RIA Compliance and Practice Management Blog

RIA in a Box Joins Forces with ComplySci

Posted by RIA in a Box

Dec 9, 2021 9:01:28 AM

 

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We are excited to announce we’ve recently joined forces with ComplySci, the leading provider of regulatory technology and compliance solutions for the financial services sector. As stated in the official announcement, as one joint company, we can deliver superior software, service, data, and consulting to an even broader audience of financial services organizations.

Who is ComplySci?

At ComplySci, we believe advanced compliance technology empowers compliance professionals to transform their business. More than 7,000 customers, including some of the world’s largest financial institutions, rely on ComplySci’s scalable and sophisticated platform to stay ahead of risk and unlock the strategic potential of their compliance data. Our family of firms includes ComplySci, NRS, a ComplySci Company, and illumis, a ComplySci company, and RIA in a Box. Together, we offer a full suite of governance, risk, and compliance (GRC) consulting, technology, managed services, analytics, and outsourcing solutions for the financial services industry. Our regulatory technology solutions help compliance organizations identify, monitor, manage, and report on risk and conflicts of interest, including personal trading, gifts and entertainment, political contributions, outside business affiliations, and other code of ethics violations. Learn more at complysci.com. 

Why did ComplySci and RIA in a Box decide to join forces?

The combination accelerates innovation across ComplySci and RIA in a Box and will deliver superior software, service, data, and consulting to an even broader audience of financial services organizations, including hedge funds, private equity firms, broker dealers, registered investment advisers (RIAs), and other wealth management firms. ComplySci and RIA in a Box bring together the industry’s most experienced professionals to provide a full suite of governance, risk, and compliance (GRC) consulting, technology, managed services, analytics, and outsourcing solutions to the financial services industry.

How will clients of RIA in a Box be impacted?

It will be business-as-usual with respect to day-to-day operations and support of our clients. RIA in a Box customers will continue to utilize RIA in a Box’s industry-leading MyRIAComplianceTM platform and be supported by their existing RIA in a Box team members. As a result of the partnership, we expect to add more resources to MyRIACompliance and our overall service. We are excited to bring even more leading value to our clients.

Will the RIA in a Box team be joining the ComplySci team?

RIA in a Box will continue to operate as its own brand under the leadership of Will Bressman, who has been the firm’s CEO for the past 10 years. Mr. Bressman will serve as President of the combined organizations and work directly with ComplySci CEO Amy Kadomatsu.

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 Operations, RIA Compliance, RIA Technology

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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