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Through the ‘Window,” PlanAdviser

July/August 2019

Morgan Lewis partner Julie Stapel was interviewed by PlanAdviser for an article about brokerage windows, which some investors prefer for the freedom to self-direct their investments alongside more traditional fund offerings. “There’s typically a group of participants who can’t live without a certain fund or, less often, things such as direct real estate, or timber and logging vehicles,” Julie said in the article. “Or a sponsor might acquire a business, and the 401(k) plan along with it. The sponsor can’t keep adding to the fund lineup, so it says, ‘That fund from your prior plan won’t be on the main lineup, but you can have it through the brokerage window.’”

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