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Serving Investment Advisers Since 2005

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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 1,700 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. In addition, our MyRIAOperationsTM solution supports a number of investment adviser firms with an integrated technology platform that helps firms automate and more efficiently manage client communication, billing, and reporting. Ultimately, we will do our absolute best to go above and beyond to help you setup and manage your investment advisory firm however you desire.

Contact us today to see how we can assist with your RIA registration, compliance, or operations needs.

 
RIA registration services
RIA compliance services and software
RIA operations support and technology platform

Establish

MyRIARegistration

Protect

MyRIACompliance

Optimize

MyRIAOperations
 

Who We Are
 

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Our Story

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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
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Main

Our Offices

New York Office
125 Maiden Lane, Suite 15C
New York, NY 10038
Ohio Office
200 Park Ave, Suite 305
Orange Village, OH 44122
San Francisco Office
235 Montgomery St., #1120
San Francisco, CA 94104

Contact Us

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Download our free white paper on Starting Your Own RIA Firm

Download our free RIA Regulatory Exam Checklist