Comprehensive compliance technology tailored to meet the requirements of your RIA firm’s compliance program
Manage your registered investment adviser (RIA) compliance program with ease. Join the more than 3,000 RIA firms, who rely on our best-in-class compliance program support.
"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."
- Oregon-based financial firm
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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.
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.
What is available with a compliance software package?
All compliance software packages include our standard level of service. You can choose to add enhanced compliance consulting support.
Standard service includes an initial compliance expert review call, Service Bureau Administration for IARD account, assistance with annual Form ADV renewal and unlimited Form ADV amendments.
Is there a fee for training and onboarding?
RIA in a Box charges a one-time fee equal to the monthly subscription fee, which includes a detailed MyRIACompliance software training session with our onboarding and training expert. This fee also includes additional staff training and assistance with connecting to our technology integration partners.
What is included in onboarding?
Our training expert will:
Provide chief compliance officer training on all available MyRIACompliance compliance tools.
Assist with customization of compliance settings and notifications.
Host a training session to assist with staff onboarding to MyRIACompliance.
What additional services are available?
We can assist our clients with these additional RIA regulatory filings:
Form 13F: For firms that exercise investment discretion with respect to $100 million or more in 13(f) securities.
Form PF: For private equity and hedge fund advisers managing at least $150 million in private fund assets under management.
Form 13H: For large traders registering with the SEC.
We also provide virtual mock audit services for RIA Firms:
Virtual Mock Audit: Conducted by a former regulator and includes a virtual review of files including Form ADVs, books and records, policies and procedures, and advertising materials.
What is included with the compliance consulting services?
All compliance software packages include our standard level of service. You can choose to add enhanced compliance consulting support.
Standard service
Included for state- and 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
Additional fee for state- and SEC-registered firms.
Unlimited Compliance Consulting.
Creation and Review of Policies and Procedures Manual.
Review of Filing Documents and Marketing Materials.
Firm and Individual Registrations Support.
Ready to get started?
Optimize your compliance program and unlock the power of your compliance data.