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Schwab Asset Management [view profile ]
211 Main Street  San Francisco  CA  94105  ph: 800-648-5300 

http://www.schwab.com  -  SEC Filings
Fund Profiles
News Stories Archives - Since 1998
A Houston Startup Teams Up For an ETF
The new fund is designed to tracked a five-month-old index from ICE...
MutualFundWire.com - Tuesday, June 6, 2023
With ProManage, Ledford Plans to Bring AMAs Upmarket
The chief of Smart's $7-billion-AUM, 90-person U.S. arm talks about his latest deal and what comes next...
401kWire.com - Tuesday, June 6, 2023
Eleccion Hires In California and Nebraska
Alumni of Mutual of Omaha and the Standard join Lincoln's retirement plan sales team...
401kWire.com - Tuesday, June 6, 2023
Expect This Omni-to-Omni Migration to Wrap Up In Q1
After one insurer buys another's recordkeeper, the two teams combine their capabilities as they do a migration in stages...
401kWire.com - Tuesday, June 6, 2023
A Re-Tickered Thematic ETF Reaches One Year
A PA fund firm's team celebrates a milestone for a fund that changed tickers a few months ago...
MutualFundWire.com - Tuesday, June 6, 2023
3900 New Participants and 100 New Employers In a Month
A giant state treasurer's team reveals updated metrics on its SARP...
401kWire.com - Tuesday, June 6, 2023
A $579B-AUM Firm Enters a New ETF Space
The team at a publicly traded insurer's asset management arm has rolled out their first translucent ETF...
MutualFundWire.com - Monday, June 6, 2022 Views
A New SARP Hires an RKer and a Fund Firm, Both In Gotham
The program is expected to launch in about a year...
401kWire.com - Monday, June 6, 2022
In the Midwest, a $1.1B-AUM KPA Team Sells
A PE-backed insurer KPA aggregator buys a retirement plan advisory shop...
401kWire.com - Monday, June 6, 2022 - Reader Rating: 5
Matrix and Mesirow Team Up For a CIT
The new fund comes in four share classes and features four different underlying investment managers...
401kWire.com - Monday, June 6, 2022
Week In Preview, June 6 - June 12
This week, the teams at DCIIA, Fi360, Spark, and WIPN will host events...
401kWire.com - Monday, June 6, 2022
Week In Preview, June 6 - June 12
This week, the teams at Expect Miracles, IDC, MFDF, MMI, Nicsa, and Sohn will host events...
MutualFundWire.com - Monday, June 6, 2022 Views
Reg BI Is Really Coming. Now What?
The SEC has approved its not-quite-fiduciary rule, and KPAs should pay attention...
401kWire.com - Thursday, June 6, 2019
Jackson Lewis Gains an ERISA Attorney
The firm makes an addition to their over 900 attorney positions..
401kWire.com - Thursday, June 6, 2019
A BNY Alum Joins an SS&C
The new hire has a background in sales and investment services..
MutualFundWire.com - Thursday, June 6, 2019 Views
Resources Welcomes a Team With $700MM
The lead is also no longer affiliated with a B-D...
401kWire.com - Thursday, June 6, 2019
After Seven Years, a Retirement Plan Strategist Leaves Franklin
There is no official word yet on how his duties are being handled...
401kWire.com - Thursday, June 6, 2019
Windsor's Lion Dies
His death comes five months after that of his most famous client...
MutualFundWire.com - Thursday, June 6, 2019 Views
A Bundled Provider Tracks Participant Engagement and Action
A recordkeeper is offering a new analytics package to help plan sponsors tailor participant experience. ..
401kWire.com - Wednesday, June 6, 2018 - Reader Rating: 5
BNY Mellon Invests Eight Figures Into Pershing
Lisa Dolly unveils a multi-year investment plan for the broker-dealers' broker-dealer...
MutualFundWire.com - Wednesday, June 6, 2018 Views
How Far Have TDFs Spread?
The newest edition of an annual report shows increased TDF use and predicts more growth...
401kWire.com - Wednesday, June 6, 2018
Vestwell Forms Another Strategic Alliance
Vestwell CEO Aaron Schumm discusses his company's new partnership, and hints at more...
401kWire.com - Wednesday, June 6, 2018
FIS' Omni and Relius Teams Prep a Cybersecurity Upgrade
The rollout is expected this summer on Omni and next year on Relius...
401kWire.com - Wednesday, June 6, 2018
Invesco Buys More FA-Friendly FinTech
Marty Flanagan unveils and closes a deal across the pond...
MutualFundWire.com - Wednesday, June 6, 2018 Views
Lovell Minnick Takes New York
The PE shop with a taste for asset managers, is expanding in Gotham. ..
MutualFundWire.com - Tuesday, June 6, 2017 Views
A Rker Acquires Kravitz, Inc.
A retirement administration and cash balance specialist firm has been acquired...
401kWire.com - Tuesday, June 6, 2017 - Reader Rating: 5
Filings for Fundsters - June 6, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com - Tuesday, June 6, 2017 Views
Bob Reynolds Takes on New Role -- Author
The CEO is releasing a new book on retirement. ..
401kWire.com - Tuesday, June 6, 2017 - Reader Rating: 5
Stadion Looks for RKer Allies to Tell the StoryLine Story
Stadion has a lot up their sleeve in order to share their nine-month-old managed account service.....
401kWire.com - Tuesday, June 6, 2017 - Reader Rating: 1
Vanguard Reports Decadal Changes in 401k Plans
In Vanguard's 'How America Saves 2017' report, increases in automated features were found.....
401kWire.com - Tuesday, June 6, 2017 - Reader Rating: 2.5
Former Mercer Exec Joins Lockton
One of the largest insurance brokerage firms has just appointed a new hire...
401kWire.com - Tuesday, June 6, 2017
The Year of the Stock Picker? Malkiel Scoffs
The famed economist and roboadvisor exec again takes to the pages of the WSJ to fight the active-passive fight...
MutualFundWire.com - Tuesday, June 6, 2017 Views
Plan Sponsors Are Positive About Recent Progress
This global asset management firm has released a new survey that reveals important plan sponsor statistics.....
401kWire.com - Tuesday, June 6, 2017
GRP Welcomes an 8-Year LPL Veteran
Chetney adds a veteran 401(k) plan advisor (KPA) to lead his transitions team...
401kWire.com - Monday, June 6, 2016 - Reader Rating: 5
A Keystone State-Based $879 MM Plan Ushers in a New Consultant
Airgas made other recent changes to its plan tied to the fund lineup. ..
401kWire.com - Monday, June 6, 2016
This Pennsylvania KPA Joins RayJay
A Dolyestown, Pennsylvania 401(k) plan advisor has chosen a new broker-dealer...
401kWire.com - Monday, June 6, 2016
1200 FAs Gather in Orlando
Pershing's 18th annual conference will kick off tomorrow morning...
MutualFundWire.com - Monday, June 6, 2016 Views
Access to 401k Plans Is Scarce in Metropolitan Cities
The Pew Charitable Trust analyzes trends that show broad differences in retirement plan coverage across the United States...
401kWire.com - Monday, June 6, 2016 - Reader Rating: 5
Healey Shells Out $800MM to Buy Into Five More Alts Shops
The AMG chief unveils a deal with a Goldman Sachs fund...
MutualFundWire.com - Monday, June 6, 2016 Views - Reader Rating: 5
SSGA's O'Hanley Steps Up for Wider Workplace Adoption of DC Plans
The investment management firm is calling on Congress to act. ..
401kWire.com - Monday, June 6, 2016 - Reader Rating: 5
Meet Gundlach's Right Hand Jeffrey
The DoubleLine chief names a deputy CIO, hits 12 figures in AUM, and expands into the Land of the Rising Sun...
MutualFundWire.com - Monday, June 6, 2016 Views - Reader Rating: 5
Oklahoma Hasn't Yet OK'd Vendors for Its New DC Plan
Although plan providers haven't yet been selected, the bill that Oklahoma Governor Mary Fallin signed into law on Friday says the board may select providers to an existing DC plan. ..
401kWire.com - Friday, June 6, 2014
RidgeWorth's Parikh Talks Expansion, Offers Biz Advice
Fresh off his management buyout, the RidgeWorth CEO shares his plans for the newly independent firm, as well as some advice and challenges on the asset management business in general...
MutualFundWire.com - Friday, June 6, 2014 Views
Gabelli Gathers Investors and Movie Execs in the Big Apple
Gabelli introduces publicly traded entertainment industry execs to investors at its 6th Annual Movie & Entertainment Conference in New York. ..
MutualFundWire.com - Friday, June 6, 2014 Views
An Atlanta RIA Adds a Branch in Tennessee
An advisor joins in Chattanooga...
401kWire.com - Friday, June 6, 2014
Pioneer Sells Back Its Stake In a $4.2B Shop
Oak Ridge Investments has repurchased Pioneer's stake in Oak Ridge and will take over the two Pioneer funds Oak Ridge already sub-advises...
MutualFundWire.com - Friday, June 6, 2014 Views
A High-Profile RIA Writes for Participants
New York Times bestselling author offers clear and concise knowledge on the retirement industry, catering to plan participants in his most recent book. ..
401kWire.com - Friday, June 6, 2014
ING Plans to Merge Away a Value Fund
The board of trustees of ING Investors Trust [profile] approved a proposal to reorganize the ING Pioneer Mid Cap Value Portfolio into the ING Large Cap Value Portfolio. The proposed reorganization is subject to approval by shareholders of the fund. If approved, reorganization will place on or about September 7, 2013. [http://www.sec.gov/Archives/edgar/data/837276/000110465913047442/a13-14511_1497.htm">SEC Filing ]...
MutualFundWire.com - Thursday, June 6, 2013 Views
A PM Joins an OpFunds Commodity Offering
..
MutualFundWire.com - Thursday, June 6, 2013 Views
OpFunds Adds a Money Fund PM
Oppenheimer Funds' [profile]Oppenheimer Money Market Fund has updated PM information. Christopher Proctor has been a PM since May 2010 and Adam Wilde will join Proctor next month. [SEC Filing]...
MutualFundWire.com - Thursday, June 6, 2013 Views
Gaffney Unites Allianz's Sales Effort Under One Flag
A reorg at Allianz Global Investors brings down barriers and helps sales people focus, say the firm's distribution heads...
MutualFundWire.com - Thursday, June 6, 2013 Views
The Next Gig for the Week of June 6, 2013
Looking for your next gig? Read here to learn about the industry's latest job openings...
MutualFundWire.com - Thursday, June 6, 2013 Views
Newport Wins Mobile Laurels
The RKer's mobile website has won an award...
401kWire.com - Thursday, June 6, 2013
Did Aquarium Researchers Suffer $800K in 401k Theft?
A California woman has been indicted for the alleged crime...
401kWire.com - Thursday, June 6, 2013
John Hancock Trust Unveils PM Changes
John Hancock Variable Insurance Trust advised by John Hancock Asset Management has amended their PM information. The portfolio managers for Fundamental Holdings Trust, Global Diversification Trust, Core Fundamental Holdings Trust, Core Global Diversification Trust, Core Strategy Trust, the Lifecycle Trusts, the Lifestyle PS Series and the Lifestyle Trusts are: Bob Boyda, Steve Medina, Marcelle Daher, Scott McIntosh and Nathan Thooft. [SEC Filing]...
MutualFundWire.com - Thursday, June 6, 2013 Views
He Picked Sullivan, and Now He's On Legg's Board
The Maryland mutual fund shop replaces two of its directors...
MutualFundWire.com - Thursday, June 6, 2013 Views
A Southeastern RKer Upgrades Its Web Presence
Two sites get updates...
401kWire.com - Thursday, June 6, 2013
CUNA Mutual Wins App Applause
The RKer lands a trophy...
401kWire.com - Thursday, June 6, 2013
Neuberger Flexes Its Alts Muscles Again
The new Neuberger Berman Flexible Select Fund looks to provide attractive risk-adjusted returns with low volatility. ..
MutualFundWire.com - Thursday, June 6, 2013 Views
Thrivent Tweaks Three Funds
Thrivent Financial [profile] has altered the principal investment strategies and risks for the Thrivent Balanced Fund, expanding asset allocation percentage ranges for both equities and fixed income while adding target allocations for each. TheThrivent Equity Income Plus Fund's allocation ranges have also adjusted. And Thrivent also updated the Thrivent Core Bond Fund investment strategies and risks. [SEC Filing]...
MutualFundWire.com - Thursday, June 6, 2013 Views
UBS Shifts an Alts Fund's Strategy and Benchmarks
The UBS [profile] fund PACE Alternative Strategies Investments is altering their principal investment strategies and the secondary benchmarks used for measuring fund performance. The fund's principal investment strategy disclosure is removing the disclosure about the fund's total rate of return target and adding disclosure about the breadth of the fund's potential investment strategies. The fund will now be using the MSCI World Free Index (net) and the HFRI Fund of Funds Composite Index as secondary benchmarks for measuring fund performance.[SEC Filing]...
MutualFundWire.com - Thursday, June 6, 2013 Views
An Aberdeen Fund Hires ... Aberdeen
On June 4, 2013 the shareholders of the Aberdeen Select International Equity Fund approved an investment advisory agreement with the Aberdeen Asset Management Inc [profile]. The shareholders also approved a sub-advisory agreement with Aberdeen Asset Managers Limited. [SEC Filing]...
MutualFundWire.com - Thursday, June 6, 2013 Views
A PM Leaves a Brandes Fund
As of June 3, 2013, Al Chan is no longer PM for the Brandes Emerging Markets Fund at Brandes Investment Partners [profile]. [SEC Filing ]...
MutualFundWire.com - Thursday, June 6, 2013 Views
DoL Approves Some Abandoned Plan Clean Up
The regulatory agency gives ADP and JP Morgan its seal of approval to move forward...
401kWire.com - Thursday, June 6, 2013
DC Plan Sponsors Can Learn From DBs
Research finds that if DC plans incorporate non-traditional strategies, they can prosper. ..
401kWire.com - Thursday, June 6, 2013
Hancock Reprices Three Funds
John Hancock has implemented new breakpoints and lowered expense caps on several funds. ..
MutualFundWire.com - Thursday, June 6, 2013 Views
A Silicon Valley 401k Interloper Raises $25MM More
Personal Capital has a new round of investors...
401kWire.com - Thursday, June 6, 2013
Swooning for ETFs
ETFs are all the rage, with equities accounting for most of the investment. ..
MutualFundWire.com - Thursday, June 6, 2013 Views
SEC's Money Fund Proposals Make a Splash
Pundits, activists, opponents and industry leaders all rush to the soapboxes...
MutualFundWire.com - Thursday, June 6, 2013 Views
Madoff Is a Bogelite?
This story is beyond words...
MutualFundWire.com - Thursday, June 6, 2013 Views
Repetto Revamps DFA's Philosophy
Profitability becomes the make or break quality for Dimensional Fund Advisors..
MutualFundWire.com - Thursday, June 6, 2013 Views
Rekenthaler Waxes on Junk Bonds
Why are they so popular?..
MutualFundWire.com - Thursday, June 6, 2013 Views
Industry Insiders Express "Serious Process Concerns" Over SDBA Guidance
Industry representatives figure out the next step following last week's meeting...
401kWire.com - Wednesday, June 6, 2012 - Reader Rating: 4
MassMutual's Small Plan Sales Hire Focuses on the Big Apple
Hancock alum joins bundled recordkeeper to service accounts under $10 million..
401kWire.com - Wednesday, June 6, 2012
OpFunds Agrees to a $35MM Settlement
The SEC fines the MassMutual subsidiary for allegedly "making misleading statements" about two mutual funds...
MutualFundWire.com - Wednesday, June 6, 2012 Views
SunGard Takes Fund/SERV Global
SunGard is going global with a new fund servicing solution...
MutualFundWire.com - Wednesday, June 6, 2012 Views
ING Names a DC I-O Product Head
Updated | The insurer-owned asset manager has tapped an industry veteran from Columnia Management for the job...
401kWire.com - Wednesday, June 6, 2012 - Reader Rating: 5
Great-West Adds New Regional Sales Director
New hire will work in government markets throughout the central U.S., and will be based in Nashville...
401kWire.com - Wednesday, June 6, 2012 - Reader Rating: 5
A New York 401k Shop Moves Downtown
An upstate consulting firm lands bigger office space...
401kWire.com - Wednesday, June 6, 2012
Pimco Summer Vacays Stay Safe
For the record: the Newport Beach mutual fund giant did not ask workers to cancel their summer vacations...
MutualFundWire.com - Wednesday, June 6, 2012 Views
A Wells Fargo Advisor Jumps to LPL
A North Carolina-based retirement plan specialist aligns with Bill Chetney's new group at the giant indie B-D...
401kWire.com - Wednesday, June 6, 2012 - Reader Rating: 3
Paulson Weighs in on Money Fund Reform as House GOP Seeks Rule Delays
House Republicans believe the SEC hasn't proven the effectiveness of these potential regulations...
MutualFundWire.com - Wednesday, June 6, 2012 Views
SEC's Karpati Taps Two to Fill Kaplan's Shoes at AMU
Two SEC staffers are getting a promotion to Deputy Chief at the asset amangement unit. ..
MutualFundWire.com - Wednesday, June 6, 2012 Views
Global X Floats Another Hedge Fund ETF
This new fund will likely use straggles similar to the AlphaClone ETF..
MutualFundWire.com - Wednesday, June 6, 2012 Views
Reynolds Makes a Long Bet on China for Putnam
The Boston-based firm has signed on an Invesco Great Wall executive to head its new office...
MutualFundWire.com - Wednesday, June 6, 2012 Views
Mitch and Ben Zacks Enter the ETF Biz
A Chitown mutual fund shop preps a pair of ETFs...
MutualFundWire.com - Wednesday, June 6, 2012 Views
Why is Putnam Building iPhone Apps? Part 3
Bob Reynolds and his team quietly roll out a new plan feature even as the hype follows their new iPhone app .....
401kWire.com - Monday, June 6, 2011 - Reader Rating: 3.67
Why is Putnam Building iPhone Apps? Part 2
What is Bob Reynolds' broader strategy for the 401k business?..
MutualFundWire.com - Monday, June 6, 2011 Views
Eaton Vance Tackles Absolute Return Via Commodities
A West Coast subsidiary of the mutual fund firm unveils a new offering...
MutualFundWire.com - Monday, June 6, 2011 Views
401k Assets Again Hit New Highs in 2010
The number of new plans and participants also reach new highs, according to a new survey...
401kWire.com - Monday, June 6, 2011 - Reader Rating: 3
vWise Hooks Up With Another RKing TPA
An Empire State firm taps into the SoCal online education specialists' offering...
401kWire.com - Monday, June 6, 2011 - Reader Rating: 3
T. Rowe Rolls Out an EM Bond Fund
The new offering will bet on local currencies...
MutualFundWire.com - Monday, June 6, 2011 Views
A Tools Specialist Shines a Light on Revenue Sharing
A new database automates exposure of open architecture and group annuity revenue sharing arrangements...
401kWire.com - Monday, June 6, 2011 - Reader Rating: 3
Why is Putnam Building iPhone Apps? Part 1
The iPhone app is an extension of this campaign to refocus people on retirement income and not their account balance. In short, to focus on the goal and not the moment. Of course, the lofty goal does not mean that Putnam's new iPhone app will .....
MutualFundWire.com - Monday, June 6, 2011 Views - Reader Rating: 3
American Century Eyes a Sales Force Expansion
Fresh from signing former Fidelity bigwig Peter Cieszko, an American Century exec says the firm plans to eventually grow its sales force...
MutualFundWire.com - Monday, June 6, 2011 Views - Reader Rating: 5
Vanguard, Eh?
The mutual fund shop looks for some Northern exposure...
MutualFundWire.com - Monday, June 6, 2011 Views
Bob Rodriguez Predicts Another Plunge
A national magazine profiles the value mutual fund manager...
MutualFundWire.com - Monday, June 6, 2011 Views
Putnam Brings a Third-Party RI Product to a Broader Client Base
A year after one of its plan sponsor clients went live with the product, Putnam is making the guaranteed income 401k offering available to around 700 plan sponsors...
401kWire.com - Friday, June 6, 2008 - Reader Rating: 4.5
Credit Suisse Cuts Calamos Rating
Credit Suisse has dealt Calamos a blow...
MutualFundWire.com - Friday, June 6, 2008 Views
Top Fido Legal Voice is Out
The top fund lawyer at Fidelity returns to the ivory tower...
MutualFundWire.com - Friday, June 6, 2008 Views
Unified Automates Boardbooks Process for Clients
Unified Fund Services wants to make it easier for its fund boards, especially the small ones, to operate...
MutualFundWire.com - Friday, June 6, 2008 Views - Reader Rating: 5
Lehman Brothers Reportedly Seeking Capital
Lehman Brothers is seeking to raise as much as $5 billion in capital by early next week...
MutualFundWire.com - Friday, June 6, 2008
DC Trainers Unfurl Standards Online
A Pennsylvania firm adds a new Web-based version of its retirement industry designation program...
401kWire.com - Friday, June 6, 2008
SSgA Hopes to Boost Brand Loyalty with its New White Paper
The new paper show advisors ways in which in they can use ETFs in portfolios...
MutualFundWire.com - Friday, June 6, 2008 Views
CalPERS Universal IRA Moves Forward
Could the giant California public retirement system be jumping into the DC private sector? ..
401kWire.com - Friday, June 6, 2008 - Reader Rating: 5
A Scottsdale B-D Unveils Managed Account Platform
The platform employs technology, back-office services and an investment research team from FundQuest...
MutualFundWire.com - Friday, June 6, 2008 - Reader Rating: 3
More Details Pop Up on Fido Layoffs
The extent of the third round of Fidelity layoffs since November has come to light...
401kWire.com - Friday, June 6, 2008
Another Law Firm Contemplates a Wachovia Company Stock Suit
The giant bank faces another investigation of its DC plan. ..
401kWire.com - Friday, June 6, 2008
Legg Mason Launches a Fund and MFS Improves on Some Old Ones
The latest edition of the Morningstar Fund Times column features a new fund and some new faces...
MutualFundWire.com - Friday, June 6, 2008 Views
Will Private Equity Fit Inside Asset Allocation Funds?
One sub-advised fund manager aims to bring an alternatives-based offering to the DC market via target date and target risk portfolios. ..
401kWire.com - Friday, June 6, 2008
Fidelity Anoints New PMs
Fidelity has made portfolio management changes at its Select Banking Portfolio and International Small Cap Fund...
MutualFundWire.com - Friday, June 6, 2008 Views
Fido Puts a Number on Latest Layoffs
The cuts are not limited to the Merrimack office...
MutualFundWire.com - Friday, June 6, 2008 Views
Scudder Skipper Gets WSJ Spotlight
The Friday edition of the Wall Street Journal column features DWS Scudder portfolio manager Oliver Kratz. ..
MutualFundWire.com - Friday, June 6, 2008 Views
Participant-Haves More Confident Than Have-Nots
A consulting firm revealed research showing that participants with lower account balances and income levels were the least confident about their retirement plan, and they're not the only ones. The firm prescribes advice and individual reviews as a treatment for these blues. ..
401kWire.com - Wednesday, June 6, 2007 - Reader Rating: 3.5
Franklin Templeton to Join Web Platform
Franklin Templeton Investments will join DST Systemsí Vision platform...
MutualFundWire.com - Wednesday, June 6, 2007 Views
Manulife in the Market for More U.S Fund Companies
Manulife wants to add to its U.S fund company repertoire...
MutualFundWire.com - Wednesday, June 6, 2007 Views
Target Funds Still Account for a Tiny Chunk of DC Assets
While target-risk and target-date funds are experiencing rapid growth, they have yet to make up a large portion of total DC assets...
401kWire.com - Wednesday, June 6, 2007
Fidelity I-O Taps Ex-MFS Exec
A blast from the past hire will lead the Boston Behemoth unit's relationships with intermediaries. ..
401kWire.com - Wednesday, June 6, 2007 - Reader Rating: 3
BD Takes One Fiduciary Advisor Leap for Compliance-Kind
DALBAR has just graduated the first compliance officer from its fiduciary advisor training program. ..
401kWire.com - Wednesday, June 6, 2007 - Reader Rating: 1
Zecco Drops Account Minimum
Zecco Trading has reduced the its minimum account deposit to open a brokerage account from $2,500 to $0. T..
MutualFundWire.com - Wednesday, June 6, 2007
Revenue Sharing Suit Comes Home to Roost
A fee lawsuit filed last fall is changing venues, leaving the anticipated trial date in the air. ..
401kWire.com - Wednesday, June 6, 2007 - Reader Rating: 5
CitiGroup Fined By NASD as Result of Broker Misdeeds
The NASD has fined CitiGroup Global Markets, Inc., $3 million to settle charges relating to the use of misleading materials in retirement seminars and meetings for BellSouth employees...
MutualFundWire.com - Wednesday, June 6, 2007
TD Ameritrade Finds New COO Within
TD Ameritrade has hired a new chief operating officer, effective July 2...
MutualFundWire.com - Wednesday, June 6, 2007
Evergreen Promotes Longtime Fund Manager
Francis Claro has been appointed head of Evergreen's international developed markets equity team...
MutualFundWire.com - Wednesday, June 6, 2007 Views - Reader Rating: 3
Majority of Janus Investors will See No Fair Fund Money
Janus will only be mailing checks to investors whose losses amount to at least $10...
MutualFundWire.com - Wednesday, June 6, 2007 Views - Reader Rating: 2
Hedgers Try to Push TD Ameritrade into Play
Even before the dust settles on the Fiserv ISS deal, two hedge funds call out TD CEO Ed Clark for being an "obstacle" to doing a deal. Meanwhile, Schwab executives shrug at the opportunity, seeing no strategic advantage in buying their rival...
MutualFundWire.com - Wednesday, June 6, 2007 Views - Reader Rating: 4
Hedgers Pushing TD Ameritrade into Play
Even before the dust settles on the Fiserv ISS deal, two hedge funds call out TD CEO Ed Clark for being an "obstacle" to doing a deal. Meanwhile, Schwab executives shrug at the opportunity, seeing no strategic advantage in buying their rival...
MutualFundWire.com - Wednesday, June 6, 2007 - Reader Rating: 2.33
BlackRock Dolls Up a New 130/30 Fund
Leverage may be the new, new thing to sweep the fund industry, but will it be a good thing? The WSJ tackles separate account returns from Morningstar to find out...
MutualFundWire.com - Wednesday, June 6, 2007 Views - Reader Rating: 3.25
Gabelli Settles With Justice Department
Star fund manager Mario Gabelli and the Department of Justice have decided on a settlement, the Wall Street Journal and Reuters have reported...
MutualFundWire.com - Tuesday, June 6, 2006 Views
DC Plan Participants' Retirement Looks Risky
A new study released by the Center for Retirement Research suggests that DC plan participants are less likely to save enough for retirement than their DB plan counterparts...
401kWire.com - Tuesday, June 6, 2006 - Reader Rating: 4
WMSI Wins Fresh Capital
The New Jersey-based firm celebrates its sixth birthday with plans to open an office and a call center later this month...
401kWire.com - Tuesday, June 6, 2006 - Reader Rating: 1
Russell Goes Global With Indexing
The indexing crew at Russell Investment Group will soon start applying its methodology to global markets...
MutualFundWire.com - Tuesday, June 6, 2006 Views
MassMutual Taps Insider As National Sales Manager
The Springfield, Massachusetts-based firm has promoted an insider to replace Ed Ryan, who moved back to operations...
401kWire.com - Tuesday, June 6, 2006
ADP To Offer Managed Accounts
The New Jersey recordkeeper is planning a two-phase rollout for the managed account service later this summer...
401kWire.com - Tuesday, June 6, 2006 - Reader Rating: 1.5
CFDD, McHenry Consulting To Launch Conference Web Site
CFDD has also decided on a venue for its advisor conference in the next three years...
401kWire.com - Tuesday, June 6, 2006
MFDF Lures SEC's Wyderko
Did Susan Ferris Wyderko develop a taste for fund governance during her stint as acting head of the SEC's Investment Management Division?..
MutualFundWire.com - Tuesday, June 6, 2006 Views
Real Estate Fund Shifts Gears Against Inflation
Rampant fears over the big bad wolf of inflation have convinced the shareholders of one real estate fund to change tack...
MutualFundWire.com - Tuesday, June 6, 2006 Views - Reader Rating: 2.33
European CEOs Talk Retirement Income, Management Fees
What issues are uppermost in the minds of Europe's fund company CEOs? At the NICSA and Dublin Funds Industry Association pow-wow in Ireland last week, the European heads of PIMCO, INVESCO and Allianz were among those joining in an engaging roundtable discussion that looked at the coming retirement rush, how to pay portfolio managers, and serving the range of investors...
MutualFundWire.com - Tuesday, June 6, 2006 Views
The Reserve CIO Moves On
The Reserve Funds has lost its senior investment decision-maker to another branch of the industry...
MutualFundWire.com - Tuesday, June 6, 2006 Views
Burns Steps Aside at Pimco Funds
There is a new president at Pimco Funds and he is an insider. Ernest L. Schmider takes over as president of the Newport Beach, California fixed income specialist, filling a post vacated by R. Wesley Burns...
MutualFundWire.com - Monday, June 6, 2005 Views
Munder Wins Mandate from Troubled Amerindo
Amerindo Technology D Fund's board has tapped Munder Capital Management as the fund's new advisor. The hiring came a week after Federal investigators arrested Alberto Vilar and Gary Tanaka on fraud charges. The board initiated the search for a new advisor last week after stripping Vilar and Tanaka of their portfolio management duties...
MutualFundWire.com - Monday, June 6, 2005 Views
GAO to Release Second SEC Report to House Committee
Congress will hold more hearings on the mutual fund trading abuses Tuesday. The Government Accountability Office (GAO) is expected to use the hearing to release its report on the second of its two recent investigations into the failure of the Securities and Exchange Commission (SEC) to mutual fund trading fraud abuses. ..
MutualFundWire.com - Monday, June 6, 2005 Views
Wm Blair Targets Emerging Markets Investors
Chicago-based William Blair Funds is adding an emerging markets fund to its complex. The Emerging Markets Growth Fund is the twelfth fund in the family that claims some $7 billion in fund assets under management. ..
MutualFundWire.com - Monday, June 6, 2005 Views
Bisys Lands PFPC Sales Exec
Bisys Fund Services has tapped a former PFPC executive to oversee its global marketing, client service and product development...
MutualFundWire.com - Monday, June 6, 2005 Views
Merrill Exec Says Farewell
A key executive in Merrill Lynch's retirement group is no longer with the company...
401kWire.com - Monday, June 6, 2005 - Reader Rating: 2.33
National City Rebrands
The bank pledges its allegiance to a new name for its 401k and trust services...
401kWire.com - Monday, June 6, 2005 - Reader Rating: 2.5
Fiserv ISS to Add Revenue Management Tool
The custodian is adding tools to help TPAs and recordkeepers better track their revenue sharing...
401kWire.com - Monday, June 6, 2005 - Reader Rating: 2
Sihpol Deliberations: Jurors Grasp at Intent
Watchers in the criminal case against Theodore Sihpol got a glimpse of the jury's state of mind on Monday...
MutualFundWire.com - Monday, June 6, 2005
E*Trade Ups Ameritrade Bid
E*Trade has upped its bid for Ameritrade from $1.5 billion in cash and 47 percent of the combined company, to $2 billion in cash and 49.5 percent .....
MutualFundWire.com - Monday, June 6, 2005 Views
Armada Pledges Allegiant
The Armada Funds brand will be wiped out as part of a brand overhaul going on at Cleveland, Ohio-based National City .....
MutualFundWire.com - Monday, June 6, 2005 Views
Vilar's Friends Leave Him in the Lurch
Amerindo's Alberto Vilar failed to rustle up $4 million worth of property or assets and spent the weekend in jail .....
MutualFundWire.com - Monday, June 6, 2005 Views - Reader Rating: 2.33
GE Financial Adds National Sales Manager Post
The GE unit has recently promoted an executive from within to lead intermediary sales efforts for its personal retirement business...
MutualFundWire.com - Friday, June 6, 2003 Views
GM DC Head Wins Award
Chuck Tschampion is recognized by AIMR...
401kWire.com - Friday, June 6, 2003 - Reader Rating: 2
Macaskill Resurfaces
The ex-OppFunds CEO has taken a consulting assignment at a wirehouse...
MutualFundWire.com - Friday, June 6, 2003 Views
New Participant Ed Center Offered
401khelpcenter and an interactive education specialist are providing the new service to better educate investors...
401kWire.com - Friday, June 6, 2003 - Reader Rating: 3
Overture Seals a Deal
The new kid on the block lines up more cash for its acquisition war chest...
MutualFundWire.com - Friday, June 6, 2003 Views - Reader Rating: 4
AMG Names Top Counsel
The fund firm fills the shoes of Nate Dalton from within...
MutualFundWire.com - Thursday, June 6, 2002 Views
Schwab Capital Taps New VP
The Schwab unit adds a marketer in its Boston office to reach out to financial institutions...
MutualFundWire.com - Thursday, June 6, 2002 Views
Cooke & Bieler Reaches Out to Public funds
A new principal joins the firm to market to public sector funds...
401kWire.com - Thursday, June 6, 2002
Unsafe at Any Speed?
A pair of Tyco lawsuits hint that just about every plan sponsor offering company stock should keep those fiduciary liability policies paid up...
401kWire.com - Thursday, June 6, 2002
Putnam Lands Citi Pro
The other Boston fund firm is trying to right its flagship funds before they capsize...
MutualFundWire.com - Thursday, June 6, 2002 Views
Earning Trust
How do financial services firms re-establish trust with investors? One firm begins with its financial advisors...
MutualFundWire.com - Thursday, June 6, 2002 Views
Adds ETF Diamond to Crown
The Chicago fund researcher expands its offerings to cover ETFs while it eyes still more areas for development...
MutualFundWire.com - Thursday, June 6, 2002 Views
Insurer Reels in Gorton Fisherman
A local vendor lands a $16 million plan...
401kWire.com - Thursday, June 6, 2002
Vendor Adds Education Kit
Delaware Investments has rolled out a new award-winning ed kit...
401kWire.com - Thursday, June 6, 2002
Chicago Firm Selects Victory
The real estate firm selects the manager as directed trustee and investment manager...
401kWire.com - Thursday, June 6, 2002
New Union Biz for NY Life
Through a new acquisition, the vendor has netted a larger number of Taft Hartley accounts...
401kWire.com - Wednesday, June 6, 2001 - Reader Rating: 3
AIM is Collegebound
The firm looks to make its mark in the 529 space...
MutualFundWire.com - Wednesday, June 6, 2001 - Reader Rating: 3
Flight from Phoenix
A Phoenix Investment Partners exec joins Brinson Advisors...
MutualFundWire.com - Wednesday, June 6, 2001 - Reader Rating: 3
Professor AERS
The vendor is forming a new division to focus on investment education...
401kWire.com - Wednesday, June 6, 2001 - Reader Rating: 3
Retiramation
Japan looks set for its own DC laws ... McNulty to retire ... HedgeWorld on the move ... Wells Fargo online ... Warnings from Neuberger ... SunAmerica hops on Confluence...
MutualFundWire.com - Wednesday, June 6, 2001 Views - Reader Rating: 3
Retiramation
Japan looks set for its own DC laws ... McNulty to retire ... HedgeWorld on the move ... Wells Fargo online ... Warnings from Neuberger ... SunAmerica hops on Confluence...
401kWire.com - Wednesday, June 6, 2001 - Reader Rating: 3
For Better or For Worse
Diversified firm chooses a new recordkeeper...
401kWire.com - Wednesday, June 6, 2001 - Reader Rating: 3
Vanguard Gets Thumbs Down
$160 million has already moved to another large cap fund as First Union flushes an erratic Vanguard fund from its select list...
MutualFundWire.com - Wednesday, June 6, 2001 Views - Reader Rating: 3
E*TRADE Taps Former UAM Head
The online broker taps new staff to head its retirement efforts...
401kWire.com - Tuesday, June 6, 2000 - Reader Rating: 3
Bankers Systems Launches PrivacyHeadquarters.com
The compliance provider has launched a new service dedicated to privacy regulations and services for banking, securities, and insurance professionals...
MutualFundWire.com - Tuesday, June 6, 2000 - Reader Rating: 3
E*TRADE Fleshes Out Asset Management Division
The recent executive transition in E*TRADE's asset management group now includes four key executive hires...
MutualFundWire.com - Tuesday, June 6, 2000 - Reader Rating: 3
Diversity in Dixie
South Carolina sponsor reviews funds...
401kWire.com - Tuesday, June 6, 2000 - Reader Rating: 3
Advice Alliances Pick Up Steam
Dreyfus, Principal & National City pick up new advice partners. Ibbotson goes to Japan...
401kWire.com - Tuesday, June 6, 2000 - Reader Rating: 3
First American Hires Investment Head for the Wealthy
First American has a new chief investment officer for its high net worth group...
MutualFundWire.com - Tuesday, June 6, 2000 - Reader Rating: 3
Invest Early, Invest Often
David Speck of Alexandria, VA combines financial advising and politics...
MutualFundWire.com - Tuesday, June 6, 2000 - Reader Rating: 3
June 6, 2000
ICI sued by shareholders ... Barclays eyes bonds ... Annuity alert ... Just out of reach. ..
401kWire.com - Tuesday, June 6, 2000 - Reader Rating: 3
June 6, 2000
ICI sued by shareholders ... Barclays eyes bonds ... Annuity alert ... Just out of reach...
MutualFundWire.com - Tuesday, June 6, 2000 - Reader Rating: 3
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