• RIA compliance services provided by former regulators
  • State and SEC RIA compliance consultants support
  • Online RIA compliance software with compliance calendar
  • RIA registration and renewal assistance
  • RIA state registration and notice filing services
  • RIA employee and rep supervision software
  • Customized investment adviser compliance checklists and webinars

We provide monthly RIA compliance services to over 1,500 firms. Our team of former regulators has SEC and state-level investment adviser regulatory expertise and can answer compliance questions, review marketing documents, provide Chief Compliance Officer training, or help prepare for an audit. For all service levels, we assist with all Form ADV amendments and individual adviser registrations. We also offer unlimited, hands-on compliance consulting time beginning with our professional service level. In addition, all firms gain access to our industry-leading MyRIAComplianceTM online RIA compliance software platform which allows firms to more efficiently and proactively manage compliance.

Basic
Professional
Dedicated
Most Popular
STATE-REGISTERED FIRM   +$12 per additional user on all levels1
$195 /mo
$395 /mo
$1,945 /mo
SEC-REGISTERED FIRM   +$15 per additional user on all levels1
$345 /mo
$595 /mo
$2,245 /mo

 

Access to MyRIACompliance
Online Software

 

Compliance Review Call
with Compliance Expert

 

Customized Compliance
Checklists

 

Customized Online
Compliance Calendar

 

Monthly Webinar with
Compliance Experts

 

Assistance with Annual Registration
Renewal Process

 

Unlimited Form ADV
Amendment Filings

 

Registration of New
Individual Representatives2

 

Quarterly Registration
Status Monitor

 

Access to Registration
Tracking Tool

 

Service Bureau Admin
for IARD Account

 

Online Electronic
Compliance Log

 

Online Employee
Compliance Supervision

 

 

All Basic Features +

 

 

Annual Review Call
with a Compliance Expert

 

Unlimited Compliance
Questions via Email

 

Unlimited Compliance
Questions via Phone

 

Unlimited Review of
Filing Documents

 

Unlimited Review of Client
Marketing Materials

 

Advisory Firm Registration in
New States3

 

 

All Professional Features +

 

 

Dedicated Compliance Expert

 

 

Chief Compliance Officer
Training Program

 

2 On-site Visits in Your Office
Per Year

 

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Download our Pricing and Overview Brochure here.

1) Each firm subscription includes one MyRIAComplianceTM user license. Firms with only one employee are not required to pay any additional user fees. For firms with more than one employee, the firm is required to purchase a user license for each additional firm employee to help the firm meet its compliance supervision requirements.
2) Prepare and file paperwork required for up to three (3) new individual investment adviser representatives to be registered per 12 months. 
3) Prepare and file the firm's application for registration or notice filing in up to five (5) additional jurisdictions per 12 months.
 Mock Audit Services

 
On-Site Mock Audit
$5,250 for Non-MyRIACompliance Clients
$3,795 for MyRIACompliance Clients

Conducted by Former Regulator
Review Form ADVs, Agreements, Files and Folders, Books and Records, and Advertising
Chief Compliance Officer (CCO) Training
Answer Compliance Questions
Entrance/Exit Interview
We Pay All Travel Expenses

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Virtual Mock Audit and Review Services
$3,795 for Non-MyRIACompliance Clients
$2,295 for MyRIACompliance Clients

Conducted by Former Regulator
Electronic Sampling of Client Files (If Applicable)
Chief Compliance Officer (CCO) Training
Answer Compliance Questions
Review Form ADVs, Policies and Procedures Manual, Advertising, and Sample Agreements

Request Information

RIA in a Box LLC is not a law firm, investment advisory firm, or CPA firms. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities or legal counsel if applicable.