RIA Compliance and Practice Management Blog

RIA in a Box Expands its Compliance Offering with Addition of Gordian Compliance Solutions

Posted by RIA in a Box

Oct 15, 2019 9:35:37 AM


Gordian Compliance RIA in a Box

We are excited to announce our recent acquisition of Gordian Compliance Solutions ("Gordian"), a leader in wealth management and private fund compliance consulting. As stated in the official announcement, as one joint company, we can deliver RIA in a Box's industry-leading regulatory compliance software and now expanded consulting expertise to a greater audience of registered investment advisers ("RIAs") and private funds.

Why did Gordian and RIA in a Box decide to join together?

Combining Gordian's consulting expertise with RIA in a Box's existing team of expert compliance consultants and client service professionals allows our joint company to deliver a superior service to clients. Offering this within the industry-leading MyRIACompliance® compliance software platform offers the ideal blend of technology and individualized compliance consulting. Additionally, this merger allows the joint company to serve not only RIA firms, but also provide tailored support to broker dealers and private funds, such as hedge funds and private equity firms. 

How will clients of Gordian be impacted?

Clients of Gordian will continue to be supported by their Gordian consulting team. Gordian clients will also now gain access to the MyRIACompliance® software platform to enhance the consulting relationship they already have with Gordian.

How will clients of RIA in a Box be impacted?

RIA in a Box clients will continue to be supported by their existing team at RIA in a Box. Clients will now also have an additional option for tailored compliance consulting support available to them via the new “Gordian Comprehensive” program. The Gordian Comprehensive level of service can be tailored to meet the individual needs of the firm including regular on-site visits, mock examinations, help conducting the annual risk assessment, and assistance performing the annual compliance program review.

Will the Gordian team be joining RIA in a Box?

Yes, we are thrilled to welcome the entire Gordian team including Gordian president, Niel Armstrong, and his team located throughout the country. With decades of experience, Gordian's team of compliance consultants will continue to develop, deliver, and implement specialized compliance programs.

Will you maintain Gordian's office in San Francisco?

Yes, we plan to not only maintain, but hopefully grow our presence in San Francisco to serve as a new west coast hub for the company. Together, we serve over 250 firms headquartered in California and we’ll continue to support a growing number of the industry's leading independent financial services firms and private funds in the west coast region.

We consider this an exciting, landmark day for our firm and our clients! If you have any questions beyond what's been covered above or to discuss our offerings, please don't hesitate to contact us!

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Topics: RIA Compliance

RIA in a Box LLC is not a law firm, investment advisory firm, or 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 or legal counsel if applicable.

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