RIA compliance program management technology
Establish and scale your compliance program to meet the evolving demands of the compliance landscape. Join the more than 3,000 RIA firms, who rely on our best-in-class compliance program support.
Our comprehensive compliance program management technology provides critical functionality for day-to-day and strategic compliance activities, including:
Employee supervision
Registration tracking
Compliance activity logging
Risk assessment
Marketing review
Don't take our word for it
"Just wanted to thank all of the folks I have worked with over the past five-plus years at RIA in a Box. I have appreciated all of the assistance, wisdom and tools provided to help our RIA meet our compliance needs."
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Compliance technology designed specifically for RIAs
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Integrations
Our powerful integration capabilities facilitate data connections between MyRIACompliance and other industry-leading solutions, enhancing communications, increasing efficiency and providing a seamless customer experience.
Industry partners
With best-in-class industry partners, we are streamlining processes and increasing accuracy for registered investment advisers and their firms.
Superior user experience
Built on a mobile-first architecture, our platform provides a frictionless experience for you and your employees, making compliance easy and painless.
Platform innovation
Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients.
Award-winning customer service
Your experience is our top priority. With 24/5 customer service and extensive industry knowledge, you can count on a smooth and ideal customer experience.
Backed by regulatory expertise
Our technology and resources are backed by decades of regulatory expertise, with the support of compliance consultants who have served as CCOs, lawyers and regulators themselves.
Complementary solutions
Looking for more? RIA in a Box and our fellow COMPLY portfolio of firms are here to help you build a tailored compliance solution tailor fitted for where your firm is today and where you plan to be tomorrow.
Supporting documents
Six tips for staying compliant with the SEC's new Marketing Rule
Five ways compliance consulting can help your RIA firm
Who is responsible for compliance within your RIA?
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Frequently Asked Questions
What is available with a compliance software package?
Is there a fee for training and onboarding?
What is included in onboarding?
What additional services are available?
What is included with the compliance consulting services?
Ready to get started?
Meet regulatory requirements without sacrificing business priorities. How? Compliance program management with RIA in a Box.