Serving Investment Advisers Since 2005
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 4,000 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.
Who We Are
Company Retreat 2018 #RIABTogether
RIA in a Box LLC was founded
Opened our 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.
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
- Launched Employee Trade Monitoring Platform ("ETM")
- Expanded to 45 employees
- Launched our RIA Cybersecurity Platform
- Acquired Gordian Compliance Solutions
- Opened a new office in Cleveland, OH
- Launched the MyRIACompliance® Mobile App and Private Fund Compliance Platform
- Officially helped over 4,000 advisers start an RIA firm
- Officially provide ongoing compliance assistance to over 2,000 SEC and state-registered RIA firms
- Acquired Itegria, LLC
- Launched our RIA Communications Archiving and Review Platform
- Expanded to 100+ employees
Think you would be a good fit?
“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.”
“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.”
"I cannot imagine myself without your service. The guidance is superb!"
"I really appreciated your knowledge, patience and expertise! I would highly recommend your services to any future RIA applicant!”
"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!"
"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!"
"I truly value each month’s compliance call. I’d be lost without your guidance. Keep up the good work…"
"I don't know how I would have done this without you and your team. You guys are top-notch."
"Your service and anticipation of your clients’ needs is terrific."
"Your company made this approval almost effortless for me."
"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."
"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."
"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."