RIA in a Box

Compliance Law Firms

Over 3,000 investment advisers have trusted RIA in a Box® as their registration compliance consultants. Our staff of industry professionals and ex-regulators guides you through the entire registration and business planning process and creates customized documents specific to your situation in a timely and cost efficient manner.We currently provide monthly RIA compliance services to over 1,500 firms. Our team of former regulators has SEC and state-level investment adviser regulatory expertise and can answer compliance questions, review marketing documents, or help prepare for an audit. We also offer unlimited, hands-on compliance consulting time beginning with our professional service level. In addition, all firms gain access to our industry-leading MyRIAComplianceTM online RIA compliance software platform which allows firms to more efficiently and proactively manage compliance.


New MyRIACompliance Big Data Features and 3rd Party Integrations

MyRIACompliance is an online software platform utilized by over 1,500 RIA firms who collectivelymanage over $100 billion in assets. MyRIACompliance allows RIA firms to more efficiently and proactively manage compliance. The software’s standard features include tailored monthly compliance checklists, a registration tracker tool, and an interactive compliance calendar. In November 2016, a new automated annual risk assessment tool was released. The first-of-its-kind “big data” tool programmatically looks at a firm’s Form ADV data to highlight potential compliance risk areas for a particular RIA firm. The results of the firm’s annual risk assessment are captured in the online compliance log to help prepare for a regulatory audit.

In January 2017, we also released the industry’s first compliance software and customer relationship management (“CRM”) integration with Redtail Technology. The integration allows more than 225 shared RIA firm clients to view and complete tailored regulatory compliance tasks within Redtail CRM (http://www.prnewswire.com/news-releases/ria-in-a-box-releases-updated- myriacompliance-ria-compliance-software-300253600.html). In addition, for the second straight year, a new MyRIACompliance integration won the Orion Fuse Conference “Best in Show” award (https://www.orionadvisor.com/fuse-2016-award-winner-ria-in-a-box/).

The 2015 Orion Fuse Conference “Best in Show” winning integration also officially went live in2016 (http://www.prnewswire.com/news-releases/ria-in-a-box-and-orion-advisor-services-announce- first-of-its-kind-ria-compliance-integration-300286779.html). The integration retrieves firm- specific data from Orion’s system in order to help ensure that the RIA firm is registered in the proper jurisdictions and that the firm’s Form ADV reflects accurate information. This “big data”integration will become even more valuable beginning in October 2017 with forthcoming Form ADV changes requiring all RIA firms to disclose more detailed asset information.

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