Your partner in RIA compliance

Navigate SEC or state regulatory requirements with ease. Join the 4,000 investment advisers who have relied on RIA in a Box to start their RIA firm, and the over 3,000 SEC- and state-registered RIA firms who rely on our RIA compliance solutions to maintain their regulatory compliance program.

Who we serve

Broker-dealer breakaway

We assist advisers affiliated with a wirehouse or independent broker-dealer to establish a fee-only RIA firm or to start a hybrid firm by maintaining an affiliation with an independent broker-dealer.

Leaving an RIA firm

We assist advisers already serving as a fiduciary with an RIA firm who are seeking more independence by establishing their own RIA firm.

Financial planners

We assist advisers looking to provide financial planning services that may or may not also provide in-house or outsourced investment advisory services.

Investment manager

We assist firms or portfolio managers looking to provide investment management services to individuals or institutions such as other RIA firms.

Private fund manager

We assist private equity, hedge fund, venture capital or other alternative fund managers that need to register as an RIA or exempt reporting adviser (ERA).

Internet-only robo adviser

We assist firms looking to provide automated online investment advice.

Ready to get started?

Establish and protect your firm with the technology and resources designed by RIA compliance experts for RIA compliance professionals.