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News & Articles

Be sure to also check out our blog for the latest RIA compliance news and alerts.

 

January 26, 2016
Tech Tools to Streamline Coompliance

Common RIA compliance social media and digital media advertising issues


 

December 2, 2015
RIA in a Box Releases 2015 Registered Investment Adviser (RIA) Technology Landscape Infographic

Frequency of RIA audits


 

December 1, 2015
10 cybersecurity steps for RIAs

FINRA RIA regulation


 

November 11, 2015
How many RIAs are there? No, seriously, how many?

riabiz


 

November 4, 2015
New software options helping plan advisors grow

FINRA RIA regulation


 

October 5, 2015
For Plan Advisors, Cyber Security is the Greatest Risk

FINRA RIA regulation


 

September 30, 2015
Join ITEGRIA and RIA in a Box Tomorrow for an RIA Cybersecurity Compliance Webinar

Frequency of RIA audits


 

September 29, 2015
A palpable camaraderie accrues in Boston as FPA provides support group for lonely CFPs

riabiz


 

September 18, 2015
Eric Clarke pushes RIA app coders to new limits in Utah suburb

riabiz


 

September 17, 2015
Stubborn Software Vendors Buck Integration Trend, For Now

SEC investment adviser exams


 

September 16, 2015
Survey: RIAs Favor Active, Passive Strategies over Hybrids

Adding RIA to insurance practice


 

September 15, 2015
Advisors Beware: Social Media Fraught With Danger

Adding RIA to insurance practice


 

September 11, 2015
Schwab Survey: RIA Mergers and Acquisitions up by 28 Percent

Adding RIA to insurance practice


 

September 8, 2015
Costs of Starting an RIA

RIA firms that invest in technology grow faster


 

June 2, 2015
Congressman wants FINRA to regulate RIAs

FINRA RIA regulation


 

May 14, 2015
Advisers Getting It Wrong on Advertising Rules

Common RIA compliance social media and digital media advertising issues


 

April 15, 2015
Invest in Technology

RIA firms that invest in technology grow faster


 

March 31, 2015
AUM Alternatives

Starting an RIA with AUM fee based model


 

February 13, 2015
4 Cool Tech Tools Launched at T3

new RIA compliance software


 

February 9, 2015
Top 15 States With Most RIAs

SEC RIA compliance


 

February 6, 2015
How the Cloud Helps Smaller (RIA) Practices Soar

Adding RIA to insurance practice


 

January 27, 2015
Is Your RIA Firm Registered Properly? RIA in a Box Releases New Free Tool

Check your firm's RIA registration


 

January 12, 2015
More RIAs May Leave SEC's Oversight

RIA state registration regulation


 

January 8, 2015
A better way to regulate RIAs?

RIA Examinations


 

January 8, 2015
Alternatives to Increase RIA Exam Frequency: RIA in a Box Releases Exploratory Study

Frequency of RIA audits


 

January 7, 2015
Study calls for majority of RIAs to move under state regulation

RIAs regulated at state level


 

October 27, 2014
How to Start Your Own RIA Firm

How to Start Your Own RIA Firm


 

September 3, 2014
SEC User Fees Would Have Little Impact on Most Firms: Study

SEC RIA compliance


 

September 3, 2014
SEC exams could cost RIAs thousands- or even millions

SEC investment adviser exams


 

May 21, 2014
Advisers worry about potential costs of third-party exams

Cost of 3rd party RIA audits


 

January 3, 2014
FINRA keeping pressure on complex products in 2014

compliance of complex financial products


 

November 14, 2013
This state’s advisers fumble custody requirements

RIA custody rules and requirements


 

October 7, 2013
State regulators question RIAs’ use of mandatory arbitration

Investment adviser regulations


 

March 5, 2013
Falling for Scam in Effort to Help Client

investment adviser compliance



February 26, 2013
How Advisors Get Paid Now

Types of RIA compensation on Form ADV



February 25, 2013
RIA in a Box Reveals Insights on RIA Business Activity

Annual renewal of RIA registration



January 18, 2013
Regulators to crack down on phony AUM

calculating regulatory assets under management



August 15, 2012
RIAs Get A Helping Hand With Compliance Docs

RIA compliance services



August 9, 2012
RIA in a Box Announces New Registration Maintenance Service for Compliant Document Management

investment adviser Form ADV updates



June 24, 2012
Delays mar switch to state registration

state registration of RIA firms



February 14, 2012
Many Advisors Face March 30 Deadline

investment adviser SEC registration



February 7, 2012
Advisers Must Prepare for Transition from SEC to State Registration

Switching RIA from SEC to state registration



February 5, 2012
SEC targets compliance

SEC investment adviser compliance focus



February 1, 2012
Targeting ‘yield chasing,’ Finra issues watch list

invnews



January 26, 2012
As Population Ages, Disclosure Forms Become Key

wsj2



January 25, 2012
RIA In A Box Provides Free February 7 Webinar on SEC to State Transition Challenges and Requirements

help with investment adviser firm registration



September 19, 2011
SRO battle intensifies; will independents have a separate regulator?

invnews



August 31, 2011
New RIA-Compliant Bookkeeping Service

actoday



July 19, 2011
1 of 5 New RIAs Get Registered by This Guy’s Firm — with Zachary Gronich

ZACK MILLER’S NEW RULES OF INVESTING



June 27, 2011
Threshold For SEC Oversight Raised To $110 Million

RIA state registration



June 26, 2011
‘Switch’ deadlines still could be in flux

RIA SEC registration



May 17, 2011
RIA In A Box Launches Last-Minute Audit Prep Service so RIAs Can Be Ready When Auditors Arrive

RIA audit prep



March 29, 2011
SEC Makes Complying with Form ADV Easier

sectech



March 29, 2011
RIA Consulting Firm Finds Untapped Growth in Compliance Field

famag



March 25, 2011
Third of Advisers May Blow ADV Deadline

invnews



March 17, 2011
Many RIAs Expected to Miss ADV Deadline

riabiz



March 7, 2011
RIA In A Box Provides Inexpensive, Simple Templates to Assist RIA Do-It-Yourselfers in Filing the New ADV 2A and 2B Forms

yahoo



January 26, 2011
Advisors Drag Heels on New Disclosure Rule

fa2



October 18, 2010
RIA In A Box Partners With Lloyds of London and North American Professional Liability Insurance Agency to Provide the First-Ever Group E&O Insurance Program for RIAs

reuters



October 4, 2010
South Dakota’s Top State Securities Regulator Steve Thomas Joins RIA In A Box and Lexington Compliance

yahoo



August 5, 2010
SEC’s Plain-English Rule Will Cost Advisors

famag



August 2, 2010
SEC Rules for New RIA ADV Part 2 Require Creation of Plain English Brochure to Disclose Background and Business Practices

msnbc



June 8, 2010
RIA Consultant Opts for Web-Friendly Brand

wsj2



May 26, 2010
RIA Registrations Continue to Climb, Fueling Growth at RIA In A Box

TDA



November 5, 2009
The Quick and Easy Route to Getting Your RIA License Suspended

riabiz



October 1, 2009
RIAs Want You

regrep



September 2, 2009
Hovig Melkonian Joins RIA In A Box as Compliance Director and Auditor

mw



August 23, 2009
Investment Advisers Don’t Need An Uber-Regulator (written by owner of RIA IN A BOX)

invnews



August 11, 2009
RIA In A Box to Offer Mock Audit Services to RIAs



August 11, 2009
Consulting Firm Offers Mock Audits to RIAs

plan



June 26, 2009
Investment adviser consulting firm cashing in on expansion

hbj



June 17, 2009
RIA In A Box Finds Its Registered Investment Advisor Consulting Services in High Demand, Even in Today’s Tough Economy