15 West 26th Street, 4th Floor
New York, NY
RIA department info:Contact: Steve Swansig
- Founded in 2005
Q&A:What is the service or product you offer to RIAs?
RIA in a Box is a leading, entrepreneurial financial services and technology firm, providing initial registration and ongoing compliance support services to RIAs throughout the United States. Our mission is to enable fellow entrepreneurs to establish their own firms and remain in constant compliance with regulatory guidelines.How do you differentiate your offering from competitors?
We believe we offer tremendous service at an affordable price due to our experience, scale, and use of proprietary technology. We’ve helped set up over 1,800 investment advisory firms and thus have extensive experience with all types of RIA business models. Our ongoing compliance support team is led by a number of former regulators complemented by automated online compliance tools to help an RIA firm properly manage its compliance responsibilities in the most efficient manner possible.
White Papers and Additional Information:
|SEC's still mum about what will happen to procrastinators; states adopting laidback approach|
|RIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable|
|The race is on as laggards adapt to new vision of the future|
|A plethora of new carriers is a big boon at a time when regulators 'circle like sharks'|
What advisors should know about the next sweeping change: the switch from SEC oversight to state regulationIt could impose most on advisors spread out across multiple states
|No need to be a doormat but treat the visitor as a guest|
|Mock audits are in hot demand because they cut back on regulatory blindsiding|
|Established RIAs also more likely to report a decline in client base than newbies|
|Advisor groups relieved: no surprise audits for RIAs with third-party custodians|
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