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News Stories Archives - Since 1998
Invest Like Ackman, With an Income ETF Twist, And ... Allies in Delaware and Wisconsin team up on another income-generating ETF that tracks a high-profile investor's stock picks. And the duo are preparing another half-dozen funds, too... MutualFundWire.com - Monday, September 15, 2025
Taking "a Big Step Forward," Burnside Hires a COO The new C-suiter is an alumnus of DWC... 401kWire.com - Monday, September 15, 2025
Forbes Succeeds a 26Y Paychex Vet A senior retirement plan leader is passing the reins at the publicly traded payroll giant... 401kWire.com - Monday, September 15, 2025
Momenta Prepares to Complete Another 1/1 Launch A Bay Area TPA's team is building another pooled employer plan... 401kWire.com - Monday, September 15, 2025
Week In Preview, September 15 - September 21 This week, the teams at EBRI, NAPA, Spark, DCIIA, WP&BC, and WIPN will host events... 401kWire.com - Monday, September 15, 2025
Week In Preview, September 15 - September 21 This week, the teams at IDC, IMEA, MFDF, MMI, and Nicsa will host events... MutualFundWire.com - Monday, September 15, 2025
Schwab Slips By 13K, But ... A publicly traded firm with a retirement plan recordkeeping arm offers its latest metrics across multiple business lines, including DC... 401kWire.com - Monday, September 15, 2025
Crossmark Adds a 5-Year Voya IM Alum The new hire joins the fund firm's wholesaling team to cover the Southeast region... MutualFundWire.com - Friday, September 15, 2023
A PEP Startup's Founding Growth Chief Exits The Lone Star State 401(k) industry insider had been at the PPP since 2020... 401kWire.com - Friday, September 15, 2023
A $1.3B-AUA Focus RIA Hires a BofA Alum The wealth management and KPA shop is based in the Peach State... 401kWire.com - Friday, September 15, 2023
An RKer's 4-Month Streak Stalls At 2.458MM Participants A retirement plan recordkeeper's publicly traded parent offers its latest metrics across multiple business lines... 401kWire.com - Friday, September 15, 2023 - Reader Rating: 2.5
Stock Funds Drive an $18B Flows Reversal The LSEG Lipper folks reveal the latest weekly U.S. fund flows data... MutualFundWire.com - Friday, September 15, 2023
Lewis Brings a 24-Year TIAA Vet to OneAmerica The new hire is based in the Philadelphia area... 401kWire.com - Friday, September 15, 2023 - Reader Rating: 5
KPAs Reflect On Post-COVID Adaptation My colleague Andrew shares insights from advisors navigating what the post-pandemic world means for plan sponsors and their KPAs... 401kWire.com - Thursday, September 15, 2022
A Startup Index Shop POPs Out Its First ETF The two-week-old fund now has $2.086 million in AUM... MutualFundWire.com - Thursday, September 15, 2022
Nearly Five Years In, a D.C. CEO Prepares to Retire The official word is that she will stay on through the end of the year and is helping with the search for her successor... 401kWire.com - Thursday, September 15, 2022
Branding, Cybersecurity, and Training Top a $43B-AUA Alliance's Agenda The 13-member group most recently met late last month in Southern California... 401kWire.com - Thursday, September 15, 2022 - Reader Rating: 2
401k Assets Fall $1.265T, But ... A mutual fund industry trade group releases data on U.S. retirement markets, including 401(k)s and other DC plans... 401kWire.com - Thursday, September 15, 2022
An RKer Adds 18,000 Participants A retirement plan recordkeeper's publicly traded parent offers its latest metrics across multiple business lines... 401kWire.com - Thursday, September 15, 2022
$504MM In 21 Months A $121.1B-AUM fund firm's team is celebrating a big milestone for an interval fund... MutualFundWire.com - Thursday, September 15, 2022 - Reader Rating: 1
An RKer Adds a 13th Office, And ... The 620,000-participant retirement plan provider's participant call center team is expected to expand by next summer... 401kWire.com - Thursday, September 15, 2022 - Reader Rating: 2
Midsize Firms' Marketshare Slips Below 10.5 Percent The M* team updates U.S. flows data for August 2021 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Wednesday, September 15, 2021
A Midwestern FuturePlan Shop Plugs Into Managed Accounts A retirement plan managed account shop gains a new distribution ally... 401kWire.com - Wednesday, September 15, 2021
ERIC's Robinson Passes the Reins The trade group for large plan sponsors brings in a new exec to focus on retirement and comp policy... 401kWire.com - Wednesday, September 15, 2021
Up 473K Participants In a Year A recordkeeper's publicly traded parent offers its latest metrics across multiple business lines... 401kWire.com - Wednesday, September 15, 2021
An AM Network Invests In a $4.8B-AUM Shop A European firm is investing yet again in the U.S., this time acquiring a 42-percent stake in a Big Peach shop... MutualFundWire.com - Wednesday, September 15, 2021
An Ex-401k Robo Prez Goes "Neo-Banking" His new startup recently raised $2 million in seed funding... 401kWire.com - Wednesday, September 15, 2021
An Ex JPM and Invesco Leader Joins American Century The new hire now serves as head of brand marketing at the Midwestern mutual fund firm... MutualFundWire.com - Tuesday, September 15, 2020
An Ameritas VP Moves On After Two Years The wholesaler covered a territory on the East Coast... 401kWire.com - Tuesday, September 15, 2020
An 11-Year-Old RKing TPA Joins ABG The new alliance member serves 17,500 participants across 1,800 retirement plans... 401kWire.com - Tuesday, September 15, 2020
105 Employers Commit to a DC Database The project is a collaboration between EBRI and NAGDCA... 401kWire.com - Tuesday, September 15, 2020
JPMAM Takes the Lead As Titans' Inflows Slip Again The M* team updates U.S. flows data for August 2020 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Tuesday, September 15, 2020
A Groom Principal Returns to the Treasury An ERISA legal eagle will join the IRS later this month... 401kWire.com - Tuesday, September 15, 2020
What Advisors Want - Jeff Fishman An FA to the behind-the-camera folks in Hollywood talks about how asset managers can best work with his firm... MutualFundWire.com - Friday, September 15, 2017
New Fund Fuss - September 15, 2017 A roundup of recent fund launches and other industry news... MutualFundWire.com - Friday, September 15, 2017
A West Coast DC I-O Vet Leaves Allianz There is no word yet on how his duties are being handled... 401kWire.com - Friday, September 15, 2017 - Reader Rating: 5
Preventing Leakage From 401k Loans A reader ponders the double whammy problem of a participant who loses their job and then defaults on their 401(k) loan... 401kWire.com - Friday, September 15, 2017 - Reader Rating: 3.67
FIS Ramps Up Omni's Connection With a DC Web Ally Sales people for the the recordkeeping software will be bringing an online, interactive, video-based education platform to the marketplace, too... 401kWire.com - Friday, September 15, 2017 - Reader Rating: 5
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
Northrop Grumman Faces 401k Self-Dealing Complaint Northrop Grumman provided its own administrative services to the 401(k), according to a complaint. .. 401kWire.com - Thursday, September 15, 2016
Riedel Promotes a 15-Year T. Rowe Distro Vet The move comes a few months after Riedel himself was promoted to lead the U.S. intermediaries business for the publicly-traded mutual fund shop... MutualFundWire.com - Thursday, September 15, 2016
Lincoln Financial Woos a $120MM 401k ... Again The sponsor renewed its contract with the recordkeeping provider following a formal RFP process. .. 401kWire.com - Thursday, September 15, 2016
Philly-Based RKer Adds $225MM in DC Assets The client selected the provider's white label recordkeeping platform. .. 401kWire.com - Thursday, September 15, 2016 - Reader Rating: 4.2
The New Fund Fuss - September 15, 2016 A listing all of the funds making their grand debut! .. MutualFundWire.com - Thursday, September 15, 2016
A DC I-O Veteran Takes Over Retirement Plan Distro at Cap Group Matthew O'Connor hires an exec to lead distribution across 401(k)s large and small, DBs, and variable annuities... 401kWire.com - Thursday, September 15, 2016 - Reader Rating: 3.67
RKer, Not the Sponsor, Is Named in Latest Self-Dealing 401k Suit The plaintiff accuses the provider of collecting fees provided by a subadvisor. .. 401kWire.com - Thursday, September 15, 2016 - Reader Rating: 5
Davis Enters the ETF Space, With Help From a Veteran The 47-year-old, employee-owned mutual fund shop has filed to create its own exchange-traded funds... MutualFundWire.com - Thursday, September 15, 2016
LPL Retirement Partners' Annual Conference Begins Hundreds of 401(k) plan advisors (KPAs) and other industry insiders are about to converge in Colorado for LPL's Retirement Partners conference... .. 401kWire.com - Thursday, September 15, 2016
Who RK's This $660MM Plan? A merger has a winner and a loser..... 401kWire.com - Tuesday, September 15, 2015 - Reader Rating: 4
This Subadvisor May Fight Back Against Being Dropped A Chitown shop disputes the right of a mutual fund's advisor to terminate its subadvisory agreement... MutualFundWire.com - Tuesday, September 15, 2015
A Midwestern Boutique's Founder Hands Off a Hat A familiar face is adding another role at this $1.9-billion mutual fund shop... MutualFundWire.com - Tuesday, September 15, 2015
Charles Schwab Nets Billions in Assets for August 2015 In a new monthly activity report released today by Charles Schwab Corporation, the financial services provider netted billions in assets for August 2015... 401kWire.com - Tuesday, September 15, 2015 - Reader Rating: 3.5
A PA KPA Aligns With LPL ..according to Brokercheck... 401kWire.com - Tuesday, September 15, 2015
EBRI and ICI: Consistency Leads to Higher 401k Balances According to the Washington-based think tank, 401(k) participants who are consistently active when it comes to their 401(k) plan accumulate more retirement assets overtime... 401kWire.com - Tuesday, September 15, 2015
Pentegra Introduces New Strategies to Create Secure Retirement Income A new report conducted by Pentegra Retirement Services, features decumulation strategies to help create secure retirement income stream... 401kWire.com - Tuesday, September 15, 2015
A New Study Finds Huge Shortfall in 401k Savings; Yet Women Should Save More Although both the median man and woman show a significant shortfall in savings, the median woman has a lower lifetime income and faces higher overall retirement and healthcare costs due to a longer life expectancy... 401kWire.com - Tuesday, September 15, 2015
A Wildly Successful PM Catches Flak For Flying Solo Fundsters would do well to heed the succession-planning warning in all of this coverage: FAs, institutional investors, and retirement plan sponsors want to see that your hot funds don't suffer from key man risk... MutualFundWire.com - Tuesday, September 15, 2015
Reynolds Elevates Putnam's Insti Biz and Brings a Familiar Face Back to Lead It A 17-year Putnam vet returns to lead the Beantown mutual fund shop's institutional efforts... MutualFundWire.com - Monday, September 15, 2014
A Virginia KPA Moves to NFP A co-founder of a retirement plan consulting firm just switched broker-dealers... 401kWire.com - Monday, September 15, 2014
National Financial Advisor Week Begins The five-day conference devoted to financial advisors begins with a keynote speech by RCS Capital executive chairman Nicholas Schorsch... MutualFundWire.com - Monday, September 15, 2014
Guardian's Davis Hires a Field Director of 401k Sales The insurer's retirement plan arm welcomes a new field director of retirement plan sales�.. 401kWire.com - Monday, September 15, 2014
Two Execs Join a TPA to Focus on the OC The new hires join a Los Angeles area shop... 401kWire.com - Monday, September 15, 2014 - Reader Rating: 5
Morgan Stanley Closes a Fund Platform to New Investors Reuters reports that the wirehouse is phasing out the 20-year old program which offers some 300 funds and had nearly $35 billion in assets. .. MutualFundWire.com - Monday, September 15, 2014
New York Life Names a New Northeast Sales Manager The plan provider taps a replacement for Patrick Murphy, who was promoted to the role of head of sales... 401kWire.com - Thursday, September 15, 2011 - Reader Rating: 2.5
Envision a 387 Percent Revenue Growth for an Industry Software Specialist A publications recognizes the fastest growing privately held companies in the country, including some retirement plan specialists... 401kWire.com - Thursday, September 15, 2011 - Reader Rating: 3
Hatteras Wins Praise for 261 Percent Growth The new Inc. 5000 list features several players from the mutual fund industry... MutualFundWire.com - Thursday, September 15, 2011 - Reader Rating: 5
Sentinel Hires Two The Montpelier, Vermont investment manager also promoted one of its sales staff... MutualFundWire.com - Thursday, September 15, 2011 - Reader Rating: 5
Baucus Wants 'To Do More With Less' Retirement Savings Incentives The Senate Finance Committee talks about promoting retirement security... 401kWire.com - Thursday, September 15, 2011 - Reader Rating: 3
American Beacon Puts its Sub-advisors in the Spotlight The Texas-based firm hosts its second annual investment forum featuring its sub-advisors... MutualFundWire.com - Thursday, September 15, 2011 - Reader Rating: 3
Artisan Still Could IPO for $250 Million The Midwestern mutual fund firm updates its initial public offering form with the SEC... MutualFundWire.com - Thursday, September 15, 2011
TCW and Gundlach's Jury Deliberates Round one of the courtroom fight between the two SoCal bond mutual fund giants may soon be over... MutualFundWire.com - Thursday, September 15, 2011
Cambria Wants to Launch Active ETFs The California firm, which sub-advises an AdvisorShares ETF, filed papers with the SEC to roll out its own line of active ETFs... MutualFundWire.com - Thursday, September 15, 2011
BofA Merrill Bigwigs Reveal Numbers Executives at the plan provider share figures for the first eight months of the year... 401kWire.com - Thursday, September 15, 2011 - Reader Rating: 1
Schwab's Participant Count Stays Steady The brokerage giant unveils monthly numbers for multiple business lines, including its retirement plan business... 401kWire.com - Wednesday, September 15, 2010
Calamos Steps Up its DC I-O Push The Naperville, Illinois-based asset manager taps talent from RidgeWorth... 401kWire.com - Wednesday, September 15, 2010 - Reader Rating: 1
Providers Urge the DC Industry to 'Buy the Surfboard' for Social Media Delegates at the NAGDCA conference discuss the viability and dangers of social media... 401kWire.com - Wednesday, September 15, 2010
Cormier and RPAG Look at Advisors Through a Prism The BRG chief teams up with a network of retirement plan advisors to help advisors benchmark their practices... 401kWire.com - Wednesday, September 15, 2010 - Reader Rating: 1
RidgeWorth is Moving to a New Home RidgeWorth, whose fate was decided by parent company SunTrust this summer, is moving to a new headquarters next year... MutualFundWire.com - Wednesday, September 15, 2010
GE Hires Kennedy GE Investments adds a fifth sub-advisor to small-cap stock fund... MutualFundWire.com - Wednesday, September 15, 2010
How Do You Convince Participants to Use Advice? Updated \| A plan provider ponders the benefits of 401k advice and wonders why more participants don't use it, even when it's free... 401kWire.com - Wednesday, September 15, 2010 - Reader Rating: 3
Advisors, Try Using a 'Telephone Assassin' for Marketing RPAG advisors offer marketing tips at the sixth annual RPAG conference... 401kWire.com - Wednesday, September 15, 2010 - Reader Rating: 3.6
Neuberger's Top Exec Discusses an IPO Possibility George Walker talks to Steve Forbes about the possibility of Neuberger Berman returning to public life... MutualFundWire.com - Wednesday, September 15, 2010
Rydex Plans 19 Un-Leveraged ETFs The leveraged index fund specialists file to create a lineup of equal weight index funds... MutualFundWire.com - Wednesday, September 15, 2010
SIFMA Pleads on Behalf of Janus to the Supremes The broker-dealer and bond market trade group files an amicus brief in a lawsuit on appeal... MutualFundWire.com - Wednesday, September 15, 2010
BlackRock's Q3 is Looking Like Last Year's Q4 Larry Fink says the firm's pipeline has never been larger... MutualFundWire.com - Wednesday, September 15, 2010
Who are the Most Influential Advisors in Defined Contribution? Help us recognize the top advisors in the retirement plan business... 401kWire.com - Tuesday, September 15, 2009 - Reader Rating: 2.75
Mutual Fund Distribution Reshapes Post-Lehman How does fund distribution look one year after the collapse of the giant investment bank?.. MutualFundWire.com - Tuesday, September 15, 2009
Fund Democracy's President Chairs an SEC Subcommittee Schapiro and Co turn to Mercer Bullard for advice... MutualFundWire.com - Tuesday, September 15, 2009
New Principal Study Says 'Lesson-Learned' A new study from Principal tracks American workers and retirees to see what changes they've made after last years meltdown... 401kWire.com - Tuesday, September 15, 2009
A 401k Guru Will Guide the SEC's Look at Investor Education The new Investment Advisory Committee puts a familiar face in charge of a new subcommittee... 401kWire.com - Tuesday, September 15, 2009
Schwab's Participant Count Dips Again The retirement plan participant count at the brokerage giant falls from July to August... 401kWire.com - Tuesday, September 15, 2009
One Year After Lehman, Fund Flows Are on the Rise The August report from Morningstar shows positive trends, but investors are still weary... MutualFundWire.com - Tuesday, September 15, 2009
RIAs and Wirehouse Reps Express the Most Comfort With ETFs An FRC survey shows high approval for ETF products... MutualFundWire.com - Tuesday, September 15, 2009
Diversification Specialist Targets 401ks A tools provider finds overlap between mutual funds in DC plans... 401kWire.com - Tuesday, September 15, 2009
Hancock Gains DC Access to a Giant Brokerage Updated \| The insurer inks a distribution partnership for its retirement plan unit... 401kWire.com - Tuesday, September 15, 2009
A DC Marketer Ventures Into Sales Advice When in doubt, bring doughnuts... 401kWire.com - Tuesday, September 15, 2009 - Reader Rating: 5
A Natixis Shop Cooks Up Three New Collective Funds The new offerings will be open to qualified DC money... 401kWire.com - Tuesday, September 15, 2009
S&P Updates Fund Analysis Product Standard & Poor didn't like contemporary mutual fund analysis methods... MutualFundWire.com - Tuesday, September 15, 2009
Borzi May Take PPA Advice Regs Back to Square One The new EBSA chief confirms that she plans to rework, if not entirely toss, the proposed individual advice regulations issued just before the Bush administration left office... 401kWire.com - Tuesday, September 15, 2009
Coventry Faces Stock Drop Flak A class action firm attacks a health care plan sponsor... 401kWire.com - Tuesday, September 15, 2009
Some New ETFs Are As Good As Gold Gold-based ETFs shine as the price of the precious metal soars... MutualFundWire.com - Tuesday, September 15, 2009
Reynolds Expands Putnam's World Updated \| The Boston asset manager touts six new global funds... MutualFundWire.com - Tuesday, September 15, 2009 - Reader Rating: 2
Morgan Keegan Will Shell Out $1.46 Million to a Bull A former pro basketball player wins a case against the fund firm... MutualFundWire.com - Tuesday, September 15, 2009
Stable Value Wrappers May Be Pulling Back As markets roil and the credit crunch continues, industry insiders see synthetic GIC backers changing the way they approach the business. .. 401kWire.com - Monday, September 15, 2008 - Reader Rating: 4
Trio of Funds Firms Stand to Lose on Lehman Bets Fund firms that purchased Lehman's bonds may lose a chunk of cash now that the firm has filed for bankruptcy... MutualFundWire.com - Monday, September 15, 2008
Pandit Pens a Letter to His Staff Citigroup's top exec tells staffers the firm is weathering the financial storm... MutualFundWire.com - Monday, September 15, 2008
Lehman Nears a Deal for its Investment Unit A deal could be reached in days, according to a Bloomberg report... MutualFundWire.com - Monday, September 15, 2008 - Reader Rating: 3
FRC Founder Creates a New Firm Neil Bathon has added a new subsidiary and hired a top FRC exec to head up the business... MutualFundWire.com - Monday, September 15, 2008
Alger Builds Out its Institutional Sales Team The company has made two hires and one promotion. .. MutualFundWire.com - Monday, September 15, 2008
A TPA Teaches Rollover ABCs Online A New Jersey firm wants to teach participants what to do about their 401ks when switching jobs... 401kWire.com - Monday, September 15, 2008
BlackRock Shareholders Seem to Like the Merrill-BofA Deal BlackRock's shares are up 4.5 percent early Monday afternoon... MutualFundWire.com - Monday, September 15, 2008
Lehman Makes Bankruptcy Filing; B-D Units Not Included The beleaguered company filed for Chapter 11 Monday, its b-d subsidiaries will not be included in the filings... MutualFundWire.com - Monday, September 15, 2008
American Beacon Takes Flight American Airlines owner AMR Corp. has completed the $480 million sale of American Beacon Advisors... MutualFundWire.com - Monday, September 15, 2008
Now Off the AA Fleet, American Beacon Keeps its 401k Ties to the Airline A third party based in Washington has given the greenlight to the continuation of the relationship... 401kWire.com - Monday, September 15, 2008
McNabb Focuses on DC, Retirement Income The newly-risen Vanguard chief sees the future of the company in his roots... 401kWire.com - Monday, September 15, 2008 - Reader Rating: 3
Expense Ratios Drop 15 Bps For One Bond Fund A Massachusetts investment manager slashes the price of two share classes in one offering... MutualFundWire.com - Monday, September 15, 2008
Federated Acquires Again Federated is buying a value specialist for an initial $36 million... MutualFundWire.com - Monday, September 15, 2008
Lehman's Bankruptcy Means All of Neuberger is for Sale Another private equity firm in the group circling Lehman's asset management business surfaces... MutualFundWire.com - Monday, September 15, 2008
A Senior Legg Exec to Depart An executive vice president at the Baltimore fund firm is leaving in November... MutualFundWire.com - Monday, September 15, 2008
Merrill Lynch is Sold for $50 Billion Bank of America has reportedly arrived at a deal to buy Merrill Lynch... MutualFundWire.com - Monday, September 15, 2008
What Will Be Neuberger's Fate? With Lehman spiraling towards liquidation, the time for a clean deal appears to be past... MutualFundWire.com - Monday, September 15, 2008
BofA Says No to Lehman, Shifts its Gaze to Merrill Bank of America is in talks to buy Merrill Lynch and a deal could be announced Sunday night... MutualFundWire.com - Monday, September 15, 2008
NYT: Lehman to File for Bankruptcy Protection Lehman Brothers will reportedly file for bankruptcy protection Sunday night... MutualFundWire.com - Monday, September 15, 2008
Rising Rates May Raise Plan Sponsors' Fiduciary Exposure Many plan sponsors may not be fully aware of how their stable value options work in a rising interest rate environment. A new White Paper from NRP offers some insights into the issue... 401kWire.com - Friday, September 15, 2006 - Reader Rating: 3
Schwab Grows Participant Base 6.7 Percent The brokerage firm has passed the half million participant mark so far this year as it adds another two thousand participants in August... 401kWire.com - Friday, September 15, 2006
FRC Seeks Retirement Analyst Chris Brown is moving on, opening up a search for his replacement at the Boston-based fund consultant... 401kWire.com - Friday, September 15, 2006
Fidelity Allies with American Airlines Toasters must lack the appeal of travel. Fidelity Investments is trying to lure new brokerage accounts by dangling frequent flyer miles. The Boston Behemoth has teamed with American Announce to offer AAdvantage airline miles. The program could give new account holders as much as 25,000 miles towards travel and other rewards... MutualFundWire.com - Friday, September 15, 2006
Spitzer Targets Late-Trading Broker Fund companies can breathe a little easier today: Eliot Spitzer has turned his sites on someone that isn't with a mutual fund in his investigation of the fund industry... MutualFundWire.com - Friday, September 15, 2006
PhoenixFunds Get Wholesaling Chief There is a new man in charge of Phoenix Investment Partners wholesaling operations. The Hartford, Connecticut-based firm promoted David N. Wadley as national sales director of its U.S. wholesaling operation. Wadley had been senior vice president and regional investment consultant for the south central states before the promotion... MutualFundWire.com - Friday, September 15, 2006 - Reader Rating: 4
Last Wirehouse Joins Broker Moving Pact It took nearly two years to buy in, but the fifth and final wirehouse will ink the nearly two-year-old hiring pact later this fall... MutualFundWire.com - Friday, September 15, 2006
Latest Ladenburg Target to Make Miami Move The deal will bring the BD twelve new reps, including its new heads of private client services. The acquired firm will make the trip to Miami along with Ladenburg... MutualFundWire.com - Friday, September 15, 2006 - Reader Rating: 3
DIA Adds Two in Northeast The Purchase, New York-based provider has made two hires for its sales team in New England and Pennsylvania... 401kWire.com - Friday, September 15, 2006 - Reader Rating: 1
D.A Davidson Opening SoCal Office The firm is adding a location in Pasadena. Also, the Senate confirms Tschetter's appointment... MutualFundWire.com - Friday, September 15, 2006
Pershing Buys Clearing Firm The largest clearing firm puts more distance between itself and number two National Financial with a deal to purchase Neuberger Berman's correspondent clearing arm... MutualFundWire.com - Friday, September 15, 2006
BoA Securities Gets Out of Outsourced Trading The BD and i-banking division of Bank of America sold its outsourced trading business for hedge funds to a San Francisco BD. .. MutualFundWire.com - Friday, September 15, 2006
Merrill Buys Boston Money Manager Merrill Lynch has picked up $3 billion in assets and 515 advisors in one fell swoop ..... MutualFundWire.com - Thursday, September 15, 2005
House, Senate Pass No Penalty Bills Participants may soon be able to withdraw qualified plan loans free of penalty... 401kWire.com - Thursday, September 15, 2005
Regulators Provide Katrina Guidance to Plan Administrators After more than two weeks of lobbying, the IRS and DoL have eased the restrictions around payouts from plans to Katrina-hit participants and their families... 401kWire.com - Thursday, September 15, 2005
Great-West Gives Advice a Makeover The provider has automatically added advice and managed accounts to one of its products... 401kWire.com - Thursday, September 15, 2005
Fund Closings Triple After Rules Increase More onerous regulatory requirements may be leading advisors to close or merge smaller funds, say lawyers at Thorp Reed & Armstrong. If the Pittsburgh-based law firm's findings are true, they would reaffirm the fear of many smaller shops that independent director and compliance officer requirements would price them out of the industry... MutualFundWire.com - Thursday, September 15, 2005
OppFunds Agrees to Revenue Sharing Settlement The SEC has let OppenheimerFunds' own solution to a directed brokerage related problem stand. The fund firm will face no additional monetary penalties after making the funds whole last year. The settlement also details more shady revenue sharing practices from the pre-Spitzer era... MutualFundWire.com - Thursday, September 15, 2005
TIAA-CREF Could Lose MO TIAA-CREF will have to fight to keep its mandate from Missouri's 529-college savings plan. The Missouri Higher Education Savings Board put the Missouri Savings for Tuition (MO$T) Program plan out for bid on September 1. TIAA-CREF has administered the plan since it was created in 1999 and its current contract expires in May of next year... MutualFundWire.com - Thursday, September 15, 2005
Canadian Fund Sales Pro Banned A Canadian mutual fund salesperson was banned for life from the securities industry and fined $250,000 for defrauding clients. The British Columbia Securities Commission imposed the maximum penalties against Paul Robert Maudsley, a former sales person for Shaylor Management on Wednesday... MutualFundWire.com - Thursday, September 15, 2005 - Reader Rating: 2.33
MFS Opens its Doors The tide is turning. Another fund firm is welcoming non-proprietary fund options on its platform... 401kWire.com - Thursday, September 15, 2005 - Reader Rating: 3
Fido Opens Real Return Fund The new fund is the third entry in its Strategic lineup... MutualFundWire.com - Thursday, September 15, 2005
SEC O.K.s Putnam Payment Plan The SEC has approved Putnam Investment's plan to distribute restitution and disgorgements to shareholders. The plan covers the repayment of $40 million to fund shareholders that had been placed with the Fair Fund under the Sarbanes Oxley Act of 2002... MutualFundWire.com - Thursday, September 15, 2005 - Reader Rating: 4
No Appeal for Chamber of Commerce The U.S. Chamber of Commerce's efforts to forestall the implementation of the SEC's new fund director rules are themselves stalled. The case appeared to end on Tuesday when the U.S. Court of Appeals in Washington declined to hear an appeal of a lower court ruling in favor of the SEC... MutualFundWire.com - Thursday, September 15, 2005
Beaulieu is Back An MFS vet is once again in charge of the 401k business... 401kWire.com - Thursday, September 15, 2005 - Reader Rating: 3
MFS Sales Exec to Head Institutional Biz One of the top executives at MFS is taking on responsibility for the fund firm's institutional business after a stint exclusively heading retail distribution ..... MutualFundWire.com - Thursday, September 15, 2005
God Bless PowerShares The blessings were plentiful during the opening of the American Stock Exchange on Thursday morning. And Bruce Bond, president of ETF upstart PowerShares, was the one dealing them out ..... MutualFundWire.com - Thursday, September 15, 2005
Ivan Not So Terrible for 401k A number of TPAs and 401k specialists are located in Alabama are taking action to ensure the hurricane does not effect participants. .. 401kWire.com - Wednesday, September 15, 2004
Georgia Sponsor Taps Amvescap The Norcross-based plan sponsor sends its plan down the road to Atlanta-based Amvescap Retirement... 401kWire.com - Wednesday, September 15, 2004 - Reader Rating: 1
Forward Marches into Alternative Investments Forward Management, the advisor to the Forward Funds and the Sierra Club Funds, has partnered with New York-based broker-dealer Palladium Capital Advisors to launch Forward Private Advisors. The new business unit will provide alternative investments for institutions and high-net worth investors... MutualFundWire.com - Wednesday, September 15, 2004
DST Helps Funds Target Timers The retirement unit has rolled out the ability to target and assess redemption fees on participants on its recordkeeping platform... MutualFundWire.com - Wednesday, September 15, 2004
DST Helps Providers Target Timers Plan providers on DST’s recordkeeping platform can now assess two percent redemption fees on timers... 401kWire.com - Wednesday, September 15, 2004 - Reader Rating: 4
BoA Funds Hire CCO The Nations, Columbia, Galaxy and Liberty fund boards named Mary Joan Hoene as chief compliance officer... MutualFundWire.com - Wednesday, September 15, 2004
Lockyer Draws First Blood...$9 MM Worth Move over, Eliot Spitzer; another state attorney general is on the scene. California Attorney General Bill Lockyer landed $9 million for the Golden State�s coffers from scandal-embattled Pimco over charges related to disclosure of revenue-sharing... MutualFundWire.com - Wednesday, September 15, 2004
Bridgeway Settles for $5.2 MM Bridgeway Funds and its CEO will dish out nearly $5.2 million to settle regulators’s allegations that the firm overcharged investors. But the worst part of the settlement is that the holier-than-thou firm might have to eat their words... MutualFundWire.com - Wednesday, September 15, 2004
What is Wrong With Timing Funds? Nothing. But the Spitzer claim is far deeper than timing trades and cuts to the heart of the relationship between funds and shareholders... MutualFundWire.com - Monday, September 15, 2003
PFPC Buys SMA Platform The deal brings PFPC greater expertise in the hot managed accounts space... MutualFundWire.com - Monday, September 15, 2003
Cerulli Analyst Jumps Fence The former Cerulli analyst is now a director of product marketing at a bundled provider... 401kWire.com - Monday, September 15, 2003
Fidelity Retargets Premium Plans The Boston Behemoth is expanding the range of sponsors able to use the bundled products... 401kWire.com - Monday, September 15, 2003
Fund Tracker Says Sell Spitzer Tainted Funds Morningstar puts a sell on all of the funds from BoA, One Group, Janus and Strong... MutualFundWire.com - Monday, September 15, 2003
Security Mutual Fills 412i Pipeline The insurer has partnered to deliver content through wholesalers... 401kWire.com - Monday, September 15, 2003
Fund Tracker Readies SMA Research Service A fund researcher has found a partner for the new tools... MutualFundWire.com - Monday, September 15, 2003
Two More BoA Execs Gone Both executives were in the New York City office... MutualFundWire.com - Monday, September 15, 2003 - Reader Rating: 3
ManuLife Names Strategist The firm promotes one of its own to take over for Kendall Kay... 401kWire.com - Monday, September 15, 2003
September 15, 2000 Fidelity Urges Customers to Lobby Congress ... SunAmerica's Broad to Resign ... Real Estate Funds Are Back... MutualFundWire.com - Friday, September 15, 2000 - Reader Rating: 3
September 15, 2000 Fidelity Urges Customers to Lobby Congress ... SunAmerica's Broad to Resign ... Real Estate Funds Are Back... 401kWire.com - Friday, September 15, 2000 - Reader Rating: 3
Mainstay Launches 8 New Offerings Mainstay Investments, a unit of New York Life, has enhanced its 401(k) offerings in a concerted effort to go after all segments of the marketplace. The goal is to be able to provide services for a client of almost any size and need, Marc Brookman, senior vice president, told the 401kWire.com... 401kWire.com - Wednesday, September 15, 1999 - Reader Rating: 3
Monument Hires New Sales Head The president of national sales will be heading Monument's distribution team and oversee the fund company's marketing and sales efforts... MutualFundWire.com - Wednesday, September 15, 1999 - Reader Rating: 3
PSCA and 401kWire.com To Sponsor Retirement Tech Conference The Profit Sharing/401(k) Council of America and InvestmentWires' own 401kWire.com are bringing together the experts in Retirement Technology for a one-day conference... MutualFundWire.com - Wednesday, September 15, 1999 - Reader Rating: 3
How To Set Up European Funds A speaker at the recent ICI Conference in San Diego shared his insights into entering the European market, the pros and cons of where to domicile funds, and the costs involved... MutualFundWire.com - Wednesday, September 15, 1999 - Reader Rating: 3
Morningstar Player Signs with New Team Mark Trittshuh has joined the business development team at Aslo.com, a new online advice firm out of Duluth, Georgia. Trittshuh will be stationed in the firm's Chicago office, Alicia C. Thornton, co-founder, told the 401kWire.com... 401kWire.com - Wednesday, September 15, 1999 - Reader Rating: 3
Capturing The Bulls and Bears Potomac Funds has filed with the SEC for two new funds that separate and yet gather assets from both the Internet bulls and bears... MutualFundWire.com - Wednesday, September 15, 1999 - Reader Rating: 3
Wiesenberger Beefs Up Online Service The question for providers these days is no longer "Do we need to get on the web?" The question is now, "How much personalized Internet service do we have to offer?" The answer seems to be a lot. We can't get away from the stories of vendors who are making improvements to existing online services... 401kWire.com - Wednesday, September 15, 1999 - Reader Rating: 3
ICI Conference Notebook; After-Tax Returns Executives at the San Diego ICI Conference debated the merits of changing the way funds report after-tax returns -- was there common ground?.. MutualFundWire.com - Wednesday, September 15, 1999 - Reader Rating: 3
Odd Lots, September 15, 1999 Scudder Kemper to cut its fund roster ... S&P strikes two from Putnam ... Are advisors in for a worse shakeout than fund cos? ... CNBC buys piece of ECN ... and more!.. MutualFundWire.com - Wednesday, September 15, 1999 - Reader Rating: 3
Colonial Bank Completes Search Montgomery, AL-located Colonial Bank (NYSE: CNB) has tapped Seattle, WA-headquartered Milliman & Robertson, Inc. to be the recordkeeper for its 401(k) plan, an official with knowledge of the plan told the 401kWire. The plan has $32 million in assets with 1,700 participants... 401kWire.com - Tuesday, September 15, 1998 - Reader Rating: 3
TAG On: 401k Termination and Stock Buyout TAG examines 401(k) plans when a merger or a buyout occurs... 401kWire.com - Tuesday, September 15, 1998 - Reader Rating: 3

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