sponsored by:

RIA in a Box

Company info:

15 West 26th Street, 4th Floor
New York, NY

RIA department info:

Contact: Steve Swansig


  • Founded in 2005


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:

How to Prepare for a RIA Regulatory Exam Checklist

RIA Systems and Operational Best Practices

RIA Democratization: Starting Your Own RIA Firm

Related listings:

RIA in a Box
filed under: RIA Set-up Firm, Consulting Firm, Compliance Expert

Related articles:

LInda Cena: Michigan's top RIA regulator, says one advisor recently told her, "Unless we have a direct connection with God, we’re not going to complete all the ADV forms."

(Updated) RIAs stumble at ADV form goal line

SEC's still mum about what will happen to procrastinators; states adopting laidback approach
Zachary Gronich: "For the state registered people, I’m not really seeing any outrageous new costs beyond that new ADV 2a/2b.”

New Fidelity survey shows advisors are running scared about compliance costs

RIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable
Brian Hamburger: The SEC is lining up the facts so that later the conclusion becomes obvious (it can’t regulate advisors with current resources). ... It’s genius, what they’re looking to do, but it’s incredibly transparent.

The RIABiz list of winners and losers in the wake of the SEC's fiduciary study

The race is on as laggards adapt to new vision of the future
Andrew Fotopulos: Advisers seem a lot more anxious to obtain coverage at this time.

Why RIA demand for E&O insurance is booming and premium prices are [thankfully] plummeting

A plethora of new carriers is a big boon at a time when regulators 'circle like sharks'
Denise Voigt Crawford: Advisors who haven't had an SEC audit recently -- or ever -- should expect an examiner's knock on the door soon after they switch to state oversight.

What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation

It could impose most on advisors spread out across multiple states
Welcome an auditor with a smile

14 tips for how to act when the SEC auditor is in your office

No need to be a doormat but treat the visitor as a guest
Hovig Melkonian: This is exactly how an auditor wants him: flustered

Elizabeth witnesses a mock audit first hand and feels the advisor's pain

Mock audits are in hot demand because they cut back on regulatory blindsiding
Brian Davis: Start-up RIA firms tend to focus their efforts on client acquisition.

New RIAs gather assets more zealously than veterans

Established RIAs also more likely to report a decline in client base than newbies
SEC Commissioner Luis A. Aguilar: These rules are a "Madoff fix."

SEC details new "Madoff fix" custody rules

Advisor groups relieved: no surprise audits for RIAs with third-party custodians

Closed ArrowEdit this listing

If you are the owner of this listing, you can edit the contents and billing information. First, we have to verify via email that you are the owner: