News Archives

RIA News Articles

October 27, 2014
How to Start Your Own RIA Firm

September 3, 2014
SEC User Fees Would Have Little Impact on Most Firms: Study

September 3, 2014
SEC exams could cost RIAs thousands- or even millions

May 21, 2014
Advisers worry about potential costs of third-party exams

January 3, 2014
FINRA keeping pressure on complex products in 2014

November 14, 2013
This state’s advisers fumble custody requirements

October 7, 2013
State regulators question RIAs’ use of mandatory arbitration

March 5, 2013
Falling for Scam in Effort to Help Client

February 26, 2013
How Advisors Get Paid Now

February 25, 2013
RIA in a Box Reveals Insights on RIA Business Activity

January 18, 2013
Regulators to crack down on phony AUM

August 15, 2012
RIAs Get A Helping Hand With Compliance Docs

August 9, 2012
RIA in a Box Announces New Registration Maintenance Service for Compliant Document Management

June 24, 2012
Delays mar switch to state registration

February 14, 2012
Many Advisors Face March 30 Deadline

February 7, 2012
Advisers Must Prepare for Transition from SEC to State Registration

February 5, 2012
SEC targets compliance

February 1, 2012
Targeting ‘yield chasing,’ Finra issues watch list

January 26, 2012
As Population Ages, Disclosure Forms Become Key

January 25, 2012
RIA In A Box Provides Free February 7 Webinar on SEC to State Transition Challenges and Requirements

September 19, 2011
SRO battle intensifies; will independents have a separate regulator?

August 31, 2011
New RIA-Compliant Bookkeeping Service

July 19, 2011
1 of 5 New RIAs Get Registered by This Guy’s Firm — with Zachary Gronich


June 27, 2011
Threshold For SEC Oversight Raised To $110 Million

June 26, 2011
‘Switch’ deadlines still could be in flux

May 17, 2011
RIA In A Box Launches Last-Minute Audit Prep Service so RIAs Can Be Ready When Auditors Arrive

March 29, 2011
SEC Makes Complying with Form ADV Easier

March 29, 2011
RIA Consulting Firm Finds Untapped Growth in Compliance Field

March 25, 2011
Third of Advisers May Blow ADV Deadline

March 17, 2011
Many RIAs Expected to Miss ADV Deadline

March 7, 2011
RIA In A Box Provides Inexpensive, Simple Templates to Assist RIA Do-It-Yourselfers in Filing the New ADV 2A and 2B Forms

January 26, 2011
Advisors Drag Heels on New Disclosure Rule

October 18, 2010
RIA In A Box Partners With Lloyds of London and North American Professional Liability Insurance Agency to Provide the First-Ever Group E&O Insurance Program for RIAs

October 4, 2010
South Dakota’s Top State Securities Regulator Steve Thomas Joins RIA In A Box and Lexington Compliance

August 5, 2010
SEC’s Plain-English Rule Will Cost Advisors

August 2, 2010
SEC Rules for New RIA ADV Part 2 Require Creation of Plain English Brochure to Disclose Background and Business Practices

June 8, 2010
RIA Consultant Opts for Web-Friendly Brand

May 26, 2010
RIA Registrations Continue to Climb, Fueling Growth at RIA In A Box

November 5, 2009
The Quick and Easy Route to Getting Your RIA License Suspended

October 1, 2009
RIAs Want You

September 2, 2009
Hovig Melkonian Joins RIA In A Box as Compliance Director and Auditor

August 23, 2009
Investment Advisers Don’t Need An Uber-Regulator (written by owner of RIA IN A BOX)

August 11, 2009
RIA In A Box to Offer Mock Audit Services to RIAs

August 11, 2009
Consulting Firm Offers Mock Audits to RIAs

June 26, 2009
Investment adviser consulting firm cashing in on expansion

June 17, 2009
RIA In A Box Finds Its Registered Investment Advisor Consulting Services in High Demand, Even in Today’s Tough Economy