Customer Service

• Access MyRIACompliance to track your registration progress 24/7.
• Free three months of unlimited Form ADV changes.
• Technology systems consultation with an expert.
• Post-registration consultation with a compliance expert included with ongoing compliance package.

• Broker-dealer breakaways – Those who were previously affiliated with a wirehouse or independent broker-dealer and are breakaway to establish a fee-only RIA firm or to start a hybrid firm by maintaining an affiliation with an independent broker-dealer.
• Financial planners – Advisers looking to provide financial planning services and who may or may not also provide in-house or outsourced investment advisory services. 
• Independents advisers – Advisers already serving as a fiduciary with an RIA firm who are seeking more independence by establishing their own RIA firm.
• Internet only robo advisers - Firms looking to provide automated online investment advice. 
• Investment managers – Firm or portfolio managers looking to provide investment management services to individuals or institutions such as other RIA firms.
• Private fund managers – Private equity, hedge fund, venture capital or other alternative fund managers who need to register as an RIA or exempt reporting adviser (ERA).

Our training expert will:

• Provide chief compliance officer training on all available MyRIACompliance compliance tools.
• Assist with customization of compliance settings and notifications.
• Host a training session to assist with staff onboarding to MyRIACompliance.

RIA in a Box charges a one-time fee equal to the monthly subscription fee, which includes a detailed MyRIACompliance software training session with our onboarding and training expert. This fee also includes additional staff training and assistance with connecting to our technology integration partners.

All compliance software packages include our standard level of service. You can choose to add enhanced compliance consulting support.

Standard service includes an initial compliance expert review call, Service Bureau Administration for IARD account, assistance with annual Form ADV renewal and unlimited Form ADV amendments. 

Our Compliance Management Program provides a solution for state and SEC-registered RIA firms.