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Over 3,000 advisors have trusted RIA in a Box® as their registration compliance consultants. Our staff of industry professionals and ex-regulators guides you through the entire registration and business planning process and creates customized documents specific to your situation in a timely and cost efficient manner.

Some of the types of advisors we help navigate through the RIA registration process include:

Broker Dealer Breakaway

Broker Dealer Breakaway

We assist advisors affiliated with a wirehouse or independent broker dealer to establish a fee-only RIA firm or to start a hybrid firm by maintaining an affiliation with an independent broker dealer.

Leaving an RIA Firm

Leaving an RIA Firm

We assist advisors already serving as a fiduciary with an RIA firm who are seeking more independence by establishing their own RIA firm.

Financial Planners

Financial Planners

We assist advisors looking to provide financial planning services that may or may not also provide in-house or outsourced investment advisory services.

Investment Manager

Investment Manager

We assist firms or portfolio managers looking to provide investment management services to individuals or institutions such as other RIA firms.

Private Fund Manager

Private Fund Manager

We assist private equity, hedge fund, venture capital, or other alternative fund managers that need to register as an RIA or exempt reporting adviser (ERA).

Internet-Only Robo Advisor

Internet-Only Robo Advisor

We assist firms looking to provide automated online investment advice.

 

 

Our pricing varies based on state or federal registration:


Register a New State RIA 

$3,200

Register a New SEC RIA 

$4,000
Lower your registration cost when you pair your registration with our MyRIACompliance-Horz-418x75-Login.png monthly compliance service.

 

State Registration with*
Basic Professional
$2,800 $2,400
SEC Registration with*
Basic Professional
$3,500 $3,000
*Available with a 12 month MyRIACompliance service agreement. Learn more about MyRIAComplianceTM.
 
 What's included with your RIA registration package

 

Work directly with industry experts and former regulators to guide you through the registration process

 

Access to MyRIACompliance™ to track your registration progress 24/7

 

Free 3 months of unlimited Form ADV changes

 

Post-registration consultation with a compliance expert

 

Technology systems consultation with an expert

Included Documents
Registration Filings
 

 
In order to file a registered investment adviser application with the appropriate regulatory jurisdiction, one must first apply to the Financial Industry Regulatory Authority (FINRA) for an account (Entitlement) to their WebCRD/IARD on-line system (the web application for the registration of RIA firms and their representatives). While RIA firms are in no way regulated or supervised by FINRA, the states and the SEC use FINRA’s WebCRD/IARD system to process applications.

RIA in a Box will complete the appropriate Entitlement forms, submit, monitor, and establish the appropriate user permissions (Entitlements) to the account.
 
The Form ADV Part 1 is the on-line component of your Firm’s registration documentation. The Form ADV Part 1 primarily discloses information about the firm. Individual information is primarily disclosed in the Form U4 as detailed below. The Form ADV Part 1 is also the vehicle to upload your Firm’s Form ADV Part 2A (Firm Brochure) and Form ADV Part 2Bs (Brochure Supplements).

RIA in a Box will complete the on-line Form ADV Part 1 and accompanying Schedules: A (Ownership Information); B (Indirect Ownership Information); D (Detailed information for Form ADV Part 1 disclosures including: Private Fund, Branch Office, and Affiliation Information disclosures), Form ADV Part 1B (Additional required information for state-registered firms); and also upload the Form ADV Part 2A and the Form ADV Part 2Bs to the Form ADV Part 1.
 
The Form ADV Part 2A acts as your firm’s brochure. It is a narrative description of your firm's services, fees, disciplinary disclosures, and several other firm details. The Form ADV Part 2A must be provided to all current and prospective clients. All jurisdictions require that the Form ADV Part 2A be written in “plain English” and easily understood by your firm's clients.

After a thorough information gathering and interview process, RIA in a Box will create an Form ADV Part 2A built specifically to your firm’s business model while ensuring that its format, content, and disclosures meet your jurisdiction’s compliance requirements. Given that each RIA firm must provide the Form ADV Part 2A to all prospective and current clients, RIA in a Box will ensure the document is attractive, compliant, and accurate. In addition, RIA in a Box will brand your firm's Form ADV Part 2A Brochure with your firm’s logo.
 
The Form U4 is the on-line component of an individual’s registration to a RIA Firm. The Form U4 is filed with the appropriate jurisdiction(s) in which an individual Investment Adviser Representative will be working by utilizing FINRA’s WebCRD system. The form must be accurate and includes biographical, residential, employment, outside business activities and disciplinary history. The information from this form is used to populate the publically available information on the Investment Adviser Public Disclosure search website maintained by the SEC.
 
The Form ADV Part 2B is the paper brochure that Investment Adviser Representatives must (generally) provide to clients. This form contains employment, educational, conflict of interest, and disciplinary information. Generally, Executive Officers, any person providing investment advice to clients, and any representative advising clients must have a Form ADV Part 2B.
 
Many states require additional supplementary documents to be created which are unique to an individual state’s regulatory requirements. RIA in a Box will create these supplementary documents and file them with the state(s) as required.
 
RIA in a Box will handle all required filings and ongoing correspondence with the relevant jurisdiction(s). Our experienced team will also address all deficiency letters on your behalf in a timely and compliant manner to ensure the registration process move as quickly as possible.
Additional fees apply for the registration of additional individual representatives ($350 per) and registering the firm in additional jurisdictions ($700 per). State/SEC filing fees, FINRA filing fees, and exam fees are not included in the prices above and go directly to the agencies.
Tailored Documents

 
RIA in a Box will provide your firm with a standard Client Advisory Agreement including an investment policy statement ensuring your firm's agreement meets the appropriate regulatory authority standards.
 
The Firm’s Privacy Policy Statement must be provided to all clients at the beginning of the client relationship and annually thereafter. It must disclose how the firm stores, handles, and disseminates client information. The Privacy Policy Statement is built to your firm’s specifications and designed to meet regulatory authority compliance requirements.
 
The firm’s Policies and Procedures manual is the guiding document that your firm will use to maintain and enforce your firm’s internal policies ranging from the handling of client complaints to the training of new Investment Adviser Representatives. It also houses your firm’s Business Continuity Plan, Information Security and Cyber Security Policy, Privacy Policy, Anti-money Laundering Policy, Anti-insider Trading Policy, Advertising Policy including the use of social media, and other required policies. In addition, the tailored manual addresses books and records requirements and the use of solicitors, due diligence of third party vendors, proxy voting, gifts and entertainment, soft dollar arrangements, and more.

RIA in a Box will work with you to create a robust manual that is also a usable tool written in plain English. This is a very comprehensive, customized document that will be the foundation of conducting advisory business in a compliant manner.
 
RIA in a Box will help craft your firm’s Code of Ethics ensuring your firm meets the appropriate regulatory authority standards and is set up to conduct your business with the proper ethical standards.
 
RIA in a Box will help craft your firm’s Business Continuity Plan ensuring your firm meets the appropriate regulatory authority standards and is properly prepared should the unexpected business disruption occur.
 
RIA in a Box will tailor an information security policy unique to your firm to help address regulatory requirements and cyber security concerns. The policy will include an inventory of your firm's technology infrastructure, detailed security guidelines, user login and password management issues, the use of antivirus software, testing procedures, and many other areas of importance.
Adding Additional States:
While the description of your firm’s services and fees should remain constant across the jurisdictions (states) in which the firm is applying, different jurisdictions can have vastly different disclosure requirements. RIA in a Box will guide you through this process, creating and amending documents to ensure they are in compliance across all state jurisdictions.

A registered investment adviser must generally register in any state in which it has a physical location, a representative physically located, has more than 5 clients (or just 1 client in regards to Texas and Louisiana), or is actively soliciting in the state. 
Adding Additional Representatives:
All individual representatives of your firm need to be registered to the RIA if they are providing or generating advice. In general, all executive officers or people who have control of the RIA should also be registered to the firm. Registration includes filing a Form U4, ensuring the testing requirements or testing exemptions are satisfied, creating a Form ADV Part 2B brochure supplement and, in most cases, uploading that the Form ADV Part 2B to FINRA’s WebCRD system.