We’re here to provide you with the service and support required to meet the exacting demands of the regulatory industry. With 24/5 support and unparalleled in-house expertise, your program is our priority. That’s our promise to you.
What is included with a MyRIACompliance subscription?
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.
Who would need registration support?
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).
What is included in onboarding?
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.
Is there a fee for training and onboarding?
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.
What is available with a compliance software package?
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.
Who is this product designed for?
Our Compliance Management Program provides a solution for state and SEC-registered RIA firms.
At RIA in a Box, we aren’t just a provider, we’re a partner in your compliance program.
RIA firms relying on RIA in a Box compliance solutions
Client renewal rate
Firms registered
integrations and partnerships
Let our customers tell you
"RIA in a Box is the easiest compliance company to work with by far!"
RIA in a Box compliance customer
"I can finally breathe a sigh of relief! I feel an inch closer to getting a New York state license as registered investment adviser thanks to your effort."
Investment adviser representative
"Just wanted to thank all of the folks I have worked with over the past five-plus years at RIA in a Box. I have appreciated all of the assistance, wisdom and tools provided to help our RIA meet our compliance needs."