An Industry Leading Compliance Solution for RIA Firms

Registered investment advisers of all sizes face unique regulatory challenges and a long to-do list. RIA in a Box helps chief compliance officers (CCOs) navigate, manage, and simplify the most dauting of compliance tasks with our industry leading MyRIACompliance® platform. Today our MyRIACompliance platform and team of industry professionals provide support to over 2,000 RIA firms.  

All compliance software packages include:

  • Compliance Calendar, Webinars, Checklists, Status Monitor
  • Compliance Log which can be sorted and exported in the event of a regulatory exam.
  • Employee Supervision
  • Registration Tracker
  • Access to the MyRIACompliance mobile so you can monitor your compliance program from anywhere. 
  • Our standard service package which includes the annual Form ADV amendment and unlimited Form ADV amendments throughout the year.

Download our checklist to learn more about how to create a culture of compliance at your RIA firm.  

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Learn how to establish a culture of compliance at your RIA firm.

“We count on your RIA services to develop a culture of compliance at our firm. Thank you for your help and your software to guide us through the renewal period.”
RIA in Colorado

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