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Your Registered Investment Advisory Firm, Your Way.
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Our Fees
Our fees are designed to let you choose as much or as little as you want done. From Form ADVs to client contracts to training, we can do it all. Our Chief Compliance Officer training teaches you how to deal with on-going compliance issues and properly run your firm from a compliance standpoint. The SEC requires every RIA firm in America to have a Written Policies & Procedures Manual that includes soft dollar, insider trading, disaster continuity, anti-money laundering, and a code of ethics.
Services can be ordered individually at the prices listed below or in package format.
RIA IN A BOX now accepts VISA, Mastercard, Discover, and American Express!
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| OUR SERVICES |
FEES |
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FINRA Entitlement Paperwork |
$115.00 |
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ADV Part I (Online) |
$250.00 |
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ADV Part II (Paper and Online) |
$425.00 |
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U-4 Form (Per Person) |
$95.00 |
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Client Advisory Contract (includes Investment Policy Statement) |
$410.00 |
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Privacy Policy Statement |
$65.00 |
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Chief Compliance Officer Training |
$485.00 |
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Code of Ethics |
$200.00 |
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Written Policies & Procedures Manual (includes Code of Ethics) |
$500.00 |
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RIA IN A BOX PACKAGE
(Registration and Compliance)
- FINRA Entitlement
- ADV Part 1 (online)
- ADV Part 2 (online and paper)
- Form U4 for one representative
- Filing in one jurisdiction
- Investment Advisory Contract
- Chief Compliance Officer Training
- Privacy Policy Statements
- Written Policies & Procedures Manual
- Code of Ethics
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$2,195.00 |
ANNUAL RENEWAL PACKAGE
- Update and amend both parts of ADV
- Make sure your fees are paid on time
- Compile any state specific paperwork
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$450.00 |
State/SEC fees, FINRA fees, and exam fees are not included in the prices above and will go directly to the agencies.
| STATE/FEDERAL FEES |
COST |
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State/SEC RIA Registration Fees |
Call for fees |
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Series 65 Exam |
$120.00 |
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 CONTACT US
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| RIA
In a Box is not a law firm, CPA firm, or an investment adviser. No information or advice should be deemed, in any way, to be legal advice, tax advice, or investment advice. If you require the services of a lawyer, we do recommend that you seek an independent attorney. |
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Copyright 2007, All rights reserved |
