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.
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.
30 Jul 2026
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.
16 Sept 2025
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.
5 Jun 2025
All Things 401k Sales, Marketing, and Prospecting
Host Brian O'Connell explores effective strategies for 401(k) sales, marketing, and prospecting, revealing common pitfalls and essential foundations for building a sustainable business.
31 Jan 2025
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.
22 Nov 2024
How To Get The Most Out Of Conferences
Financial expert, Ellis, shares how to maximize the value of conferences by setting clear objectives, which can be transformative for both individuals and businesses.
20 Sept 2024
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!
13 Sept 2024
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!
11 Apr 2024
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!
2 Apr 2024
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.
27 Mar 2024
Welcome To The 401k Playbook!
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