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.
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.
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.
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.
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.
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.
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.
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.
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:
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.
