Guides
How to Get 401(k) Leads: 7 Methods, Ranked Honestly
The seven ways advisors get 401(k) leads, ranked by cost, speed, and quality — plus whether to buy a lead list, why rollover leads are a different product, and the timing layer that decides everything.
How to Prospect 401(k) Plans: The Six-Step Process
A 6-step process for prospecting 401(k) plans: build a universe from Form 5500 data, rank sponsors by switch timing, and call the week something changes.
Form 5500 Prospecting: What a Plan's Filing Tells You — and What It Can't
What a Form 5500 reveals for 401(k) prospecting — fees, providers, red flags — what it can't show, and how to layer live switch signals on top.
401(k) Prospecting Scripts That Start With a Reason to Call
Six original 401(k) prospecting scripts for advisors — cold call, voicemail, and email — each keyed to public Form 5500 facts or a documented peer comparison.
How to Sell 401(k) Plans: The Advisor's Playbook
A practical playbook for advisors selling 401(k) plan services: who actually decides, what to sell against, the finals meeting, and the timing that decides whether you get invited at all.
Free 401(k) Leads: Where They Come From, What They Cost You in Hours, and the One We Give Away
Free 401(k) leads exist, and the Department of Labor publishes them. Here is where they come from, what a "free" lead actually costs in calling hours, and the one free switch signal we give away by ZIP.
How to Find 401(k) Plans by ZIP Code (Free, Step by Step)
Three free ways to find 401(k) plans near you by ZIP code: the DOL's EFAST2 search, the downloadable Form 5500 datasets, and one free switch signal from your ZIP. Step by step, sourced, plus why "near me" is the wrong first filter.
401(k) Prospecting for TPAs and Recordkeepers: What the Filings Show Your Seat
How TPAs, recordkeeper sales teams, and plan auditors use Form 5500 data to find 401k prospects: what Schedule C shows, where it stops, and a process.
403(b) Plan Prospecting: What the Form 5500 Shows, and What It Can't
403(b) plan prospecting with public data: which nonprofit 403b plans file a Form 5500, which are exempt, how to find the filers, and what they show.
Defined Benefit Plan Prospecting: How to Read a Pension Plan's Form 5500
Defined benefit and pension plan prospecting from public data: where DB and cash balance plans appear on Form 5500, and how to read Schedule SB funding.
How to Find the Advisor and Recordkeeper on a 401(k) Plan (Free, From the Form 5500)
Find a 401k plan's advisor and recordkeeper free: pull its Form 5500 on EFAST2, read Schedule C and Schedule A, and know why small plans name neither.
How to Find 401(k) Plans Without an Advisor, Using Public Form 5500 Data
How to find 401k plans without an advisor using Form 5500 Schedule C: the DOL service codes to check, a step-by-step method, and the limits to know.
How to Find Companies With 401(k) Plans, and Filter Them by Industry (NAICS) Code
Find companies with 401k plans free: filter Form 5500 filings by plan code 2J, NAICS-based business code, state, ZIP, assets and size. Step by step.
401(k) Plan Red Flags: The Form 5500 Lines That Show Them, and How to Raise Them Fairly
401k plan red flags from the Form 5500 itself: late deposits, bond gaps, prohibited transactions, corrective distributions, late filing, underfunding.
Form 5500 Schedule C, Explained for Advisors: Service Codes, Indirect Compensation, and Who Has to File
Form 5500 Schedule C for advisors: who files it, the $5,000 rule, every service and compensation code, indirect compensation, and where commissions go.
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