Establish and protect. Comprehensive RIA compliance starts now.
Manage complex regulatory tasks with the compliance solution designed by RIA compliance experts for RIA compliance professionals.
The trusted compliance and registration partner for RIA firms
RIAs and wealth management firms have relied on RIA in a Box’s expertise and guidance when starting their own firm.
Securities and Exchange Commission (SEC)- and state-registered RIA firm clients who work with RIA in a Box to remain compliant.
Making RIA compliance manageable
With a combination of technology, service and education, we offer a consultative approach to compliance program management, helping firms effectively meet regulatory requirements without creating resource drains.
Don't take our word for it
Your technology partner and beyond
Move beyond reactive compliance tactics to achieve strategic regulatory goals with a single, comprehensive compliance partner who is as dedicated to the details as you are. RIA in a Box offers a market-leading suite of technology solutions, education and consulting services to give you the tools, resources and expertise to take on today's toughest regulatory challenges and meet your firm's unique compliance needs.
Compliance program management
- Compliance calendar
- Compliance log
- Registration tracking
- Audit prep
- Archiving and review
- Compliance communications
- Mobile accessibility
Employee compliance solutions
- Personal and firm trading
- Private investment
- Gifts and entertainment
- Conflicts of interest
- Outside business affiliation
- Managing material non-public information
- Marketing rule
- Insider trading
- Policies and procedures management
- Filings (Form ADV, PF, 13F, CRS, Blue Sky, etc.)
- Annual reviews
- Risk assessments
Comprehensive capabilities
- Cybersecurity
- Vendor due diligence
- Virtual desktop
- State RIA registration
- SEC RIA registration
- RolloverAnalyzer
- IAR Continuing Education
Managed services
- Consulting
- Form filings
- Virtual mock audit
- Firm and individual registration support
- Creation and review of policies and procedures manual
- System configuration and customization
Ready to get started?
RIA in a Box, a COMPLY company, delivers the most exacting and complete compliance solution on the market for registered investment advisers. As you navigate the regulatory compliance landscape – we’ll be right there with you.