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Case study · Financial advisor

RIA: 0 to 62 discovery calls in 90 days

A mid-sized RIA had blocked LinkedIn outreach for years because compliance wouldn't approve any tool. After the compliance team reviewed Infonet's archive and approval workflow, all 18 advisors went active.

Composite case study. The numbers and patterns in this case study reflect outcomes typical of Infonet customers in this segment. Specific company identification has been anonymized at customer request. Outcomes vary by team, ICP, and execution discipline.

The numbers

62
Qualified discovery calls in 90 days
$4.2M
New AUM lift in first 6 months
18
Advisors active
100%
Audit-loggable activity record

Before

  • Zero LinkedIn outreach because compliance hadn't approved any tool
  • Advisors building books almost entirely on referrals and existing-client expansion
  • New advisor ramp-up taking 18–24 months due to slow book growth
  • Compliance team had previously rejected three other automation tools over archiving and approval workflow gaps

The challenge

FINRA and SEC compliance requirements for financial advisors include 7-year message archive, supervisor approval workflows, and immutable audit logs. Most LinkedIn automation tools were built for SaaS sales and don't satisfy these requirements. The RIA had given up on LinkedIn as a channel.

What they did with Infonet

  • Compliance team reviewed Infonet's 7-year archive, approval workflow, and Smarsh export integration
  • 30-minute call walked through audit log structure and retention defaults
  • Compliance approved 8 message templates per advisor; AI personalization runs within those approved boundaries
  • Each advisor's LinkedIn outreach isolated to their dedicated home IP and profile
  • Compliance dashboard configured for real-time monitoring
  • 3-week setup followed by phased advisor rollout (5 advisors, then 7, then all 18)

After

  • All 18 advisors active on LinkedIn outreach within 60 days of compliance approval
  • 62 qualified discovery calls in the first 90 days post-rollout
  • Average advisor book lift: $4.2M in new AUM in the first 6 months
  • Compliance officer noted audit logs are cleaner than the firm's previous email archive
  • New advisor ramp-up time projected to drop from 24 months to 12 months

The lesson

Compliance approval is the gatekeeper for regulated-industry LinkedIn outreach. Most automation tools fail this check because they were never designed to. The right tool treats archive retention and approval workflow as first-class features, not afterthoughts.

Tooling stack

Infonet Enterprise $42/mo per advisor (18 profiles = $756/mo). Existing Smarsh archive integration. Salesforce CRM.

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