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News Stories Archives - Since 1998
Week In Preview, August 7 - August 13 This week, the teams at Ariel, LPL, MFDF, MMI, and WE are hosting events... MutualFundWire.com - Monday, August 7, 2023
A Departing Distro Leader Reflects and Looks Ahead The executive is moving on early next year, as previously reported... MutualFundWire.com - Tuesday, December 6, 2022
A U.S. Distro Chief Will Join a $476B-AUM Firm The Southeastern asset manager's new executive hire is based in New England... MutualFundWire.com - Monday, September 12, 2022
Week In Preview, July 25 - July 31 This week, the teams at Charles Schwab, Expect Miracles, IMEA, and LPL are hosting events... MutualFundWire.com - Monday, July 25, 2022
An Ex-SSGA Distro Leader Joins a B-D Giant The veteran fundster sales exec serves as divisional manager in the East for a publicly traded broker-dealer... MutualFundWire.com - Thursday, July 29, 2021 - Reader Rating: 5
After a $76B-AUM Deal, What's Next For This Multinational? The acquirer's chief talks about the deal, the ongoing integration, and more... MutualFundWire.com - Thursday, May 20, 2021
Ivy lands At Its New Home A multinational asset manager closes on its planned acquisition of Ivy Funds' parent... MutualFundWire.com - Friday, April 30, 2021
Macquarie Makes Its Biggest U.S. Buy In a Decade The publicly traded Australian multinational agrees to shell out a net $1.4 billion for a $68-billion-AUM mutual fund firm... MutualFundWire.com - Thursday, December 3, 2020
The Top MFWire Stories of the Decade The 2010s are ending, and the 2020s are about to begin... MutualFundWire.com - Tuesday, December 31, 2019
Week In Preview, August 19-25 This week the teams at LPL, Washington University, and YPEM are all hosting events... MutualFundWire.com - Monday, August 19, 2019
Week In Preview, August 12-18 This week the team at LPL will kick off a giant event... MutualFundWire.com - Monday, August 12, 2019
The Fundster 401k Roundup, March 9-15 A private equity-backed RKer buys again... MutualFundWire.com - Friday, March 15, 2019
In 2019, Watch This Robo, That VC, and Those Twins A trade pub recognizes "people who will change wealth management" next year... MutualFundWire.com - Monday, December 24, 2018
Week In Preview, November 12-18 This week the teams at the ICI, Informa, T. Rowe Price, and Voya are all hosting events... MutualFundWire.com - Monday, November 12, 2018
Week In Preview, November 5-11 This week the teams at Baron Funds, the Expect Miracles Foundation, and NYFWA are all hosting events... MutualFundWire.com - Monday, November 5, 2018
Casady Raises $58.9MM The former LPL chief has shifted into a different business ... with the support of asset managers, insurers, family offices, and individual financial services industry insiders... MutualFundWire.com - Wednesday, August 29, 2018
Week In Preview, July 30-August 5 This week the teams at the Expect Miracles Foundation, LPL, and Tiburon are all hosting events... MutualFundWire.com - Monday, July 30, 2018
As Cetera Reorgs, the Platform Remains Unchanged and an Ex-Fundster Departs The chief of the indie B-D network is making big changes... MutualFundWire.com - Friday, February 16, 2018
What a Shifting Super-OSJ Wants From You MFWire talks to the president of a shop that is aligning with an indie B-D giant... MutualFundWire.com - Monday, February 12, 2018 - Reader Rating: 1
2017's Most Popular MFWire Stories Here are our most read stories of the year... MutualFundWire.com - Friday, December 29, 2017
Casey Consolidates American Century's Marketing Efforts A top exec departs as the Midwestern mutual fund shop puts its marketing and product teams under a single chief... MutualFundWire.com - Monday, November 6, 2017
Follow the Fundsters - October 20, 2017 Keep track of the latest people moves in the mutual fund business... MutualFundWire.com - Friday, October 20, 2017
Week In Preview, October 2-8 Managed accounts execs gather in Chitown while fundsters converge on Beantown and KPAs meet outside LA... MutualFundWire.com - Monday, October 2, 2017
Week In Preview, September 25-October 1 eMoney Advisor, FIASI, Fund Intelligence, the ICI, informa, LPL, NAGDCA, the PSCA, and WiPN are all hosting events this week... MutualFundWire.com - Monday, September 25, 2017
In Other Industries, This Would Just Be Bad PR Another regulator smites another distributor, this time to the tune of $1.1MM, over improper use of mutual fund share classes... MutualFundWire.com - Friday, September 15, 2017
LPL Adds Strategists and Builds Towards a UMA Platform The giant indie B-D's home office team is expanding a core platform in several key ways. And fundsters, they're still adding strategists... MutualFundWire.com - Thursday, September 14, 2017
Stein Opens Betterment's Doors to Two More Asset Managers Vanguard's ETFs will no longer be the only stuff underlying portfolios at the largest independent roboadvisor... MutualFundWire.com - Wednesday, September 13, 2017
Follow the Fundsters - August 22, 2017 Hires, fires and the like!.. MutualFundWire.com - Tuesday, August 22, 2017
Filings for Fundsters - August 21, 2017 A compilation of the latest SEC filings!.. MutualFundWire.com - Monday, August 21, 2017
Mutual Funds Only? Fundsters Explain LPL's New Platform Here's what some executives of the fund firms on the platform are saying..... MutualFundWire.com - Friday, August 4, 2017
LPL's Cyborg Advisor Program Is Almost Here It's been two years since Dan Arnold first revealed that the giant indie B-D was working on an advisor-friendly robo solution... MutualFundWire.com - Wednesday, August 2, 2017
Arnold Reveals LPL's Three-Pronged "Awesome Plan to Win" Seven months into leading the indie B-D giant, he takes the stage at its annual conference... MutualFundWire.com - Tuesday, August 1, 2017
Arnold Rallies LPL FAs Around the Opp of a Generation The chief speaks at the indie B-D's giant annual conference, this time in Boston... MutualFundWire.com - Monday, July 31, 2017
Kelly Clarkson Rocks LPL While Fundsters Talk Merger Meanwhile, LPL chief Dan Arnold will take the stage this morning at the giant conference in Beantown... MutualFundWire.com - Monday, July 31, 2017
Previewing LPL Focus 2017 7,000 FAs and their families, fundsters, LPL employees, and other advisor allies are converging in Beantown over the next few days... MutualFundWire.com - Friday, July 28, 2017
Meet MFWire In Boston! Next week MFWire will be be in Beantown for the giant LPL Focus 2017 conference... MutualFundWire.com - Wednesday, July 26, 2017
Week In Preview, July 24-30 In less than a week, thousands of FAs and fundsters will converge in Beantown... MutualFundWire.com - Monday, July 24, 2017
B-Ds Are Shifting Away From Direct Fund Biz As the DoL's possible final implementation date approaches, direct or so-called "check-and-app" mutual fund business is out of favor at broker-dealers... MutualFundWire.com - Wednesday, July 19, 2017
Week In Preview, July 17-23 401k plan advisors are pulling a Jimmy Stewart and going to Washington... MutualFundWire.com - Monday, July 17, 2017
20 Fund Firms Team Up With LPL For a New Mini-Mart The Mutual Fund Only platform will be available to LPL advisors and institutions in early 2018..... MutualFundWire.com - Thursday, July 13, 2017
Follow the Fundsters - June 27, 2017 Fires, Hires, and the Likes!.. MutualFundWire.com - Tuesday, June 27, 2017
Week In Preview, June 26-July 2 401(k) folk are gathering in the Midwest, while other retirement industry insiders and fixed income veterans are converging in the Big Apple... MutualFundWire.com - Monday, June 26, 2017
Follow the Fundsters - June 5, 2017 Hires, fires, and the like! .. MutualFundWire.com - Monday, June 5, 2017
Clayton Enters the Fiduciary Fray as Two B-D Giants Make Tweaks The SEC chief wants to hear from you. Meanwhile, another big broker-dealer is standing by retirement account commissions, sort of, and an indie B-D makes changes around no-load mutual funds, fixed annuities, and UITs... MutualFundWire.com - Friday, June 2, 2017
B-D 401k Execs Chin Stroke on T-Shares Will big broker-dealers use the new share class in a post-DOL? Maybe not, at least for now..... MutualFundWire.com - Thursday, June 1, 2017
Week In Preview, May 30-June 4 Advisors in Sin City, fixed income folk in Gotham, and 401(k) recordkeepers outside our nation's capital... MutualFundWire.com - Tuesday, May 30, 2017
Langlois Joins a Fidelity Subsidiary The Fidelity exec left early this month. .. MutualFundWire.com - Thursday, May 18, 2017
These Fund Firms and B-Ds Are Seen as Great Employers A host of familiar names land on new lists of the best midsize and large companies to work for in the U.S... MutualFundWire.com - Tuesday, May 16, 2017
Week In Preview: Fundsters Gather in NYC and Directors in DC FRA, kasina, MFDF, and NAGDCA are all holding events this week... MutualFundWire.com - Monday, April 17, 2017
Fund Rationalization Fever Spreads Beyond the Wires Watch for smaller B-Ds to make some tough lineup choices, too, even as fiduciary reg limbo continues... MutualFundWire.com - Thursday, March 9, 2017
This Exec Might Buy Your Shop and Bolt It On to a British Giant A multinational insurer just hired a Goldman alum as M&A chief. Watch for him to do asset management deals here in the U.S... MutualFundWire.com - Friday, March 3, 2017
Fidelity Dishes Out a Serving of Rationalization-Lite Fidelity streamlines its third-party fund offerings... MutualFundWire.com - Thursday, February 16, 2017
Will You Help Elizabeth Warren Save the Fiduciary Reg? The outspoken populist politician is trying to rally big B-Ds, mutual fund shops, banks, and insurers to fight an expected delay or retraction of the rule after President-elect Donald Trump takes office today... MutualFundWire.com - Friday, January 20, 2017
Prepare to Cross a Lot of Mutual Fund Ts A new kind of share class is coming, in a big way. John Rekenthaler breaks it down for you... MutualFundWire.com - Friday, January 6, 2017 - Reader Rating: 5
LPL Brings on an Advisory Product Exec The broker-deal has a new SVP of advisory product management.. MutualFundWire.com - Tuesday, December 13, 2016
Mutual Fund Milestones - December 8, 2016 A round-up of the mutual fund industry's latest accomplishments!.. MutualFundWire.com - Thursday, December 8, 2016
Follow the Fundsters - December 7, 2016 Hirings, firings and the like!.. MutualFundWire.com - Wednesday, December 7, 2016
LPL Chief Mark Casady Set to Retire LPL announced Mark Casady's retirement, effective at the beginning of next year... MutualFundWire.com - Monday, December 5, 2016
As Deutsche and Pioneer Rumors Swirl, Are Legg Mason and LPL On the Block, Too? Separate rumors are now swirling around a publicly-traded B-D and a publicly-traded asset manager. Meanwhile, there is no word yet on the fates of Deutsche Asset Management or Pioneer. And the Janus-Henderson merger is still months away... MutualFundWire.com - Friday, October 14, 2016
Here Are the Nine Fund Firms On LPL's New NTF Platform The platform is scheduled to roll out on December 1... MutualFundWire.com - Wednesday, August 24, 2016 - Reader Rating: 5
Here's How LPL's MF Brokerage Biz Is Changing Thanks to the DoL The giant indie B-D is transforming how its affiliated advisors handle commission-based mutual fund business... MutualFundWire.com - Tuesday, August 23, 2016
LPL Will Launch New Mutual Fund Accounts in Q4 Dan Arnold talks to FAs at the indie B-D's giant annual Focus conference in San Diego... MutualFundWire.com - Tuesday, August 23, 2016
Casady Rallies LPL's Can-Do Spirit Around Three Big Areas The chief of the largest indie B-D in the country kicks off the giant's 2016 national conference, this time in SoCal... MutualFundWire.com - Monday, August 22, 2016
Preview of LPL Focus 2016 This weekend LPL will kick off its giant annual conference in its West Coast hometown... MutualFundWire.com - Friday, August 19, 2016
LPL's Robo-Future Is Now The godfather of indie B-Ds teams up with a recently-acquired roboadvisor... MutualFundWire.com - Thursday, April 14, 2016
Snap! Are Social Media and Roboadvice About to Converge? Word is that a SoCal tech player is working on its own robo-advisor... MutualFundWire.com - Wednesday, January 27, 2016
For $13.75MM, a Bank Settles Involving Mutual Funds and a Now-Sold Biz Finra smites a multinational, accusing it of unsuitable mutual fund switches, failure to supervise such switches, and falling through on pricing breakpoints. The settlement comes less than a month after the multinational sold the business in question... MutualFundWire.com - Tuesday, December 29, 2015
The 2015 Market Counsel Summit In Pictures This week about 500 people, mostly RIAs and their vendor allies, gathered in south Florida for MarketCounsel's eighth annual summit. Here's a few glimpses of how it all went down... MutualFundWire.com - Thursday, December 10, 2015
Recruiters Grill Four Custodians On RIA Mismatch and More MarketCounsel's biggest panel ever actually includes two panels: four RIA custodian executives answering questions being asked by four industry recruiters... MutualFundWire.com - Wednesday, December 9, 2015
500 RIAs and Allies Converge on Miami A key RIA-ally will kick off its eighth annual conference on Monday... MutualFundWire.com - Friday, December 4, 2015
Un-Waived A Shares Loads Land Five More B-Ds In $18MM of Hot Water Three months after ordering five broker-dealers to pay more than $30MM, and more than a year after smiting Merrill for $97.2 million, Finra is at it again... MutualFundWire.com - Wednesday, October 28, 2015
The Robo Revolution Is About to Take the Indie B-D World By Storm Get direct-to-consumer, online-only roboadvice. Nearly two-thirds of independent broker-dealers plan to offer a roboplatform... MutualFundWire.com - Thursday, October 8, 2015
Are You the $3B Missing Piece For This Banking Giant? Top dogs at two big foreign financial services players are making noises about buying in the U.S. asset management business. What's the deal?.. MutualFundWire.com - Wednesday, August 12, 2015
LPL Focus 2015 In Pictures Here's a visual look at the giant indie B-D's conference... MutualFundWire.com - Thursday, July 30, 2015
LPL Teams Up With M* and More Than 50 Others The giant indie B-D and RIA custodian is making it easier for its FAs to access a host of different tools... MutualFundWire.com - Thursday, July 30, 2015
LPL's Robo Plan Catches Reporters' Focus The largest indie B-D in the biz gathered more than 4,000 FAs in Beantown this week. Senior execs at the B-D had lots to talk about, and it was their advisor-friendly robo-advisor idea that won the most press attention... MutualFundWire.com - Thursday, July 30, 2015
This LPL Platform Is About to Get Much More Important The giant indie B-D's new president unveils some changes that should make one of LPL's home-office-powered platforms more attractive to FAs. Fundsters, take heed... MutualFundWire.com - Tuesday, July 28, 2015
Casady Pivots the LPL Paddleboard to Growth The giant indie B-D's chairman and CEO updates more than 4,000 of his FAs on where LPL stands today... MutualFundWire.com - Monday, July 27, 2015
4,000 FAs Descend On Boston It's the middle of summer, and that means it's time for the gigantic annual conference of the largest indie B-D in the biz... MutualFundWire.com - Sunday, July 26, 2015
Five B-Ds Dodge Fines, But Not Restitution, Over Un-Waived Loads The B-Ds in question have been ordered to pay more than $30 million in combined restitution. All five B-Ds reported the potential oversights to Finra after the SRO fined Merrill Lynch a year ago over similar issues... MutualFundWire.com - Monday, July 6, 2015
And the Winners Are ... Empower, Vanguard, and Many More The stars aligned last night in midtown Manhattan for fundsters from 12 shops and other firms... MutualFundWire.com - Friday, March 27, 2015
LPL's Prez Takes Over an Insti Asset Manager Robert Moore is leaving the giant indie B-D for a top spot at a $108B AUM shop. Meanwhile, Mark Casady names Moore's successor and searches for a CFO... MutualFundWire.com - Wednesday, March 4, 2015
2014 In Review: the Year In 401k It was a year of flux on the advisor-sold side of the defined contribution retirement plan business... MutualFundWire.com - Tuesday, December 30, 2014 - Reader Rating: 5
Which ETFers Are the Best of 2014? The self-proclaimed "leading authority on exchange-traded funds" just opened nominations for its 2nd annual awards to recognize the best of the best in the ETF business... MutualFundWire.com - Tuesday, December 2, 2014
The Gross Fallout? $1 Billion a Day The outflows continue at Pimco, yet they're slowing. Meanwhile, the firm is offering non-partners more to stick around longer... MutualFundWire.com - Wednesday, November 5, 2014
Moore Sees 401k as a Huge Growth Area For LPL: Big Fund Firms Are Buying In This weekend dozens of asset managers and other financial services firms gathered outside Phoenix to reach the elite retirement plan advisors aligned with the nation's largest indie B-D... MutualFundWire.com - Monday, October 27, 2014
Two Voices Leave LPL Execs at the giant indie B-D are searching for a new media relations chief after two spokespeople move on... MutualFundWire.com - Friday, October 17, 2014
An Ex-LPL Bigwig Makes an RIA Splash. Are Mutual Funds Next On His Agenda? Where are these former indie B-D big shots now?.. MutualFundWire.com - Thursday, October 2, 2014
Gross Puts Money in Motion Everyone knows that Bill Gross' jump to Janus will put assets in play, the open question is how much... MutualFundWire.com - Monday, September 29, 2014
Seen & Heard: LPL focus 2014 It was more like a family block party with loads of financial high tech. Everything was good from Diego to the Bay... MutualFundWire.com - Thursday, August 14, 2014 - Reader Rating: 5
LPL San Diego: Bob and Lee Woodruff Talk Humor, Love and War Coverage Former ABC News co-anchor Bob Woodruff and his wife Lee talk about the challenges and triumphs of marriage during his career as a journalist... MutualFundWire.com - Tuesday, August 12, 2014
LPL San Diego Day 2: Where Are You in the Innovation Wave? LPL executives discussed the importance of advisor panels, compliance initiatives, and the waves of innovation in the American economy... MutualFundWire.com - Tuesday, August 12, 2014
LPL Focus 2014 Day One: To Be Great, Think Like a Hedge Hog Nearly 6,000 advisors, fundsters and financial professionals meet in San Diego to discuss the future of the industry and how to break free from mediocrity... MutualFundWire.com - Monday, August 11, 2014 - Reader Rating: 5
361's Growth Recipe Now Calls for an Accounts Exec Florence's 361 Capital aims to double its sales organization over the next year. First on the dance card, someone with a nose for national accounts, says sales chief Josh Vail... MutualFundWire.com - Friday, August 8, 2014
An LPL Vet Takes Over Fund Selection The indie B-D giant picks an eight-year company vet to oversee due diligence and more... MutualFundWire.com - Tuesday, July 8, 2014 - Reader Rating: 4
Get to Know the New Kevin Keefe The recently hired independent B-D prez knows a lot about funds... MutualFundWire.com - Wednesday, July 2, 2014
Two Fund Selectors Say Goodbye to LPL A pair of gatekeepers in Beantown are leaving the godfather of indie B-Ds... MutualFundWire.com - Monday, June 23, 2014
David Basten Assembles His $1B Dream Team Managing director of Yorktown Management wants to break the billion dollar mark with API Funds something bad. He just hired a Dreyfus alum to help, and plans to hire two more externals, some internals and a national accounts honcho. .. MutualFundWire.com - Thursday, May 8, 2014 - Reader Rating: 4
New Brinker Funds Get Nods from Custodial Platforms Several prominent custodial bank platforms are bringing on Brinker Capital's new alternative mutual funds... MutualFundWire.com - Friday, April 25, 2014
Innealta Intros a Fund, and Beefs Up Sales The AFAM Capital affiliate is building out its sales force to help pitch its new and existing strategies to a range of retail clients... MutualFundWire.com - Wednesday, April 9, 2014

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