sponsored by:

RIA in a Box


Company info:

http://www.riainabox.com
866-611-7638
15 West 26th Street, 4th Floor
New York, NY

RIA department info:

Contact: Steve Swansig
212-840-1257

Etcetera:

  • 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:

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


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