management
Curian Capital has released the results of a survey it conducted of more than 850 independent financial advisors in an effort to identify the key business challenges impacting their practices...
MutualFundWire.com - Monday, June 25, 2007
S&P to Customize Seven Indexes for Adelante Shares
The S&P has teamed with Adelante Shares LLC to calculate seven custom indexes based upon Adelante Shares' proprietary classification of the real-estate sector...
MutualFundWire.com - Monday, June 25, 2007 - Reader Rating: 3
Bear Stearns Launches New Web-Portal
Bear Stearns Broker-Dealer & Investment Advisor Services (BDIAS) has launched BearVIEW, a new integrated web portal that includes extensive software-like features designed for investment professionals...
MutualFundWire.com - Monday, June 25, 2007
BD Group Asks Cox to Leave Section 28(e) Alone
The Alliance in Support of Independent Research wrote a letter to SEC Chairman Christopher Cox on June 20, 2007, asking him to reconsider his recent request that Congress adopt legislation to repeal or substantially revise Section 28(e) of the Securities and Exchange Act of 1934...
MutualFundWire.com - Monday, June 25, 2007
John Hancock Settles SEC Suit
John Hancock has agreed to pay $21.2 million to settle a revenue-sharing suit by the SEC...
MutualFundWire.com - Monday, June 25, 2007 Views - Reader Rating: 2.33
Nationwide Sells Morley in Stable Value Deal
UPDATED | $14 billion in institutional assets are at stake as one Midwestern insurance provider agrees to sell the stable value shop to another Midwestern insurance provider. ..
401kWire.com - Monday, June 25, 2007 - Reader Rating: 2
Nollenberger Adds a New Member to Sales Department
Randy Billhardt has joined Nollenberger Capital Partners as a member of the Institutional Sales department...
MutualFundWire.com - Monday, June 25, 2007
Morningstar Looks Within to Find New CFO
Scott Cooley, 38, will become CFO of Morningstar, effective August 10, 2007...
MutualFundWire.com - Monday, June 25, 2007 Views
Banned Brokers Often Bounce Back
It's difficult to keep an eye on brokers banned from the brokerage industry...
MutualFundWire.com - Monday, June 25, 2007
UPDATE 1: Ex-Employee: Fidelity Willfully Broke Partiot Act
A legal war between Fidelity and their ex-employee heats up...
MutualFundWire.com - Monday, June 25, 2007 Views - Reader Rating: 2.45
Vanguard Files Registration for Long-term Bond Fund
Vanguard has filed a registration statement with the Securities and Exchange Commission to offer a long-duration bond fund...
MutualFundWire.com - Monday, June 25, 2007 Views - Reader Rating: 2.8
SSgA Proposes Two New ETFs
SSgA Fund Management is planning to launch two new ETFs...
MutualFundWire.com - Monday, June 25, 2007 Views - Reader Rating: 3
Cerulli Releases Global Fund Manager Rankings
The consulting firm has come out with its global fund manager rankings...
MutualFundWire.com - Monday, June 25, 2007 Views - Reader Rating: 3
Claymore Starts "Sudan-Free" ETF
Instead of divesting from Sudan, Claymore launches a fund that is free of it in the first place...
MutualFundWire.com - Monday, June 25, 2007 Views - Reader Rating: 3.31
Execs Stand Up to Compensation Disclosure
Two fund firm bigwigs warn that disclosure of portfolio manager compensation could make star managers look elsewhere...
MutualFundWire.com - Friday, June 25, 2004 Views
Provider of Advisor Data Takes On the Blue Book
Looking for data to mine for new fund sales? A RIA data provider adds asset information to its online product...
MutualFundWire.com - Friday, June 25, 2004 Views
SEC Questions Stable Value Fund Wraps
The SEC appears to be questioning the use of book-value wraps in a stable value mutual fund run by Principal Financial...
401kWire.com - Friday, June 25, 2004 - Reader Rating: 5
NYLIM Retirement Wins Cali Plan
NYLIM picks up $41 million in assets with its win on James Hardie Building Products...
401kWire.com - Friday, June 25, 2004
SEC Commissioners Try the Back Door
The two commissioners who opposed the independent chairman rule approved on Wednesday are trying other tactics...
MutualFundWire.com - Friday, June 25, 2004 Views
Hartford Closes Three Funds to New Investors
Three small and mid-capitalization companies will be closed to new investors in mid-August...
MutualFundWire.com - Friday, June 25, 2004 Views
Is it Time to Get Close and Personal with the SEC?
The SEC wonders why fund firms are not voluntarily coming clean...
MutualFundWire.com - Friday, June 25, 2004 Views
Consultants Study Capturing and Retaining Rollover Assets
Diversified Services Group is starting a study called Capturing and Retaining Rollover Assets at the Retirement Inflexion Point...
401kWire.com - Friday, June 25, 2004
Delaware Hires Muni Expert
The new manager will focus on portfolio construction and strategy...
MutualFundWire.com - Friday, June 25, 2004 Views
Searches Reported This Week
Searches for investment advisors and public plan providers; some lineup switch-ups...
401kWire.com - Friday, June 25, 2004
State Street Sells Unit to Schwab
The two firms have announced the long-awaited deal...
MutualFundWire.com - Wednesday, June 25, 2003 Views - Reader Rating: 5
New Pru Sponsors Cite Core Service Capabilities
The provider is announcing a batch of new DC clients who cite such features as its asset allocation program for their moves...
401kWire.com - Wednesday, June 25, 2003 - Reader Rating: 3.25
Movie Theater Chain Reels in New Provider
Texas-based Cinemark USA has picked a new DC provider, citing such factors as commitment to the recordkeeping biz, after an extensive search...
401kWire.com - Wednesday, June 25, 2003 - Reader Rating: 5
Lockwood Taps Affiliate for Platform
The firm is adding funds-of-funds, says fund supermarket will be ready by mid-summer...
MutualFundWire.com - Wednesday, June 25, 2003 Views - Reader Rating: 5
NASD Fines B-D Over B Share Sales
While the broker-dealer faces a fine, a principal at the firm is also suspended for 30 days...
MutualFundWire.com - Wednesday, June 25, 2003 Views
Advice Vet Leads NewRiver Marketing Effort
The consulting firm is looking to a veteran from the advice wars to expand its reach...
401kWire.com - Wednesday, June 25, 2003 - Reader Rating: 1
CitiStreet Unit Completes New Tech Platform
The RSD unit of this provider aims to expand service capabilities to its large healthcare-oriented sponsors...
401kWire.com - Wednesday, June 25, 2003
State Street Workers Happy to Leave
Up to twice as many workers as planned may be taking State Street up on its severance offer...
MutualFundWire.com - Wednesday, June 25, 2003 Views
Ennis Moves to Morgan Stanley
Evergreen says it will not find another CEO to replace him...
MutualFundWire.com - Wednesday, June 25, 2003 Views
Polaroid May Get More Bidders
The bankrupt firm appears to be drawing interest...
401kWire.com - Tuesday, June 25, 2002
Morningstar Unveils
The researcher has introduced its offering for separate accounts at its annual conference...
MutualFundWire.com - Tuesday, June 25, 2002
GoldK Adds Five Funds
The company adds funds from Thornburg Investment Management...
401kWire.com - Tuesday, June 25, 2002
S&P Joins 529 Fray
The firm is launching an educational product for the college-savings marketplace...
MutualFundWire.com - Tuesday, June 25, 2002 Views - Reader Rating: 4
Schwab Taps New Chief Marketing Officer
The new position is offered to a Verizon Communications veteran...
MutualFundWire.com - Tuesday, June 25, 2002 Views
Rydex Looks Forward
The firm turns nine, launches a new product, and considers the near future of investing...
MutualFundWire.com - Tuesday, June 25, 2002 Views
PBGC Sees Dwindling Surplus
The shortfall could prompt Congress to boost DB plans at the expense of DC plans...
401kWire.com - Tuesday, June 25, 2002
Keystone State Bank Buys TPA
The deal brings the Pennsylvania bank a retirement plan specialist...
401kWire.com - Tuesday, June 25, 2002
Provider Starts Ed on Co Stock
A Baltimore provider is starting a campaign to educate participants about company stock...
401kWire.com - Tuesday, June 25, 2002
AERS Taps Non-Proprietary Lifecycles
The bundled vendor broadens its client choice with a second set of funds...
401kWire.com - Tuesday, June 25, 2002
Fido Formula One
The Boston Behemoth expands software to the UK...
MutualFundWire.com - Tuesday, June 25, 2002 Views
A Southern State Makes its Choice
Both the 401k and 457 plans are getting new a recordkeeper starting next January...
401kWire.com - Tuesday, June 25, 2002
New Role for DL&J Founder
William Donaldson finds a home at an asset management group...
MutualFundWire.com - Tuesday, June 25, 2002
Ibbotson Finds a Tech Partner
The analytics firm has tapped Business Logic to tie analytics to aggregation...
401kWire.com - Monday, June 25, 2001 - Reader Rating: 3
PFPC Seeks Sales
The back-office firm has added a fund sales person and seeks more to cover alternatives...
MutualFundWire.com - Monday, June 25, 2001 Views - Reader Rating: 3
Emplanet Adds Satellite
The e401k firm has acquired a firm that a small plan specialist in Massachusetts...
401kWire.com - Monday, June 25, 2001 - Reader Rating: 3
Neuberger Opens Capital Office
The fund firm has tapped a new executive in its attempt to lure affluent investors in the Mid-Atlantic region...
MutualFundWire.com - Monday, June 25, 2001 Views - Reader Rating: 3
mPower Amongst the Buckeyes
The advice provider enters into a new alliance...
401kWire.com - Monday, June 25, 2001 - Reader Rating: 3
Janus Reaches for Blue Chips
Fund company shies away from techs ... Pru expands ... Invista's new client list ... Invesco promotes...
401kWire.com - Monday, June 25, 2001 - Reader Rating: 3
Janus Reaches for Blue Chips
Fund company shies away from techs ... Pru expands ... Invista's new client list ... Invesco promotes...
MutualFundWire.com - Monday, June 25, 2001 - Reader Rating: 3
Firms Hook Up
401kExchange has a new alliance. This one is with CJM Planning Corp...
401kWire.com - Monday, June 25, 2001 - Reader Rating: 3
Mo' Load
Credit Suisse will add load share classes after seeing no load market share drop and drop. ..
MutualFundWire.com - Monday, June 25, 2001 - Reader Rating: 3
Week of June 25, 1999
RFP Roundup

The Weekly Roundup is a regular column examining the RFPs that appeared on our pages and the pages of other publications this week...
401kWire.com - Friday, June 25, 1999 - Reader Rating: 3
Investor Group Drops MLAM as Advisor
Canada's largest mutual fund complex has been busy in the first half of 1999, adding 18 funds to its product line-up, including new Scudder, Templeton and AGF funds. It will also change advisors on 5 of its offerings...
MutualFundWire.com - Friday, June 25, 1999 - Reader Rating: 5
Lord, Abbett Reopens Door to Small-Cap Fund
New York-based Lord, Abbett & Co. is reopening its Lord Abbett Research Fund - Small-Cap Value Series to new investors. It could be hard to attract those new investors as the market continues to avoid small-cap and value investments, although market pundits have expressed more confidence lately in the opportunities that the narrow focus on large-cap has created in the small-cap sector...
401kWire.com - Friday, June 25, 1999 - Reader Rating: 3
Odd Lots, June 25, 1999
Funds fine with ICI board recs...
MutualFundWire.com - Friday, June 25, 1999 - Reader Rating: 3
Lord Abbett Reopens Small Cap Value
Lord Abbett & Co. is reopening its Small-Cap Value Series fund, as market conditions and investors' continued avoidance of small cap and value funds have increased outflows...
MutualFundWire.com - Friday, June 25, 1999 Views - Reader Rating: 3
New Faces at State Street, New England Funds, and Federated.
State Street hires new retail ops head, New England Funds has new key account execs, Federated has a new value manager...
MutualFundWire.com - Friday, June 25, 1999 - Reader Rating: 3
Fido Emphasizes 403b Opportunities
Fidelity Investments Tax-Exempt Services Company (FITSCO) is putting the spotlight on its business by celebrating its 1 millionth participant. The customer is an employee of Fido client Stanford University Medical Center, Perry Chlan, vice president of institutional client services, told the 401kWire.com...
401kWire.com - Friday, June 25, 1999 - Reader Rating: 3
BONY Upgrades its Vested Choice 401k
The Bank of New York is polishing Vested Choice, its 401(k) program for both plan participants and administrators. For participants, the bank will be adding Internet services. On the administrator side, BONY will be expanding the number of funds available through the program, and it will offer an automated trading and settlement platform...
401kWire.com - Thursday, June 25, 1998 - Reader Rating: 3
Compuware Enters Finalist Stage
Farmington Hill, MI-based Compuware (NASDAQ: CPWR) is in the finalist stage in its search for a bundled provider, Joe Schuster, manager of qualified benefit programs, told the 401kWire. The plan has $105 million in assets with 5,000 participants...
401kWire.com - Thursday, June 25, 1998 - Reader Rating: 3
NYLBSI Adds Atlanta Sales Manager
Stephen D. Howell took on the responsibilities of sales director for New York Benefits Services’ (NYLBSI) Atlanta office last week, according to the company. He joins the insurer from INVESCO Retirement Plan Services where he had served as vice president and regional sales manager. Howell reports to Michael Anderson, national sales vice president for NYLBSI...
401kWire.com - Thursday, June 25, 1998 - Reader Rating: 3
Whitecap Changes Recordkeeper
Chicago, IL-based White Cap, Inc, a subsidiary of Schmalbach-Lubeca A.G. (Frankfurt: 719230) has changed its recordkeeper from William M. Mercer Associates and is now bundled with American Express Retirement Services, Barbara Hill, vice president of human resources, told the 401kWire. The plan has 1,200 participants with approximately $63 million in assets...
401kWire.com - Thursday, June 25, 1998 - Reader Rating: 3
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