Agnew, Julie, Pierluigi Balduzzi, and Annika Sunden, 2003, Portfolio Choice and Trading in a Large 401(k) Plan, American Economic Review 93, 193-215.
Alexander, Gordon J., Gjergji Cici, and Scott Gibson, 2007, Does Motivation Matter When Assessing Trade Performance? An Analysis of Mutual Funds, Review of Financial Studies 20, 125-150.
- Balduzzi, Pierluigi and Jonathan Reuter, 2013, Heterogeneity in Target-Date Funds and the Pension Protection Act of 2006, Working Paper, Boston College.
Paper not yet in RePEc: Add citation now
Barber, Brad, and Terrance Odean, 2000, Trading Is Hazardous to Your Wealth: The Common Stock Investment Performance of Individual Investors, Journal of Finance 55, 773-806.
Barclay, Michael J, Neil D. Pearson, and Michael S. Weisbach, 1998, Open-End Mutual Funds and Capital-Gains Taxes, Journal of Financial Economics 49, 3-43.
Bergstresser, Daniel and James Poterba, 2002, Do After-Tax Returns Affect Mutual Fund Inflows? Journal of Financial Economics 63, 381-414.
Berk, Jonathan C., and Richard C. Green, 2004, Mutual Fund Flows and Performance in Rational Markets, Journal of Political Economy 112, 1269-1295.
Brown, Jeffrey R., Nellie Liang, and Scott Weisbenner, 2007, Individual Account Investment Options and Portfolio Choice: Behavioral Lessons from 401(k) Plans, Journal of Public Economics 91, 1992-2013.
- Brown, Keith C., and W. Van Harlow, 2012, How Good are the Investment Options Provided by Defined Contribution Plan Sponsors? International Journal of Portfolio Analysis and Management 1, 3-31.
Paper not yet in RePEc: Add citation now
Brown, Keith C., W. Van Harlow, and Laura T. Starks, 1996, Of Tournaments and Temptations: An Analysis of Managerial Incentives in the Mutual Fund Industry, Journal of Finance 51, 85-110.
Carhart, Mark, 1997, On Persistence in Mutual Fund Performance, Journal of Finance, 52, 57– 82.
Chen, Qi, Itay Goldstein, and Wei Jiang, 2010, Payoff Complementarities and Financial Fragility: Evidence from Mutual Fund Outflows, Journal of Financial Economics 97, 239262.
Chevalier, Judith, and Glenn Ellison, 1997. Risk Taking by Mutual Funds as a Response to Incentives. Journal of Political Economy 105, 1167-1200.
Choi, James J., David Laibson, Brigitte C. Madrian, and Andrew Metrick, 2002, Defined Contribution Pensions: Plan Rules, Participant Decisions, and the Path of Least Resistance, In Tax Policy and the Economy 16, James M. Poterba, ed. (Cambridge, MA: MIT Press).
- Choi, James J., David Laibson, Brigitte Madrian, and Andrew Metrick, 2006, Saving for Retirement on the Path of Least Resistance, Behavioral Public Finance (Russell Sage Foundation: E.McCaffrey and J. Slemrod, eds.), 304-351.
Paper not yet in RePEc: Add citation now
- Christoffersen, Susan, and Mikhail Simutin, 2013, Plan Sponsor Oversight and Benchmarking: Effects on Fund Risk-taking and Activeness, Working Paper, University of Toronto.
Paper not yet in RePEc: Add citation now
Christoffersen, Susan, Christopher Geczy, David Musto, and Adam Reed, 2006, Cross-border Dividend Taxation and the Preferences of Taxable and Non-taxable Investors: Evidence from Canada, Journal of Financial Economics 78, 121-144.
Cohen, Lauren, and Breno Schmidt, 2009, Attracting Flows by Attracting Big Clients, Journal of Finance 64, 2125-2151.
Coval, Joshua, and Erik Stafford, 2007, Asset Fire Sales (and Purchases) in Equity Markets, Journal of Financial Economics 86, 479-512.
Daniel, Kent, Mark Grinblatt, Sheridan Titman, and Russ Wermers, 1997, Measuring Mutual Fund Performance with Characteristic-Based Benchmarks, Journal of Finance 52, 10351058.
Davis, Gerald F., and E. Han Kim, 2007, Business Ties and Proxy Voting by Mutual Funds, Journal of Financial Economics 85, 552-570.
Del Guercio, Diane and Paula Tkac, 2008, Star Power: The Effect of Morningstar Ratings on Mutual Fund Flow, Journal of Financial and Quantitative Analysis 43, 907-936.
Del Guercio, Diane, and Jonathan Reuter, 2013, Mutual Fund Performance and the Incentive to Generate Alpha, Forthcoming: Journal of Finance.
Del Guercio, Diane, and Paula Tkac, 2002, The Determinants of the Flow of Funds of Managed Portfolios: Mutual Funds versus Pension Funds, Journal of Financial and Quantitative Analysis 37, 523-557.
- Deloitte Consulting, 2011, Annual 401(k) Benchmarking Survey: 2011 Edition.
Paper not yet in RePEc: Add citation now
Dickson, Joel, John B. Shoven, and Clemens Sialm, 2000, Tax Externalities of Equity Mutual Funds. National Tax Journal 53, 607–28.
Duflo, Esther, and Emmanuel Saez, 2003, The Role of Information and Social Interactions in Retirement Plan Decisions: Evidence from a Randomized Experiment, The Quarterly Journal of Economics 118, 815-842.
Edelen, Roger, 1999, Investor Flows and the Assessed Performance of Open-End Mutual Funds, Journal of Financial Economics 53, 439-466.
Elton, Edwin J., Martin J. Gruber, and Christopher R. Blake, 2006, The Adequacy of Investment Choices offered by 401(k) Plans, Journal of Public Economics 90, 1299-1314.
Elton, Edwin J., Martin J. Gruber, and Christopher R. Blake, 2007, Participant Reaction and the Performance of Funds Offered by 401(k) Plans, Journal of Financial Intermediation 16, 249-271.
Evans, Richard, 2010, Mutual Fund Incubation, Journal of Finance 65, 1581-1611.
Fama, Eugene, and James D. MacBeth, 1973, Risk, Return, and Equilibrium: Empirical Tests, Journal of Political Economy 81, 607-636.
Fama, Eugene, and Ken French, 1993, Common Risk Factors in the Returns on Stocks and Bonds, Journal of Financial Economics 33, 3–56.
Frazzini, Andrea, 2006, The Disposition Effect and Underreaction to News, Journal of Finance 61, 2017-2046.
Frazzini, Andrea, and Owen A. Lamont, 2008, Dumb Money: Mutual Fund Flows and the CrossSection of Stock Returns, Journal of Financial Economics 88, 299-322.
Goyal, Amit, and Sunil Wahal, 2008, The Selection and Termination of Investment Management Firms by Plan Sponsors, Journal of Finance 63, 1805-1847.
Gruber, Martin J., 1996, Another Puzzle: The Growth in Actively Managed Mutual Funds, Journal of Finance 51, 783-810.
- Heisler, Jeffrey, Christopher Knittel, John Neumann, and Scott Stewart, 2007, Why Do Institutional Plan Sponsors Hire and Fire Their Investment Managers? Journal of Business and Economic Studies 13: 88-115 Huang, Jennifer, Kelsey D. Wei, and Hong Yan, 2007, Participation Costs and the Sensitivity of Fund Flows to Past Performance, Journal of Finance 62, 1273-1311.
Paper not yet in RePEc: Add citation now
Huberman, Gur, and Wei Jiang, 2006, Offering versus Choice in 401(k) Plans: Equity Exposure and Number of Funds, Journal of Finance 61, 763-801.
Ivković, Zoran, and Scott Weisbenner, 2009, Individual Investor Mutual Fund Flows, Journal of Financial Economics 92, 223-237.
Khorana, Ajay, and Henri Servaes, 1999, The Determinants of Mutual Fund Starts, Review of Financial Studies 12, 1043-1074.
- Kim, Min S., 2011, Changes in Mutual Fund Flows and Managerial Incentives, Working Paper, University of New South Wales.
Paper not yet in RePEc: Add citation now
Lakonishok, Josef, Andrei Shleifer, and Robert Vishny, 1992, The Structure and Performance of the Money Management Industry, Brookings Papers: Microeconomics, 339-379.
Lou, Dong, 2012, A Flow-Based Explanation for Return Predictability, Review of Financial Studies 25, 3457-3489.
Madrian, Brigitte, and Dennis F. Shea, 2001, The Power of Suggestion: Inertia in 401(k) Participation and Savings Behavior, Quarterly Journal of Economics 116, 1149-1187.
- McFarland, Brendan, 2013, DB Versus DC Investment Returns: The 2009-2011 Update, Towers Watson Insider.
Paper not yet in RePEc: Add citation now
- Pool, Veronika, Clemens Sialm, and Irina Stefanescu, 2013, It Pays to Set the Menu: 401(k) Investment Options in Mutual Funds, Working Paper, Indiana University and University of Texas at Austin.
Paper not yet in RePEc: Add citation now
Rauh, Joshua, 2006, Own Company Stock in Defined Contribution Pension Plans: A Takeover Defense? Journal of Financial Economics 81, 379-410.
- Rydqvist, Kristian, Ilya A. Strebulaev, and Joshua D. Spizman, 2013, Policy and Ownership of Equity Securities, Forthcoming: Journal of Financial Economics.
Paper not yet in RePEc: Add citation now
Sialm, Clemens, and Laura Starks, 2012, Mutual Fund Tax Clienteles, Journal of Finance 67, 1397-1422.
Sirri, Erik, and Peter Tufano, 1998, Costly Search and Mutual Fund Flows, Journal of Finance 53, 1589-1622.
- Stewart, Scott, John Neumann, Christopher Knittel, and Jeffrey Heisler, 2009, Absence of Value: An Analysis of Investment Allocation Decisions by Institutional Plan Sponsors, Financial Analysts Journal 65, 34-51.
Paper not yet in RePEc: Add citation now
Tang, Ning, Olivia S. Mitchell, Gary R. Mottola, and Stephen P. Utkus, 2010, The Efficiency of Sponsor and Participant Portfolio Choices in 401(k) Plans, Journal of Public Economics 1112, 1073-1085.
Wermers, Russ, 2000, Mutual Fund Performance: An Empirical Decomposition into StockPicking Talent, Style, Transaction Costs, and Expenses, Journal of Finance 55, 1655-1702.
- Wermers, Russ, 2003, Is Money Really 'Smart'? New Evidence on the Relation between Mutual Fund Flows, Manager Behavior, and Performance Persistence, Working Paper, University of Maryland.
Paper not yet in RePEc: Add citation now
Zheng, Lu, 1999, Is Money Smart? A Study of Mutual Fund Investors' Fund Selection Ability, Journal of Finance 54, 901-933.