On-Going Compliance

Our Lexington Compliance Suite of On-Going RIA Compliance Consulting Services

RIA in a Box offers on-going monthly compliance services designed to fit every investment adviser’s budget with packages beginning at $99 per month. While these compliance outsourcing services are not required for registered investment advisers, we’ve found that the vast majority of our clients prefer having an ongoing relationship with our compliance experts.

Our team of former state regulators has a unique compliance expertise which spans both SEC and state-level investment adviser regulations. Our experienced team can answer your compliance questions, review your registration documents, provide Chief Compliance Officer (CCO) training, or conduct a mock audit that will prepare you for the actual state or SEC audit. Most mock audits can be completed over a single day and we will schedule the audit at a time that is convenient for you.

The Chief Compliance Officer Document and training provided in our RIA In a Box Package covers the basics of managing your own compliance, but if you’d like additional ongoing support from our experts, these services are for you.

What do our compliance clients have to say?

• "Just wanted to let you know how valuable the meeting with your Director of Compliance was to me and my business. No one should have any doubt about the value and professionalism RIA in a Box brings to the table. Having this "audit" allows me to make the improvements neccessary to pass any future compliance audit without serious deficiencies which could result in significiant fines or the loss of my ability to conduct business. Your Director is as professional as can be, he pulls no punches; he is an asset to your business and mine. It was a pleasure meeting him. Every RIA that is serious about their business should meet your Director and have RIA in a Box on their side."
  -G. Koutsakis, Owner of Strategic Retirement Planning, LLC (Florida)

• "Just wanted to let you know Steve and I were very impressed with your Director of Compliance. We feel he has us more aware of our deficiencies and what we need to do going forward. No doubt a homerun adding him to your team. Thanks again!"
  -R. Lowery, Owner of AmeriTrust Investment Advisors, LLC (South Carolina)

• "The mock audit service was phenomenal – instructive, enlightening and pragmatic. It was also worth at least twice what it cost. I highly recommend it to all advisers."
  -C. Smith, Owner of Islamorada Investment Management, LLP (Florida)