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 over4,000 investment advisers start an RIA firm and also provide ongoing monthly compliance assistance to over 2,000 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.
• RIA in a Box LLC was founded.
Opened our new corporate headquarters in New York, NY
• 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
Launched the first edition of MyRIACompliance®
Opened our Cleveland, OH office to accommodate our growing staff
• We've officially registered over 2,000 RIA firms
Launched our Client Success Program to better ensure our clients receive the most from our service offerings
Expanded to 25 employees
• Released our updated MyRIACompliance® software with new features including a multi-user platform.
• Officially assisting over 1,300 RIA firms with compliance.
Officially assisting over 1,600 firms with compliance
• Expanded to 45 employees
• Launched Employee Trade Monitoring Platform
Opened a new office in Cleveland, OH
Launched our RIA Cybersecurity Platform
Acquired Gordian Compliance Solutions