Frequently Asked Questions

What services does RIA in a Box® provide?

RIA in a Box® provides registration, compliance, and operations support services nationwide to firms of all sizes. We enable fellow entrepreneurs to establish their own RIA firms and remain in constant regulatory compliance by pairing our industry leading compliance software with our team of former regulators as part of our MyRIACompliance ® monthly RIA compliance solution

Why should my firm work with RIA in a Box®?

RIA in a Box® is exclusively focused on serving the independent registered investment adviser (RIA) industry. Given our focus, we provide a unique blend of specialized regulatory and compliance expertise with customized and robust software to give your investment advisory firm the support it needs. Our team of former regulators and industry experts has compliance expertise which spans both SEC and state-level investment adviser regulations. In addition to access to our team of experts, all of our registration and compliance clients receive access to our industry leading compliance software solution, MyRIACompliance®. We believe that the best and most effective RIA compliance solution is one which pairs top-notch human expertise with intuitive online software that makes an RIA firm's compliance responsibilities more transparent and manageable.

Beyond RIA registration and compliance services, we often assist investment advisers with broader business decisions such as custodian and technology selection, whether a hybrid setup fits your business model, or many other considerations related to being an independent investment adviser. 

How long has RIA in a Box® been in existence?
RIA in a Box® was founded in 2005 and we have been exclusively focused on serving registered investment adviser (RIA) firms since the beginning.
How many advisory firms does RIA in a Box® work with?
We've helped over 3,500 investment advisers start an RIA firm. We also provide ongoing monthly compliance assistance to more than 1,800 SEC and state-registered RIA firms across the country. We have made a dedicated effort to keep improving our service and value as the company has grown and we would love the chance to serve your firm next.
What size firms does RIA in a Box® work with?

We work with RIA firms just getting started to firms with billions in assets under management (AUM) along with every size firm in between. We offer different levels of compliance support that can be customized to each firm’s unique needs and budget. Our tailored services and modular software platform have value to solo-practitioner operations to firms with dozens or hundreds of investment adviser representatives scattered across the country.

How customized are the registration and compliance service packages?

Every new RIA firm that we help register is built customized documents which are unique to that firm’s business model and applicable federal or state regulatory requirements.The Form ADV is not filed until firms have consulted with our regulatory experts and have a filing prepared which reflects their individualized business model and strategy, all while staying within the regulatory guidelines.

In addition, our monthly compliance service packages are tailored to each firm’s requirements and include customized compliance checklists and an interactive online calendar. Our registration and compliance clients (Gold level and above) have direct access to a compliance consultant which is assigned to your firm.

How is your firm able to keep prices affordable?

Our in-house technology and engineering team is constantly improving the firm’s technology and proprietary software systems in order to maximize the internal efficiency of our operations. We are able to pass along these savings to our clients, yet still offer a very tailored and high touch service.

Why is the firm called RIA in a Box®?

While the name elicits a few chuckles, please don’t be misled by the name. We offer highly tailored registration, compliance, and technology support to RIA firms of all sizes located across the country. We want to provide options to current and prospective RIA firms that allow them to meet the ever complex needs of each individual firm.

Who works at RIA in a Box®?

We are staffed by leading experts in the investment adviser registration and compliance fields. Our team consists of former securities attorneys, regulators, advisors, recovering MBAs, and top technologists.

Where are the RIA in a Box® offices located?
RIA in a Box is headquartered in New York City in Manhattan's Financial District with a second office located in Orange Village, Ohio just outside Cleveland. We also have former regulators working around the country in regions where they have direct regulatory experience.
Do I need a compliance consultant or can I do it myself?
We get this question a lot and understand where it comes from. Certainly we’re biased, and while it is possible to attempt to manage your compliance program or register your RIA firm on your own, we offer you the years of expertise and software tools to more efficiently and proactively manage your firm's registration and compliance requirements in a cost efficient manner. Beginning with the decision to start your own RIA firm and spanning the ongoing requirements, Form ADV updates, registration renewals, preparing for regulatory audits, and a host of other activities, time allocated to compliance and operations limits your ability to serve clients and grow your business.

Do you serve as the Chief Compliance Officer (CCO) of an RIA firm?

No, we do not. As both a matter of principle and regulatory guidance, it’s essential that the Chief Compliance Officer (CCO) role is fulfilled by a qualified individual at the firm. Our services are designed to assist the CCO of an RIA firm by equipping them with the proper knowledge, technology, and efficiencies in order to better perform their job.

What problems does your Cybersecurity Platform solve?

The MyRIACompliance® cybersecurity platform empowers an RIA firm to design and implement the firm's cybersecurity program. The platform is designed exclusively for RIA firms who face unique cybersecurity risks and regulatory requirements.

Our Cybersecurity Platform has five key features:

  1. Security Awareness Training and Testing
  2. Email Phishing Attack Simulation
  3. Automated Vendor Due Diligence
  4. Technology Inventory and Risk Assessment
  5. Customized Information Security Policy
How does your Automated Employee Trade Monitoring Platform work?

Our automated employee trade monitoring platform has an electronic data feed to over 15,000 financial institutions and automates the submission and tracking of personal securities holdings and transactions for RIA firms of all sizes. The Chief Compliance Officer gains access to detailed reporting tools and the ability to manage a restricted securities list all in a single reporting system.

What is the relationship between RIA in a Box and Gordian Compliance Solutions?