News & Articles

Be sure to also check out our blog for the latest RIA compliance news and alerts.


January 26, 2016
Tech Tools to Streamline Coompliance

Common RIA compliance social media and digital media advertising issues


December 2, 2015
RIA in a Box Releases 2015 Registered Investment Adviser (RIA) Technology Landscape Infographic

Frequency of RIA audits


December 1, 2015
10 cybersecurity steps for RIAs

FINRA RIA regulation


November 11, 2015
How many RIAs are there? No, seriously, how many?



November 4, 2015
New software options helping plan advisors grow

FINRA RIA regulation


October 5, 2015
For Plan Advisors, Cyber Security is the Greatest Risk

FINRA RIA regulation


September 30, 2015
Join ITEGRIA and RIA in a Box Tomorrow for an RIA Cybersecurity Compliance Webinar

Frequency of RIA audits


September 29, 2015
A palpable camaraderie accrues in Boston as FPA provides support group for lonely CFPs



September 18, 2015
Eric Clarke pushes RIA app coders to new limits in Utah suburb



September 17, 2015
Stubborn Software Vendors Buck Integration Trend, For Now

SEC investment adviser exams


September 16, 2015
Survey: RIAs Favor Active, Passive Strategies over Hybrids

Adding RIA to insurance practice


September 15, 2015
Advisors Beware: Social Media Fraught With Danger

Adding RIA to insurance practice


September 11, 2015
Schwab Survey: RIA Mergers and Acquisitions up by 28 Percent

Adding RIA to insurance practice


September 8, 2015
Costs of Starting an RIA

RIA firms that invest in technology grow faster


June 2, 2015
Congressman wants FINRA to regulate RIAs

FINRA RIA regulation


May 14, 2015
Advisers Getting It Wrong on Advertising Rules

Common RIA compliance social media and digital media advertising issues


April 15, 2015
Invest in Technology

RIA firms that invest in technology grow faster


March 31, 2015
AUM Alternatives

Starting an RIA with AUM fee based model


February 13, 2015
4 Cool Tech Tools Launched at T3

new RIA compliance software


February 9, 2015
Top 15 States With Most RIAs

SEC RIA compliance


February 6, 2015
How the Cloud Helps Smaller (RIA) Practices Soar

Adding RIA to insurance practice


January 27, 2015
Is Your RIA Firm Registered Properly? RIA in a Box Releases New Free Tool

Check your firm's RIA registration


January 12, 2015
More RIAs May Leave SEC's Oversight

RIA state registration regulation


January 8, 2015
A better way to regulate RIAs?

RIA Examinations


January 8, 2015
Alternatives to Increase RIA Exam Frequency: RIA in a Box Releases Exploratory Study

Frequency of RIA audits


January 7, 2015
Study calls for majority of RIAs to move under state regulation

RIAs regulated at state level


October 27, 2014
How to Start Your Own RIA Firm

How to Start Your Own RIA Firm


September 3, 2014
SEC User Fees Would Have Little Impact on Most Firms: Study

SEC RIA compliance


September 3, 2014
SEC exams could cost RIAs thousands- or even millions

SEC investment adviser exams


May 21, 2014
Advisers worry about potential costs of third-party exams

Cost of 3rd party RIA audits


January 3, 2014
FINRA keeping pressure on complex products in 2014

compliance of complex financial products


November 14, 2013
This state’s advisers fumble custody requirements

RIA custody rules and requirements


October 7, 2013
State regulators question RIAs’ use of mandatory arbitration

Investment adviser regulations


March 5, 2013
Falling for Scam in Effort to Help Client

investment adviser compliance

February 26, 2013
How Advisors Get Paid Now

Types of RIA compensation on Form ADV

February 25, 2013
RIA in a Box Reveals Insights on RIA Business Activity

Annual renewal of RIA registration

January 18, 2013
Regulators to crack down on phony AUM

calculating regulatory assets under management

August 15, 2012
RIAs Get A Helping Hand With Compliance Docs

RIA compliance services

August 9, 2012
RIA in a Box Announces New Registration Maintenance Service for Compliant Document Management

investment adviser Form ADV updates

June 24, 2012
Delays mar switch to state registration

state registration of RIA firms

February 14, 2012
Many Advisors Face March 30 Deadline

investment adviser SEC registration

February 7, 2012
Advisers Must Prepare for Transition from SEC to State Registration

Switching RIA from SEC to state registration

February 5, 2012
SEC targets compliance

SEC investment adviser compliance focus

February 1, 2012
Targeting ‘yield chasing,’ Finra issues watch list


January 26, 2012
As Population Ages, Disclosure Forms Become Key


January 25, 2012
RIA In A Box Provides Free February 7 Webinar on SEC to State Transition Challenges and Requirements

help with investment adviser firm registration

September 19, 2011
SRO battle intensifies; will independents have a separate regulator?


August 31, 2011
New RIA-Compliant Bookkeeping Service


July 19, 2011
1 of 5 New RIAs Get Registered by This Guy’s Firm — with Zachary Gronich


June 27, 2011
Threshold For SEC Oversight Raised To $110 Million

RIA state registration

June 26, 2011
‘Switch’ deadlines still could be in flux

RIA SEC registration

May 17, 2011
RIA In A Box Launches Last-Minute Audit Prep Service so RIAs Can Be Ready When Auditors Arrive

RIA audit prep

March 29, 2011
SEC Makes Complying with Form ADV Easier


March 29, 2011
RIA Consulting Firm Finds Untapped Growth in Compliance Field


March 25, 2011
Third of Advisers May Blow ADV Deadline


March 17, 2011
Many RIAs Expected to Miss ADV Deadline


March 7, 2011
RIA In A Box Provides Inexpensive, Simple Templates to Assist RIA Do-It-Yourselfers in Filing the New ADV 2A and 2B Forms


January 26, 2011
Advisors Drag Heels on New Disclosure Rule


October 18, 2010
RIA In A Box Partners With Lloyds of London and North American Professional Liability Insurance Agency to Provide the First-Ever Group E&O Insurance Program for RIAs


October 4, 2010
South Dakota’s Top State Securities Regulator Steve Thomas Joins RIA In A Box and Lexington Compliance


August 5, 2010
SEC’s Plain-English Rule Will Cost Advisors


August 2, 2010
SEC Rules for New RIA ADV Part 2 Require Creation of Plain English Brochure to Disclose Background and Business Practices


June 8, 2010
RIA Consultant Opts for Web-Friendly Brand


May 26, 2010
RIA Registrations Continue to Climb, Fueling Growth at RIA In A Box


November 5, 2009
The Quick and Easy Route to Getting Your RIA License Suspended


October 1, 2009
RIAs Want You


September 2, 2009
Hovig Melkonian Joins RIA In A Box as Compliance Director and Auditor


August 23, 2009
Investment Advisers Don’t Need An Uber-Regulator (written by owner of RIA IN A BOX)


August 11, 2009
RIA In A Box to Offer Mock Audit Services to RIAs

August 11, 2009
Consulting Firm Offers Mock Audits to RIAs


June 26, 2009
Investment adviser consulting firm cashing in on expansion


June 17, 2009
RIA In A Box Finds Its Registered Investment Advisor Consulting Services in High Demand, Even in Today’s Tough Economy