The 401k Playbook

Hosted by Grant Ellis

Business EntrepreneurshipInterviews guests

Website RSS feed

Episodes

Latest episode

Aug 2026

Language

About the show

The 401k Playbook is a podcast for advisors, by advisors...or one advisor to be specific. This podcast is for any advisor looking to get into the 401k space, grow their 401k business, or learn more about what it means to be a 401k advisor. In this podcast, Grant interviews 401k advisors, thought leaders, and experts about their journey in the 401k space. But this isn't just about making more money. This is about people and stories. We will talk about the best parts of our work and the hardest parts of both our work and our journey. Grant Ellis has been in the 401k space since 2005. He has worked for a recordkeeper, owned a TPA firm, consulted for the largest brokerage firm in the world, and owned multiple 401k and wealth management practices. He has deep experience and knowledge in the 401k advisory world, but more than anything he loves connecting with people and hearing their stories.

Listen to episodes

11 recent

August 24, 202619 min

The 401(k) Problem Most Employers Aren't Paying Attention To

Terminated participants probably aren't the most exciting thing you'll deal with inside your 401(k) plan. Good grief, even saying "terminated participants" sounds boring. But they can create some very real problems. Former employees who leave money behind in your plan can increase your administrative workload, add costs, create additional fiduciary responsibilities, and in some cases even help push your plan into an annual audit requirement. And there's another side to this. A lot of former employees have no idea what their options are. They may leave an old 401(k) sitting somewhere for years simply because nobody ever explained what they could actually do with it. In this video, I walk through: • What a terminated participant actually is • Why old 401(k) balances can become a problem for employees • The responsibilities those accounts create for plan sponsors • How terminated participants can affect plan costs and audits • Why communication matters so much • How we approach terminated participant campaigns with our 401(k) clients The goal isn't to push somebody to move their money. It's to make sure they understand their options, know where their money is, and can make an informed decision about what they want to do with it. If you're a 401(k) plan sponsor and have questions about your plan, feel free to reach out. There's a link below to connect with our team at Ellis Retirement.

July 30, 202634 min

401k Fees: Stop The Insanity

401k's are complex enough without the industry adding more complexity on top. Today we are discussing 401(k) fees and why they are becoming increasingly difficult to understand. We'll talk about how to find out what your 401(k) fees are, who is getting paid, and how.

September 16, 202533 min

State Of The Industry: Noise, Chaos, and Confusion

If you've seen the 401k headlines recently, you know that the 401k industry is noisy right now. It feels like new legislation comes out daily, along with a million new tools and options that 401k plan sponsors have to choose from. Plan sponsors are overwhelmed with all of the "information." They don't know what they need to be addressing or when they need to be addressing. They also don't know who should be walking them through these scenarios to help them make informed decisions for their plan and their participants. In this episode of the 401k playbook, I talk about the state of the industry (hint: noisy) as well as how we handle this type of environment for our clients. Whether you are an advisor in the 401k space or a 401k plan sponsor, I hope the information is helpful. If you have any questions or simply want to connect, the easiest place to find me is on LinkedIn.

June 5, 2025Episode 643 min

All Things 401k Sales, Marketing, and Prospecting

This episode dives into the question I get more than any other: How do you grow a 401(k) business? If you're entering the space or trying to get better at it, you've probably heard a lot of noise. Scripts, shortcuts, and promises that sound too good to be true. I'm not here for that. I'm sharing what actually works, where most advisors go wrong, and what you need to have in place before you worry about sales strategy. If you want to build a business that lasts, this episode is for you. Connect with me on LinkedIn if you want to talk more. And if you enjoy the show, a quick review goes a long way.

January 31, 2025Episode 735 min

From Cold Prospecting To Referrals - How To Grow

It can be extremely difficult to grow your 401k book of business. Every advisor knows what it feels like to spend hours cold calling and cold emailing only to have nothing to show for it. The dream for every advisor, in 401ks or otherwise, is to grow their business by getting referrals. But how do you get referrals? Do you need a system? Do you need to ask for them? In this episode, Grant talks about how his business evolved its growth strategy from cold prospecting to referral-based growth. It's not what you think, but it might help you refine your growth and referral process you try to grow your business.

November 22, 2024Episode 648 min

How To Get The Most Out Of Conferences

Going to conferences can be fun, but they can also be expensive and a waste of time. Why bother spending the money and taking time away from work and family to go listen to people talk on a stage? These are good questions, and today, we'll discuss why conferences can be an important part of your journey. If you are intentional about the conferences you attend and clear about your objectives, attending a conference can be transformative for you and your business. If you enjoy this show and are willing, I'd love for you to leave a rating and a review, and perhaps share it with friends. If you are interested in having me speak at your conference or event, please email hello@ellisretirement.com.

September 20, 2024Episode 550 min

Tips For Scaling Your 401k Business

As advisors (or TPA's, recordkeepers, wholesalers) we are always looking for ways to grow. We focus on prospecting and marketing techniques, which although not bad, aren't enough. Whether you are a solo advisor or lead a team of 50, your focus needs to be on scaling your business. You can grow a business and run yourself into the ground. Or you can scale a business and become profitable and efficient, both in time and money. Which one would you choose? In this episode, we discuss what scaling is, why you want to scale, and give tactical tips for actually scaling your 401k business or practice. If you enjoy this show, please consider leaving a rating and a review. It helps other people find it. Thanks for listening!

September 13, 2024Episode 438 min

Grow Your Technical Knowledge To Grow Your Business

As a 401k advisor, we are taught to sell, and there is nothing wrong with that. But how do we gain the technical knowledge we need to grow our 401k business and take care of our clients? There aren't many ways. In this episode, I discuss how you can increase your technical knowlege in several ways. I also discuss the best way, in my opinion, that is rarely talked about. If you enjoy this podcast, please leave a rating and a review so that other people can find it. Thanks for listening!

April 11, 2024Episode 355 min

My Takeaways From The NAPA 401k Summit

I just got back from the annual NAPA 401k Summit. It was a great conference as it is every year. Why should you go to conferences? What should you expect to get out of them? What are your expectations and how do you approach them? In this episode I talk about the conference itself, what it is and what it isn't, why I attend conferences and how I think you should approach them. I hope you enjoy. If you do like the podcast, please leave a review and/or rating. Thanks!

April 2, 2024Episode 245 min

How To Build Your 401k Knowledge Base

If you want to be a good 401k advisor, you have to know what you are doing. 401ks are some of the most complex financial instruments that exist. You want your clients to think of you as a trusted resource who can connect them with the information they need to make decisions for the benefit of them and their employees. But how do you go about doing that? In this episode, I give you 5 ways that you can deepen your 401k knowledge, learn the industry, and become the 401k expert that your clients need and want. If you like the show, feel free to rate and review it so that others can find it. Also, if you want to connect or have any questions, feel free to reach out to me on LinkedIn until we get the website up and running.