Welcome To RIA in a Box

The Customized Registration Solution for Your RIA Firm!

RIA In A Box is a unique registration and compliance consulting firm staffed by industry professionals and ex-regulators that provides you with all the tools that a Registered Investment Adviser will need to be ready to conduct business on Day One. Every investment advisory firm is unique and only RIA In A Box guides you through the entire registration and business planning process and creates customized documents specific to your situation in a timely and cost efficient manner.

RIA In A Box helped create nearly 1 of every 5 investment advisers approved in America over the last 3 years. RIA In A Box is the fastest, most efficient way to set up your advisory firm…just ask any of our clients! We feel honored that over 1,800 Investment Advisers have trusted RIA In A Box as their registration compliance consultants.

Whether you are leaving or breaking away from your broker/dealer, starting a hedge fund, adding the registration to your existing insurance, tax or CPA practice, or just starting out, we’re here to help you as we have been the industry leaders for the past 8 years and have experience working with a multitude of advisory models. The day your firm opens you’ll have all the customized contracts, forms, and training necessary to begin seeing clients.

RIA In A Box provides a fully customized registration package:

  • We build and submit your documents to the state/SEC in 5-7 business days
  • Tailored contracts (not samples)
  • Tailored Policies and Procedures Manual (not samples)
  • In depth Complete Chief Compliance Officer training so you understand your compliance obligations 
  • Dedicated team of experts to guide you through the entire registration process
  • We fill out and file all necessary documents
  • Only spend about an hour filling out our questionnaires and let our experts do the rest!
  • Our clients are eligible for up to a 20% discount on their professional liability (E&O) insurance just for having utilized RIA In A Box

The RIA in a Box RIA Registration Package also includes a number of complimentary services for no additional charge including researching all of the relevant registration requirements, assisting with general business planning, assisting with Series 65 Exam scheduling, and serving as the liaison with the regulators by responding to all registration inquiries.

Our mission at RIA in a Box is to enable fellow entrepreneurs to create their own registered investment advisory firms and receive the ongoing support they need to remain in constant regulatory compliance. We take pride in partnering with our clients to establish the highest quality registered investment advisers in the country.

Beyond RIA registration and compliance services, we also often assist new investment advisers with broader business decisions such as custodian and technology selection, whether a hybrid setup fits your business model, or many other considerations related to being an independent investment adviser. We also offer an array of ongoing compliance support services to assist with post-registration compliance. Ultimately, we will do our absolute best to go above and beyond to help you setup and manage your investment advisory firm however you may desire.

Contact us today to set up a free, confidential consultation to discuss your business plans and the RIA registration process.