This infographic is for educational purposes only. All registered trademarks or logos are property of their respective owners and are in no way formally a�liated with RIA in a Box.

RIA in a Box is a leading provider of registration and compliance services and so�ware to over 1,500 registered investment adviser (RIA) �rms. We enable fellow entrepreneurs to remain in constant

regulatory compliance by pairing our team of former regulators with cutting-edge compliance so�ware.

*Source: RIA In a Box 2018 RIA Technology and Options Survey.

Average AUM:

Systems Used:

AUM Growth:

54k

0

5.6%

Technology is the future for RIAs. Does your �rm know where it’s going?

Most �rms don’t need and can’t a�ord a dedicated Chief Operations or Chief Technology O�cer. However, all �rms do need an integrated technology system in order to grow e�ciently.

Services & Technology

35k

1

9.6%

74k

2

16.6%

91k

3

16.1%

122k

4

24.4%

131k

5

30.8%

42% of RIA �rms utilize �nancial

planning so�ware.*

i

How does technology adoption impact an RIA �rm?*

46% of RIA �rms utilize a CRM system.*

i

41% of RIA �rms utilize a portfolio management

or reporting system.*

i

CUSTOMER RELATIONSHIP MANAGER

PORT

FOLI

O M

AN

AG

EMEN

T/RE

PORT

ING

PORT

FOLI

O R

ISK

AUTO

MAT

ED P

ORT

FOLI

O M

AN

AG

EMEN

T

DO

CUM

ENT

MA

NA

GEM

ENT/

STO

RAG

E

REBA

LANCI

NG

ARCHIVING

FIN

AN

CIA

L PL

AN

NIN

G

MARKETING/LEAD GENERATION

DATA AGGREGATORS

DATA AGGREGATORS

Warning! Outlook is not a CRM Software.

2018 Edition as of April 2018

2017 Technology Adoption by AUM*

Services & Technology

$0 - 10 Million

$10 - 50 Million

$50 - 100 Million

$100 - 200 Million

$200 Million Plus

None

42%

CRM

30%

23% 47%

17% 66%

11% 74%

25% 63%

FPS

33%

46%

54%

60%

49%

PM/Rep

25%

46%

54%

65%

58%

DOC

24%

50%

65%

71%

59%

Risk

14%

24%

32%

34%

29%