CONTACT

Serving Investment Advisers Since 2005

Company Page Ipads-01-1

Our Company

RIA in a Box® provides the leading compliance solution for investment advisers. We put the client first by delivering innovative software and expert advice. Since 2005 we take pride in partnering with our clients to establish and support the highest quality registered investment adviser (RIA) firms in the country.

We've helped over 3,500 investment advisers start an RIA firm and also provide ongoing monthly compliance assistance to over 1,800 SEC and state-registered RIA firms across the country. Our investment adviser compliance programs pair our MyRIACompliance® online software platform with compliance consulting expertise provided by our team of former regulators.

Beyond RIA registration and compliance services, we often assist investment advisers with broader business decisions such as custodian and technology selection and many other considerations related to being an independent investment adviser. 

Contact us today to see how we can assist with your RIA registration and compliance.

 

 

Who We Are

 

Company Retreat 2018 #RIABTogether

riab_2019_1-1

Our Story

fb-logo

2005

•  RIA in a Box LLC was founded.

 

 

New York Icon

2010

  • Opened our new corporate headquarters in New York, NY

 

Untitled design (4)

2011

•  Launched our new ongoing monthly support service offerings to help RIAs better stay on top of their monthly compliance tasks.

•  Hired our first former regulator to expand our expertise

Untitled design (14)

2013

  • Launched the first edition of MyRIACompliance®

  • Opened our Cleveland, OH office to accommodate our growing staff

Untitled design (6)

2014

•  We've officially registered over 2,000 RIA firms

 

 

Untitled design (17)

2015

  • Launched our Client Success Program to better ensure our clients receive the most from our service offerings

  • Expanded to 25 employees

Untitled design (19)

2016

•  Released our updated MyRIACompliance® software with new features including a multi-user platform. 

•  Officially assisting over 1,300 RIA firms with compliance.

Untitled design (9)

2017

  • Officially assisting over 1,600 firms with compliance

 

Untitled design (20)

2018

•  Expanded to 45 employees

•  Launched Employee Trade Monitoring Platform

 

Untitled design (21)

2019

  • Opened a new office in Cleveland, OH

  • Launched our RIA Cybersecurity Platform

  • Acquired Gordian Compliance Solutions

What do people have to say

  • “If you value knowledge, experience, economy, and almost unheard of levels of responsiveness, you will want to have RIA In A Box guide you through the RIA establishment process. It simply doesn’t get any better.”

    Larry, RIA in Arizona
  • “By handling a large volume of application files, I frequently dealt with companies that filed incomplete applications and were frustratingly slow to respond to my requests. Not RIA IN A BOX. Their applications were complete and their fast response times made my job a lot easier.”

    -C. D., Former State Financial Examiner
  • "I cannot imagine myself without your service. The guidance is superb!"

    -Alex, RIA in New York
  • "I really appreciated your knowledge, patience and expertise! I would highly recommend your services to any future RIA applicant!”"

    -Jack, RIA in Ohio
  • "The service that RIA in a Box provides along with the knowledge of their staff is second to none. I couldn't function without them!"

    -Austin, RIA in Texas
  • "RIA in a Box has been very helpful in training and registration needs, and I am thankful for all they have done to help me in my business!"

    -Ronald, RIA in Oklahoma
  • "I truly value each month’s compliance call. I’d be lost without your guidance. Keep up the good work…"

    -Jason, RIA in Ohio
  • "I don't know how I would have done this without you and your team. You guys are top-notch."

    -Adam, RIA in Colorado
  • "Your service and anticipation of your clients’ needs is terrific."

    -Richard, RIA in Florida
  • "Your company made this approval almost effortless for me."

    -David, RIA in California
  • "Best money I've invested in my business so far! Not only were you all pleasant and responsive but you also saved me a ton of time and headache by managing and interfacing with the regulatory machine."

    -Lisa, RIA in California
  • "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."

    -John, RIA in Colorado
  • "Thank you very much for all of your time and that of the staff to create the opportunity for me to become a Registered Investment Adviser. I was very impressed with the professionalism that everyone in your organization displayed."

    -Paul, RIA in Virginia