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News Stories Archives - Since 1998
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Two Gotham Shops Team Up For an Active Muni ETF
The new fund reached the $20 million AUM on day one...
MutualFundWire.com -
Tuesday, September 10, 2024
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Trilogy Powers a PEP's Fifth Sleeve
This PEP was first launched in October 2022...
401kWire.com -
Tuesday, September 10, 2024
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Reader Rating: 5
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With a New Large Market Solution, Cap Group Focuses On Choice
An executive explains the bundled provider's new, multi-manager, partially passive TDF offering...
401kWire.com -
Tuesday, September 10, 2024
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A $1.59T-AUM Provider Debuts TDF-Powered Managed Accounts
The new offering, exclusive to the firm's recordkeeping clients for now, is powered by the same asset allocation methodology and underlying strategies that power the firm's $464-billion-AUM target-date business...
401kWire.com -
Tuesday, September 10, 2024
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In Georgia, an RIA Teams With Empower and Finway
Updated | The three firms are preparing to roll out a new PEP next month...
401kWire.com -
Tuesday, September 10, 2024
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DiLorenzo, Lieb, and 7 Fund Firms Win Big At a Gotham Gala
A trade publication's team honors 84 winning companies with the pub's 10th annual awards. The honorees gathered on Thursday in the Big Apple...
MutualFundWire.com -
Tuesday, September 10, 2024
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A $577B-AUM AM Hires a Global Ops and Platforms Chief
The Midwestern asset manager's new recruit is based in the Big Apple...
MutualFundWire.com -
Friday, September 10, 2021
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Reader Rating: 5
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How Much Ground Have TDFs Gained Post-PPA?
New research underscores how widespread target-date funds have grown, especially among younger participants...
401kWire.com -
Friday, September 10, 2021
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After More M&A, DiSalvo Makes Three Sales Team Updates
A relatively new hire rises, while two new faces join in the field...
401kWire.com -
Friday, September 10, 2021
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Reader Rating: 5
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An $88B-AUA KPA Aggregator Adds a Wealth Leader
The new hire most recently hailed from a bank- and credit union-focused B-D...
401kWire.com -
Friday, September 10, 2021
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Reader Rating: 5
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Equity Inflows and Money Market Outflows Both Collapse
The Refinitiv Lipper folks reveal the latest weekly U.S. fund flows data...
MutualFundWire.com -
Friday, September 10, 2021
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Reader Rating: 5
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Be a Brand They Want to Buy Into
A strategic consultant offers KPAs insights into enhancing their brands...
401kWire.com -
Thursday, September 10, 2020
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After 16 Years, a Midwestern Exec Leaves Nuveen
Updated | He joined a predecessor firm in 2014 and stayed on after the Nuveen acquisition almost a decade ago...
MutualFundWire.com -
Thursday, September 10, 2020
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Principal Upgrades Online, Adds Allies, and Preps For Round One
The RIS team is about to start moving the Wells Fargo IRT clients over to Principal's proprietary platform...
401kWire.com -
Thursday, September 10, 2020
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Reader Rating: 5
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Eight Years In, a DC Trade Group Revamps Online
The expanding group has upgraded their website...
401kWire.com -
Thursday, September 10, 2020
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For Deal 42, CapTrust Lifts Out a $6.27B-AUA Team
The deal brings over 13 staff serving about 240 plans...
401kWire.com -
Thursday, September 10, 2020
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In Jersey, Dallmer Finds DFA's Next C-Suiter
The new hire will join the $514-billion-AUM Lone Star State fund firm next week...
MutualFundWire.com -
Thursday, September 10, 2020
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A Cornhusker State RVP Joins Nationwide
He previously worked with Ameritas in a similar role...
401kWire.com -
Tuesday, September 10, 2019
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Miller Upgrades JPMAM's KPA Support. Expansion Is Next
The asset manager adds an online 401(k) proposal generation tool. Next stop: startup plans...
401kWire.com -
Tuesday, September 10, 2019
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Bell Adds a Voya IM Strategic Chief
The asset manager's CFO creates a new role to oversee "strategic planning, prioritization and execution efforts." Is M&A next?..
MutualFundWire.com -
Tuesday, September 10, 2019
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OneAmerica's Schroedle Pops In a Sales Vet
Schroedle took over small and mid-market retirement plans in December, and now he's found someone to fill his old shoes...
401kWire.com -
Tuesday, September 10, 2019
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Reader Rating: 5
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Gatch Doubles Down On a Fintech
JPMAM's next chief is investing further in a startup that specializes in helping individual investors find FAs...
MutualFundWire.com -
Tuesday, September 10, 2019
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Securian Gains a Standard Vet
The recordkeeper's team welcomes a national TPA relationship director...
401kWire.com -
Tuesday, September 10, 2019
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Reader Rating: 1
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A Fundster Entrepreneur Anoints His First New Partner Tranche
The fast-growing, two-year-old boutique now has 10 shareholders in total and remains 95-percent employee-owned...
MutualFundWire.com -
Monday, September 10, 2018
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Empower's Beantown Team Moves
A sister company is also moving...
401kWire.com -
Monday, September 10, 2018
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Reader Rating: 2
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Nationwide's Jones Hires Rodriguez's Marketing Successor
Updated | The new hire will lead marketing for the insurer's retirement plan provider arm...
401kWire.com -
Monday, September 10, 2018
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Reader Rating: 5
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Week In Preview, September 10-16
This week the teams at RPAG, That401kSite.com, and WiPN are all hosting events...
401kWire.com -
Monday, September 10, 2018
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Week In Preview, September 10-16
This week the teams at Echelon, Finra, FRA, the IDC, InvestmentNews, MMI, Opal, and the SEC are all hosting events...
MutualFundWire.com -
Monday, September 10, 2018
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A Friendly Reminder For a Big Down Day
Stock market jitters has spread throughout Asia and the rest of the world. With Wall Street not too far behind, how do you reassure your participants and alleviate their stresses?..
401kWire.com -
Thursday, September 10, 2015
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Will the Fiduciary Reg Cost North of $17.5B? Congress Want Answers
Today, the House Financial Services Capital Markets and Oversight subcommittees held a joint hearing, titled Preserving Retirement Security and Investment Choices for All Americans, on the Department of Labor's (DoL) proposed conflicts of interest concerning the fiduciary rule...
401kWire.com -
Thursday, September 10, 2015
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Reader Rating: 4
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Hancock Retains a $1.4B Retirement Plan Trio
A leading information and communication technology company is staying put with its current recordkeeper...
401kWire.com -
Thursday, September 10, 2015
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Reader Rating: 5
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MFWire is Getting New Insights
We are adding services to the MFWire. See what they are...
MutualFundWire.com -
Thursday, September 10, 2015
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In Stormy Weather and Markets, Allianz Gathers Gotham Reporters
Allianz Global Investors PMs talk market trends and opportunities at their midtown Manhattan headquarters on a rainy Big Apple morning...
MutualFundWire.com -
Thursday, September 10, 2015
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This Georgia-Based Advisor Aligns With a New OSJ
A managing director at Pensionmark aligns with a new OSJ...
401kWire.com -
Thursday, September 10, 2015
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A Wholesaler Turned Regional Account Manager Now has a New Title
A wholesaler turned regional account manager now has a new title!..
401kWire.com -
Thursday, September 10, 2015
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Hodge Ponders Layoffs
FoxBusiness reports that senior management at Pimco is "contemplating layoffs."..
MutualFundWire.com -
Thursday, September 10, 2015
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With the Three-Way Integration "Well-Underway," Murphy Preps a New Brand and a New Org Chart
Bob Reynolds just named Ed Murphy head of the freshly-expanded Great-West Financial retirement businesses. Here's what's on Murphy's plate next...
401kWire.com -
Wednesday, September 10, 2014
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Reader Rating: 5
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As Reynolds' Lieutenant Strives to Build the Retirement Shop of Choice, It's Business As Usual at Putnam
After acquiring another retirement plan business and appointing a lieutenant to lead the combined business, what's next for Bob Reynolds?..
MutualFundWire.com -
Wednesday, September 10, 2014
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Aspire Amps Up Its Online 403 Offerings
The enhancements are designed for both participants and advisors...
401kWire.com -
Wednesday, September 10, 2014
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Reader Rating: 5
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Ed Murphy Takes Over
The J.P. Morgan deal is done. Now Bob Reynolds is laying out the structure of the combined Great-West-Putnam-JPM retirement plan business...
401kWire.com -
Wednesday, September 10, 2014
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Reader Rating: 3.67
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Reynolds Makes His Retirement Choice: What's Next?
The Putnam chief picks one of his own to execute their retirement plan vision, after combining three retirement plan providers into one...
MutualFundWire.com -
Wednesday, September 10, 2014
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Reader Rating: 5
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Are Fund Directors Paid Too Much?
The Wall Street Journal delves into the world of mutual fund directors: their salaries, their services and whether they need more transparency...
MutualFundWire.com -
Wednesday, September 10, 2014
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This Shop Will Help You Build Your Own ETF
The FT reported on the launch of a new service for asset managers with less expertise and resources. ..
MutualFundWire.com -
Tuesday, September 10, 2013
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Critic Says DFA Has Descended Into Scientism
Advisor Perspectives' Michael Edesess said he is not a fan of DFA's use of research as a marketing tool. ..
MutualFundWire.com -
Tuesday, September 10, 2013
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EG Will Liquidate 12 ETFs
Emerging Global [profile] has filed to close 12 ETfs. [SEC filing]..
MutualFundWire.com -
Tuesday, September 10, 2013
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Reader Rating: 5
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iShares to Launch Four New Core Products
iShares [profile] will launch four Core Allocation ETFs, composed of portfolios built from the 10-product iShares Coresuite of ETFs. [SEC filing]..
MutualFundWire.com -
Tuesday, September 10, 2013
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Reader Rating: 5
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MFEA Narrows It Down to Three Do-Gooders
Has your fund firm been nice?..
MutualFundWire.com -
Tuesday, September 10, 2013
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Reader Rating: 1
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Another Yacktman Enters '40 Act Country
Brian launches his first mutual fund. It features afive-year-old all cap equity strategy...
MutualFundWire.com -
Tuesday, September 10, 2013
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Rekenthaler: Buy and Hold Isn't Dead Yet
Morningstar's John Rekenthaler reiterates his argument for buy and hold but says he is not necessarily for fixed portfolio allocation. ..
MutualFundWire.com -
Tuesday, September 10, 2013
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Ready Hires, Filling a Key Retirement Post at Wells
A veteran DC exec joins the bank's bundled retirement plan provider business to lead a team of more than 400...
401kWire.com -
Tuesday, September 10, 2013
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iShares Expands Its Core By Four
Four new allocation ETFs offer portfolios based on other iShares products...
MutualFundWire.com -
Tuesday, September 10, 2013
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NIPA Debuts VIP Features
The National Institute of Pension Administrators is offering two new monthly services to its business members. ..
401kWire.com -
Tuesday, September 10, 2013
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Jaffe Warns Investors About Bad Mutual Fund Relationships
Chuck Jaffe of MarketWatch writes about investors who stay with ..
MutualFundWire.com -
Tuesday, September 10, 2013
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ClearBridge Unveils an Energy Product
Legg Mason arm has launched a new fund...
MutualFundWire.com -
Tuesday, September 10, 2013
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New York Life Blazes Past a Multi-Billion-Dollar Stable Value Milestone
Guaranteed Interest Account (GIA) assets topped $2 billion. ..
401kWire.com -
Tuesday, September 10, 2013
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Gross Roundup: Has Gross Still Got It or Is He Just Misunderstood?
Is Bill Gross misunderstood? The Fiscal Times ponders the question. ..
MutualFundWire.com -
Tuesday, September 10, 2013
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Reader Rating: 2
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Fido Hit With Lawsuit Over Its Own 401k Plan
The class in a federal suit against Fidelity has grown larger. ..
MutualFundWire.com -
Tuesday, September 10, 2013
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Reader Rating: 5
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M* Names Five Funds to Bet on for Muni Rebound
Morningstar's Russel Kinnel touted five municipal bond funds, including three from Vanguard...
MutualFundWire.com -
Tuesday, September 10, 2013
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Two Fifth Third Deals Are Now Done
The fund sale's to Federated and Touchstone are now final...
MutualFundWire.com -
Monday, September 10, 2012
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The White House Lauds a 401k Data Shop
The Administration publishes a report on open government...
401kWire.com -
Monday, September 10, 2012
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Reader Rating: 3.55
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Transamerica Gets a Little Less Diversified
The two companies will formally merge, shedding the Diversified brand...
401kWire.com -
Monday, September 10, 2012
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Reader Rating: 4.25
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DFA Lands A New 401k Partner
The shop has a new partner in a small market recordkeeper..
MutualFundWire.com -
Monday, September 10, 2012
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Reader Rating: 5
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Reports of a Fund's Death Are Greatly Exaggerated
A Well's Fargo fund, reported dead in a Stork And Reaper story, was actually restructured due to a PM's move to Singapore...
MutualFundWire.com -
Monday, September 10, 2012
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Paychex Adds Another DC I-O to Its RKing Platform
The RKer has struck a deal with an asset management firm...
401kWire.com -
Monday, September 10, 2012
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Reader Rating: 1
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It's Official: BlackRock Will Cut Some ETF Fees
Larry Fink tells conference audience that his firm will announce a "whole strategy" addressing fee issue...
MutualFundWire.com -
Monday, September 10, 2012
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BMO Rebrands Three of Its Businesses
The rebranding represents full integration into the BMO brand, but not a change in operations...
401kWire.com -
Monday, September 10, 2012
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Reader Rating: 4
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ING Helps Advisors Articulate Value
The DC I-O shop launches a new program for 401k intermediaries...
401kWire.com -
Monday, September 10, 2012
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A Chicago TPA Hires an Ex-Provider Chief
The post is a brand new one for the non-RKing shop...
401kWire.com -
Monday, September 10, 2012
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Reader Rating: 4.33
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Neuberger Berman Hires a Wirehouse Key Exec
Brendan Gill will head up national accounts in the firm's advisor solutions group...
MutualFundWire.com -
Monday, September 10, 2012
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Reader Rating: 5
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A Milliman Insider Succeeds the CEO
The consulting and actuarial shop's board names a new chief...
401kWire.com -
Monday, September 10, 2012
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M* Says Fidelity Flounders
The fund rater says size and lack of confidence in fund management are hurting Fidelity's ratings. ..
MutualFundWire.com -
Monday, September 10, 2012
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A Hedge Fund Scandal Stings M*
Chuck Jaffe uses an alts lawsuit as an opportunity to remind mutual fund investors that ratings aren't perfect...
MutualFundWire.com -
Monday, September 10, 2012
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WSJ Is All Over Deutsche's Sale
Deutsche Bank's two chiefs prepare to lay out their turnaround vision...
MutualFundWire.com -
Monday, September 10, 2012
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T. Rowe Mid-Cap PMs Get a Barron's Interview
David Wallack and Heather McPherson talk stocks and survey the mid-cap horizon. ..
MutualFundWire.com -
Monday, September 10, 2012
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Vanguard Is Catching Up on ETFs
Jack Bogle's firm is cutting the cap between them and ETF giant iShares...
MutualFundWire.com -
Monday, September 10, 2012
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Barron's Says BlackRock-Vanguard Fee War May Escalate
Vanguard has seen industry-leading asset inflows since slashing fees in the Spring...
MutualFundWire.com -
Monday, September 10, 2012
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Gundlach and Two Others to PM a Guidemark Fund
Three PM's from three different shops are joining forces...
MutualFundWire.com -
Monday, September 10, 2012
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A Former TIAA-CREF Distribution Exec Joins GaveKal
The exec now heads up distribution for Denver-based GaveKal, which is preparing to the enter the mutual fund business...
MutualFundWire.com -
Friday, September 10, 2010
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A 403b-Focused NRP Shop is on the Prowl
An advisory firm in the Northeast searches for a new retirement plan advisor...
401kWire.com -
Friday, September 10, 2010
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Reader Rating: 1
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iShares Hires an RPAG Alum
The BlackRock ETF unit taps an industry veteran to reach out to recordkeepers and TPAs...
401kWire.com -
Friday, September 10, 2010
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Reader Rating: 1
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UNIFI's Powers Officially Joins Lincoln
For his new gig, the 401k vet will be focusing on M&A...
401kWire.com -
Friday, September 10, 2010
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Reader Rating: 2.33
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Old Mutual Hunts for a New Asset Management CEO
Tom Turpin is leaving to pursue other opportunities...
MutualFundWire.com -
Friday, September 10, 2010
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Reader Rating: 5
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RKers Promote 401k Day
What is your firm doing for 401k Day?..
401kWire.com -
Friday, September 10, 2010
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PMs Exhibit Same-Difference Behavior
A Bloomberg article says managers are more correlated to the market than they would like to be. ..
MutualFundWire.com -
Friday, September 10, 2010
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Fixed Income Still Dominates Mutual Fund Flows, With One Big Exception
ETFs reportedly swing equity fund flows by more than $6 billion in a single week...
MutualFundWire.com -
Friday, September 10, 2010
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The Money Fund Guarantee Will Be Gone for Good Next Week
The year-old program will close according to schedule, the Obama administration said...
MutualFundWire.com -
Thursday, September 10, 2009
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Davey Quietly Gains Broader Duties at Hartford
For the second time in 13 months, Jim Davey sees his duties grow...
401kWire.com -
Thursday, September 10, 2009
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Reader Rating: 4
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Mutual Fund Tax Reform Returns to the Table, Again
Two Republican members of Congress revive a proposal to allow fund shareholders to defer capital gains from the sale of holdings within the funds...
MutualFundWire.com -
Thursday, September 10, 2009
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Old Mutual Helps the Financial Press 'Look Ahead'
The asset management holding company gathers executives from across its boutiques to talk with the media...
MutualFundWire.com -
Thursday, September 10, 2009
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Principal Finds Deferral Boosters Outnumbering Deferral Cutters
Principal unveils a new report on retirement savings trends...
401kWire.com -
Thursday, September 10, 2009
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ING Fills a New C-Level Post
The new appointee will lead a freshly formed group within ING's retirement unit...
401kWire.com -
Thursday, September 10, 2009
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ExpertPlan Inks a Deal with Schwab
The deal enables ExpertPlan to build stronger ties to fee-based advisors and RIAs...
401kWire.com -
Thursday, September 10, 2009
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Reader Rating: 4
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Putnam Says its Web Site is Drawing More Eyeballs
Site traffic is up 46 percent in the last three months, say company execs. On Thursday, the Boston firm unveiled a site devoted to its global sector funds...
MutualFundWire.com -
Thursday, September 10, 2009
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Hartford Moves to Bolster Distribution
The Connecticut-based insurer unveils a new distribution arm for its investment and retirement products...
MutualFundWire.com -
Thursday, September 10, 2009
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Reader Rating: 4
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Hartford Restructures its Sales Team
The Connecticut-insurer forms a new distribution unit...
401kWire.com -
Thursday, September 10, 2009
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Reader Rating: 5
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Morningstar Rails Against 'Lousy' Target-Date Fund Disclosure
Morningstar on Wednesday released a report on target-date funds...
MutualFundWire.com -
Thursday, September 10, 2009
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Assets in Exchange-Traded Products Reach a Record High
In Thursday's Fund Track column, the WSJ picks up on exchange-traded data from Barclays Global Investors...
MutualFundWire.com -
Thursday, September 10, 2009
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A Maryland B-D Changes Hands
The deal, expected to close by yearend, will send the b-d to an insurance company parent...
MutualFundWire.com -
Wednesday, September 10, 2008
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Lehman Posts $3.9 Billion Q3 Loss
A day after Lehman Brothers' stock took a severe beating, the i-bank reported preliminary third quarter results and unveiled a plan to boost capital...
MutualFundWire.com -
Wednesday, September 10, 2008
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ETF Manager Charges Into 403b Via CalSTRS
A California-based ETF specialist teams up with a trading platform down South to offer a new product the non-profit DC space...
401kWire.com -
Wednesday, September 10, 2008
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What's Next for Alan Schwartz?
The ex-Bear Stearns CEO has surfaced, but it seems he won't be in that company for long...
MutualFundWire.com -
Wednesday, September 10, 2008
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403b TPA Tapped to Run Superior School Plan
A Midwestern school district chooses a recordkeeper for its defined contribution plan...
401kWire.com -
Wednesday, September 10, 2008
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Chetney Draws in Four More Firms
NRP expands its network again...
401kWire.com -
Wednesday, September 10, 2008
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Reader Rating: 3
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MassMutual DC Sales Alum Switches to Consulting
A New England-based firm brings in its latest consultant from a provider...
401kWire.com -
Wednesday, September 10, 2008
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Reader Rating: 3
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Goldman Slashes its Outlook on Asset Managers
Goldman Sachs sees continued pressure on AUM and earnings growth in the quarters ahead...
MutualFundWire.com -
Wednesday, September 10, 2008
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Gallagher Retirement Lures an ADP Sales Vet
The insurance brokerage makes an addition to its DC sales team down South...
401kWire.com -
Wednesday, September 10, 2008
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Reader Rating: 1
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While Others Reel, This Fund Wins Big from the Fannie-Freddie Drama
The fund angled its holdings to profit from a bailout...
MutualFundWire.com -
Wednesday, September 10, 2008
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McNabb Opens Up To MStar
The new Vanguard CEO grants an interview and talks globalization and new products, and says Vanguard isn't going public...
MutualFundWire.com -
Wednesday, September 10, 2008
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Lehman Reveals its Plan for its Investment Management Unit
Lehman execs laid out their plan on Wednesday morning...
MutualFundWire.com -
Wednesday, September 10, 2008
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Morgan Stanley Expands 401k Provider List
The wirehouse has added a Northeast provider to its list...
401kWire.com -
Monday, September 10, 2007
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Reader Rating: 3.5
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Goldman Targets the Retirement Market
The New York firm is the latest to unveil a batch of target-date funds...
401kWire.com -
Monday, September 10, 2007
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The Best May Not Win Target Fund Market Share
Being the best manager may not be enough to win the target-date game. A new study finds that only a tiny portion of target-date assets have flowed to third-party 'best-of-breed' managers...
401kWire.com -
Monday, September 10, 2007
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Reader Rating: 2
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BGI Drops One Muni-Bond ETF onto the AMEX, Files for Two More
The San Francisco investment manager's first muni-bond ETF began trading on the AMEX today...
MutualFundWire.com -
Monday, September 10, 2007
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Reader Rating: 2.4
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More ETFs Slide Onto PowerShares' Line-up
PowerShares is at it again, adding another five ETFs to its its lineup...
MutualFundWire.com -
Monday, September 10, 2007
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Reader Rating: 1
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Exec Rejoins ExpertPlan
The executive is in charge of overseeing the outsourced recordkeeper's national expansion, starting with the opening of the firm's first regional sales office...
401kWire.com -
Monday, September 10, 2007
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Reader Rating: 1
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SEC Approves New Fourfold FINRA VA Rule
The SEC last week approved a new FINRA rule that focuses on the sale of variable annuities...
MutualFundWire.com -
Monday, September 10, 2007
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Reader Rating: 3
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Goldman Sachs Saves the Date with New Mutual Funds
Continuing the trend towards target-date retirement funds, GSAM has thrown six new target-date mutual funds in the ring...
MutualFundWire.com -
Monday, September 10, 2007
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Reader Rating: 3
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TPAs See More From STN
TPAs and BDs working with 401k plan clients are getting a host of new tools from SunGard and Fidelity through the STN platform...
401kWire.com -
Monday, September 10, 2007
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WisdomTree Plans Rollout of Retirement Platform
The ETF specialist's stab at getting exchange-traded funds onto 401k participant's plates could come as soon as next month...
401kWire.com -
Monday, September 10, 2007
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Egenera to Power Pioneer's PeopleSoft
Pioneer Investments will use Egenera as the platform to support its PeopleSoft infrastructure and other applications...
MutualFundWire.com -
Monday, September 10, 2007
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Reader Rating: 5
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Currency Trader Buys Up Bear Shares
Are Bear Stearns shares a bargain? A British investor seems to think so...
MutualFundWire.com -
Monday, September 10, 2007
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Bush's Envoy to Darfur Groups: You May Have Outlived Your Usefulness
Mutual fund companies may be getting a reprieve from activist calls that they divest from Darfur...
MutualFundWire.com -
Monday, September 10, 2007
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Reader Rating: 1.5
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A US Diplomat Worries Over Sudan Activists Getting in the Way
While activist groups are pushing mutual fund firms out of their Sudan-related investments, U.S. diplomats are trying to push the activists out of the way...
MutualFundWire.com -
Monday, September 10, 2007
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Reader Rating: 3
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FBR Prospectus Changes Could Irk Shareholders
FBR's change to the prospectus of the FBR Small cap fund came without it seeking shareholder approval. That faux pas is translating into shareholder discontent, according to fund insiders...
MutualFundWire.com -
Monday, September 10, 2007
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Reader Rating: 2.2
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Janus Turns the Corner, Again
Janus' hometown paper says that the firm has finally gotten past some of its past troubles, like outflows and the market-timing scandal, but other problems continue to loom large...
MutualFundWire.com -
Monday, September 10, 2007
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Reader Rating: 2.67
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ETFs Are Missing Their 401k Opp
While the ranks of 401(k) providers lining up to use ETFs to attack the 401(k) market are growing, they are still failing to make noticeable progress...
MutualFundWire.com -
Monday, September 10, 2007
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Reader Rating: 3
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Old Mutual Seeks to Raise Brand Profile in the U.S.
U.K.-based Old Mutual wants people in the U.S to think of them when they think of mutual funds...
MutualFundWire.com -
Monday, September 10, 2007
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NASD Orders Prudential to Pay $300,000
Two badly behaving brokers have left Prudential in the lurch. Carlos Jimenez and Brian Talgo of a Prudential branch in La Jolla, California lost one client more than $350,000 within nine months. A NASD arbitration panel ordered Pru to pay $232,000 in restitution, more than $40,000 in interest, and costs and fees of $19,000...
MutualFundWire.com -
Friday, September 10, 2004
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3,029,000 Served at Ameritrade
Ameritrade gained 10,000 net accounts in August, for a total of 3,029,000 accounts. Those three million-plus accounts added up to approximately $67.4 billion in assets...
MutualFundWire.com -
Friday, September 10, 2004
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Raymond James Braces for Ivan
Raymond James’s employees must feel downright lucky most of the year, basking in the warm of the Florida sun. But having company headquarters in the Tampa Bay area can have downsides, especially in hurricane season. Never fear: Raymond James said that it is monitoring the weather, and will have backup operations up and running in Detroit if an office closure is necessary...
MutualFundWire.com -
Friday, September 10, 2004
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Two Embark at Voyageur
The RBC Dain Rauscher unit has hired Jennifer Hunt, the former director of public fund sales and marketing at Loomis, Sayles, as its new institutional public fund sales and client services head. John Huber also joins as chief investment officer of fixed income...
MutualFundWire.com -
Friday, September 10, 2004
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SEC Says No Can Do
SEC commissioners voted 3-2 to turn down a request by the trade group the U.S. Chamber of Commerce to delay its fund governance rule, expected to take effect in January 2006. The group tried to delay the rule while it pursues a case against the agency, reports the WSJ...
MutualFundWire.com -
Friday, September 10, 2004
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Fund Firms Try to Reach the Masses
Advertising buys in the first half of 2004 compared to the first half of 2003 differed markedly for some of the top 25 fund firms...
MutualFundWire.com -
Friday, September 10, 2004
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Industry Reps Call For Redemption Fee Exceptions
Members of the retirement industry also address rumors that the SEC plans NOT to mandate specific redemption fees...
401kWire.com -
Friday, September 10, 2004
-
Reader Rating: 4
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Putnam Unifies Small Cap Team Management
Edward Shadek will step up as head of all of Putnam’s small cap teams. Kevin Divney and Paul Marrkand will assume leadership of the New Opportunities Fund...
MutualFundWire.com -
Friday, September 10, 2004
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Searches Reported This Week
One billion is up for bid in Missouri, and the Massachusetts Port Authority is looking for an investment consultant...
401kWire.com -
Friday, September 10, 2004
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Gabelli to Lose $810 MM Subadvisory Contract
One of Gabelli Asset Management’s subadvisory clients will pull the largest of three portfolios that it has with the Rye, New York-based money manager in mid-November. The assets represent 3 percent of total assets under management. Based on Gabelli's total assets under management base of $27 billion, that contract alone represents approximately $810 million...
MutualFundWire.com -
Friday, September 10, 2004
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Oxley Slams Contractual Fund Sales to G.I.s
Fund companies do not have a friend in Congressman Michael Oxley. The chairman of the House Committee on Financial Services railed against abusive fund and insurance sales practices in a hearing of the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises...
MutualFundWire.com -
Friday, September 10, 2004
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DIA Wins $84mm
Diversified Investment Advisors picks up four plans at a Keystone State health system that was attracted to its low fees...
401kWire.com -
Friday, September 10, 2004
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Janus Hires Head of Intermediary Sales; Launches TV Campaign
Dominic Martellaro joins Janus Capital as senior vice president and managing director of Global Intermediary Distribution...
MutualFundWire.com -
Friday, September 10, 2004
|
iShare Inroads
Another company will be offering iShare products to the 401k market...
401kWire.com -
Friday, September 10, 2004
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Reader Rating: 5
|
One Group Slapped with Second Suit
This time the case is filed in New York...
MutualFundWire.com -
Wednesday, September 10, 2003
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Security Trust Lays Out Its Plans
The custodian tells its clients what it is doing in response to the Spitzer allegations...
MutualFundWire.com -
Wednesday, September 10, 2003
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Reader Rating: 4
|
Strong Funds Faces Two More Suits
Individuals have filed at least two more suits against the fund firm bringing the total naming Strong to no less than four...
MutualFundWire.com -
Wednesday, September 10, 2003
|
Kansas Fund Firm on Spitzer List
Another subpoenas from the New York AG surfaces at Waddell & Reed...
MutualFundWire.com -
Wednesday, September 10, 2003
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Reader Rating: 3
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ING VAs Add American Funds
The insurer is adding three portfolios from the hot fund manager to its variable annuity line...
MutualFundWire.com -
Wednesday, September 10, 2003
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Walker MacRae Adopts PlanTools Upgrade
The firm says it will be able to offer new functions for TPAs...
401kWire.com -
Wednesday, September 10, 2003
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Franklin Adds Three Muni Funds
They are its first shorter-term funds in the category...
MutualFundWire.com -
Wednesday, September 10, 2003
|
SanFran Bank Readies SoloK
The regional bank will debut its product on Sept. 15...
401kWire.com -
Wednesday, September 10, 2003
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WSJ Highlights Security Trust Role
While coverage of STC was mostly absent during the past week. That may change going forward...
MutualFundWire.com -
Wednesday, September 10, 2003
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Reader Rating: 4.5
|
State Street Sues Agway Fiduciaries
401k participants paid too much for Agway stock and were not informed of the risks, claims the bank...
401kWire.com -
Wednesday, September 10, 2003
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Sanders Amendment Passes House
The bill limits the ability of Treasury to pen new cash balance regs...
401kWire.com -
Wednesday, September 10, 2003
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Donaldson Laments Lack of Coordination
Warns Senators that the politicization of securities law enforcement is very dangerous...
MutualFundWire.com -
Wednesday, September 10, 2003
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SEC Info Probe Targets Four Score Fund Firms
Up to 80 fund firms and 34 brokerages were sent subpoenas by the SEC...
MutualFundWire.com -
Wednesday, September 10, 2003
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FleetBoston Unit Hears From Spitzer
Add a Boston fund firm to the growing list...
MutualFundWire.com -
Wednesday, September 10, 2003
|
Bay State Sponsor Files Chapter 11
Another plan sponsor has sought court protection from creditors...
401kWire.com -
Tuesday, September 10, 2002
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GIC Assets Are Booming
The segment is one bright spot in a moribund industry...
401kWire.com -
Tuesday, September 10, 2002
|
Roi Enters Marketing Alliance
The firm has big plans for one of its offerings...
MutualFundWire.com -
Tuesday, September 10, 2002
|
GE Busts a Move
The firm is expanding its separate account operations...
MutualFundWire.com -
Tuesday, September 10, 2002
|
Conseco Wins Reprieve
The troubled firm negotiates more time from its bank lenders...
MutualFundWire.com -
Tuesday, September 10, 2002
|
Security Trust Lands West Coast TPA
The Bay Area firm is adding the trust company as its second solution for sponsors...
401kWire.com -
Tuesday, September 10, 2002
|
New Channel, New Names
Three offerings get a name change as they enter a new distribution channel...
MutualFundWire.com -
Tuesday, September 10, 2002
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Templeton Makes Investment
The legend sees a future in medical communications...
MutualFundWire.com -
Tuesday, September 10, 2002
|
Senate Bill Creates New Liability
A little noted provisions will expand fiduciary liability issues in 401k plans contends the Spark Institute...
401kWire.com -
Tuesday, September 10, 2002
|
Boosting 529 Visibility
A number of firms have joined together to get the 529 message out to advisors...
MutualFundWire.com -
Tuesday, September 10, 2002
|
Law Firm Enters Fray
Through a new alliance, a law firm dives headlong into the mutual fund niche...
MutualFundWire.com -
Tuesday, September 10, 2002
|
Leaving Mother Merrill
A fund manager resigns his post...
MutualFundWire.com -
Tuesday, September 10, 2002
|
Ready for Redmond
There is a new mutual fund head honcho at Safeco...
MutualFundWire.com -
Tuesday, September 10, 2002
|
American Skandia Targets 401k Investors
The firm offers a new service for those with 401k plans...
MutualFundWire.com -
Monday, September 10, 2001
-
Reader Rating: 3
|
BofA Grabs Marketer
The bank takes a head marketer from the Citi...
MutualFundWire.com -
Monday, September 10, 2001
-
Reader Rating: 3
|
Nebraska Takes AIM
The week kicks off with yet then announcement of yet another 529 deal. Once again, it will be intermediary distributed...
MutualFundWire.com -
Monday, September 10, 2001
-
Reader Rating: 3
|
Teaming with Morningstar
The firm has a new advice alliance partner...
401kWire.com -
Monday, September 10, 2001
-
Reader Rating: 3
|
Two Gone from Mother Merrill
Soap Opera Time at Boston Partners ... Houtzager Turns to Art ... Firm Fires Two Senior Execs ... Gabelli Lobbies Against Drug Co Sale ... Doudna on the Move...
MutualFundWire.com -
Monday, September 10, 2001
-
Reader Rating: 3
|
Two Gone from Mother Merrill
Soap Opera Time at Boston Partners ... Houtzager Turns to Art ... Firm Fires Two Senior Execs ... Gabelli Lobbies Against Drug Co Sale ... Doudna on the Move...
401kWire.com -
Monday, September 10, 2001
-
Reader Rating: 3
|
McKendry Joins Dot Com
The executive has taken a post at DailyAccess.Com...
401kWire.com -
Monday, September 10, 2001
-
Reader Rating: 3
|
Helms at the Helm
The executive signs on with Financial Engines...
401kWire.com -
Monday, September 10, 2001
-
Reader Rating: 3
|
Week of September 10, 1999
RFP Roundupt
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, September 10, 1999
-
Reader Rating: 3
|
Transamerica Life Offers New VA Options
Transamerica Life is adding two new sub-account portfolio choices to its variable annuity products from Pimco and MSDW...
MutualFundWire.com -
Friday, September 10, 1999
-
Reader Rating: 3
|
Fund Data Compiler Expands Into Japan
San Francisco-based fund info provider Vestek is going global with the introduction of its Vestek Select product to Japan...
MutualFundWire.com -
Friday, September 10, 1999
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Reader Rating: 3
|
SVA September 2, 1999
The GIC rate was up 20 basis points at the same time that Treasury rates were up 25 basis points.
Weekly Bullet GIC/BIC Statistics from FCM
Rates as of September 2, 1999*
| Compound
Rates |
3 Year |
5 Year |
7 Year |
10 Year |
| High |
7.06 |
7.25 |
7.37 |
7.59 |
| Average |
6.74 |
6.99 |
7.12 |
7.34 |
| Low |
6.35 |
6.58 |
6.69 |
7.11 |
| Treasuries |
5.77 |
5.86 |
5.90 |
5.97 |
| Spread |
1.29 |
1.39 |
1.47 |
1.62 |
| Issuers |
21 |
21 |
17 |
9 |
| Simple
Rates |
3 Year |
5 Year |
7 Year |
10 Year |
| High |
7.02 |
7.18 |
7.30 |
7.47 |
| Average |
6.65 |
6.88 |
7.01 |
7.24 |
| Low |
6.18 |
6.37 |
6.52 |
6.78 |
| Treasuries |
5.77 |
5.86 |
5.90 |
5.97 |
| Spread |
1.25 |
1.32 |
1.40 |
1.50 |
| Issuers |
25 |
25 |
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 -
Friday, September 10, 1999
-
Reader Rating: 3
|
Oppenheimer Lures Fidelity Institutional Exec
Oppenheimer is building out its institutional asset management business with the hire of an ex-Fido institutional veteran...
MutualFundWire.com -
Friday, September 10, 1999
-
Reader Rating: 3
|
Odd Lots, September 10, 1999
State Street buys into middle market trust and custody business ... The cash influx dilemma ... Top 10 firms hog inflows...
MutualFundWire.com -
Friday, September 10, 1999
-
Reader Rating: 3
|
Fore A Change
The General Electric subsidiary has grown out of its old plan provider and signed on with a new bundled one...
401kWire.com -
Friday, September 10, 1999
-
Reader Rating: 3
|
Merrill Takes the Plunge With Howard Johnson
Merrill Lynch & Co. Inc. will acquire Howard Johnson & Company, a consulting and actuarial services firm based in New York. Rumors of the purchase have been floating through the market for months and were first reported by the 401kWire.com last spring (see Will Merger Mania on Wall Street End Up on 401(k) Avenue?). Terms of the deal were not disclosed. Parties expect the transaction to close in mid-October. ..
401kWire.com -
Thursday, September 10, 1998
-
Reader Rating: 3
|
Stable Value is Beneficiary of Participant Reallocations
After years of drought, are stable value managers once again ready to enter the land of plenty? Reports from the field are suggesting that the participants' long love affair with equities is beginning to cool. Also, a retirement at SSgA, more on stable mutual funds, and current GIC rates from Fiduciary Capital Management...
401kWire.com -
Thursday, September 10, 1998
-
Reader Rating: 3
|
Diebold Bundles Plan
Canton, OH-based Diebold, Inc. (NYSE: DBD) has chosen The Vanguard Group to be the bundled provider for the company's 401(k) plan, Jan Kohl, benefits coordinator, told the 401kWire. The plan has $150 million in assets with approximately 5,200...
401kWire.com -
Thursday, September 10, 1998
-
Reader Rating: 3
|
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