Download our Comprehensive Guide to RIA Compliance

In this guide, we provide an overview of what you need to know to make sure your RIA firm is fully compliant with all the relevant authorities.

Whether you're starting a new RIA firm, moving from wirehouse or independent broker-dealer to an independent RIA, or looking to brush up on the latest compliance requirements - this guide is for you. 

Below are the topics we cover in this all-encompassing guide on RIA compliance:

  1. Form filings and documents to register your RIA 
  2. Register your RIA with the proper authorities 
  3. Choose a Chief Compliance Officer
  4. Protect your RIA firm from cybersecurity threats 
  5. Get the right insurance for your RIA firm
  6. Understand the fiduciary duties of an RIA 
  7. Properly address disciplinary disclosures 

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Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities as this information should not be relied upon as currently accurate. This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements.