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The Experience, Price, and Speed You Need When Creating Your RIA
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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.
| Our Core Services |
Fees |
- FINRA Entitlement Paperwork
- ADV Part I (Online)
- ADV Part II (Paper and Online)
- U-4 Form (Per Person)
- Client Advisory Contract (includes Investment Policy Statement)
- Privacy Policy Statement
- Chief Compliance Officer Training
- Code of Ethics
- Written Policies & Procedures Manual (includes Code of Ethics)
- Each additional state
- Each additional representative
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- $115.00
- $250.00
- $425.00
- $95.00
- $510.00
- $65.00
- $485.00
- $250.00
- $600.00
- $300.00
- $95.00
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| RIA IN A BOX Package |
$2,295.00 |
| One of Everything You Need To Get Registered and Be Compliant |
- FINRA Entitlement
- ADV Part 1 (online)
- ADV Part 2 (online and paper)
- Form U4 for one representative
- Filing in one jurisdiction
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- Investment Advisory Contract
- Chief Compliance Officer Training
- Privacy Policy Statements
- Written Policies & Procedures Manual
- Code of Ethics
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| ANNUAL RENEWAL Package |
$450.00 |
- Update and amend both parts of your ADV
- Ensure your renewal fees are paid on time
- Compile any state specific paperwork
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| Our Advertising Compliance Review Services |
Fees |
- Website review
- Business card review
- Letterhead review
- Mailer review
- Seminar review
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- $15 per page
- $25 per card
- $25 per page
- $50 per page
- Call for quote
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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 |
Fees |
- State/SEC RIA Registration Fees
- Series 65 Exam
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RIA IN A BOX accepts VISA, Mastercard, Discover, and American Express!
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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 2010, All rights reserved |
