Establish and protect. Comprehensive RIA compliance starts now.
RIA in a Box is the leading regulatory compliance solution for investment advisers and wealth management. Meticulously aligning technology, consulting and education solutions to deliver an exacting solution to meet the unique needs of your registered investment adviser (RIA) firm.
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.
The RIA compliance solution for the RIA compliance professional
RIA in a Box is the premiere choice of compliance software for RIAs. Providing firms with the technology, consulting and education solutions to help compliance professionals accurately and effectively align with ever-changing regulations.
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
- Reporting wall and audit trail
- Wall crossing
- Deal and activity logging
- Restricted list management
- Calendar hierarchy
- Certifications and attestation
- Compliance communications
- Mobile accessibility
Solutions
- Personal and firm trading
- Cryptocurrency
- 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
- System configuration and customization
- Processing rules and alert setups
- Report creation
- Data feed setups
- Change management
- Consulting
Ready to get started?
Learn how RIA in a Box can partner with your RIA firm and strengthen your compliance program, today, tomorrow and beyond.