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Learn More Now

Select Your Software Package

State Registered Firm1
Standard Advanced Premium
$275/mo $500/mo $600/mo
SEC Registered Firm1
Standard Advanced Premium
$550/mo $850/mo $1,000/mo

Compliance Calendar, Webinars, Checklists, Status Monitor

Online Compliance Log

Employee Supervision

Registration Tracker

All Standard
Features+

Compliance Document Template Library

Audit Prep Tool

 

All Advanced
Features+

Risk Assessment Tool

Annual Review Tool

 

Select Your Service Service Package

Standard Service
Included for State-Registered Firms
Included for SEC-Registered Firms
  • Initial Compliance Expert Review Call
  • Service Bureau Administrator for IARD Account
  • Assistance with Annual Form ADV Renewal
  • Unlimited Form ADV Amendments
Enhanced Service
$375/mo for State-Registered Firms
$525/mo for SEC-Registered Firms
  • Unlimited and Proactive Compliance Consulting
  • Creation and Review of Policies and Procedures Manual
  • Review of Filing Documents and Marketing Materials
  • Firm and Individual Registration Support2
 
1. All subscriptions require an annual contract billed on a monthly basis and a one-time set-up fee equal to the monthly subscription fee. Each RIA firm subscription includes one MyRIACompliance® user license. For firms with more than one employee, the firm is required to purchase a user license for each additional firm employee to help the firm meet its compliance supervision requirements. Each additional user license for state-registered firms start at $15 per user and each additional user license for SEC-registered firms start $20 per user.
 
2. Includes assistance to help prepare and file paperwork required for up to three (3) new individual investment adviser representatives to be registered per 12 months and to help prepare and file the firm's application for registration or notice filing in up to three (3) additional jurisdictions per 12 months.

Do you first need to establish an RIA firm? View our RIA registration services here


Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities as this information should not be relied upon as currently accurate. This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements.