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Articles tagged "RIA IN A BOX"


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Sarah Levy: We continue to ramp up our investment in the RIA business.
June 23, 2021 at 9:31 PM

Mark Alcaide: Foreside’s experienced management team, comprehensive resources, and scale offers the unique opportunity to further expand NCS’s core solutions to new customer segments.

Lovell Minnick sinks more capital into TurboTaxifying the RIA compliance market, with roll-up of NCS; but Brian Hamburger and other free-standers see no threat

Like Aquiline with RIA-in-a-Box, the private equity firm says scale and software are key to comply with SEC dictates in the future, but MarketCounsel and Cipperman are betting this ain't like retail tax returns.

January 5, 2019 at 2:07 AM

Oriana DeRose: We are ready to build a national sales presence and develop deeper relationships with our rapidly expanding client base.

RIA in a Box gunning for top-notch staff as it readies for Aquiline-fueled roll-up binge, targeting old-school, mom-and-pop compliance competitors

With Ascensus also in its portfolio, Aquiline is showing a penchant for taking dull, fragmented, unloved wealth-management niche businesses and rolling them up into sexier firms

November 29, 2018 at 11:54 PM

Barnaby Grist: They asked me to help them find a firm to invest in and we’ve been talking to a bunch of firms. This was the first one I got really excited about.

Purchase of RIA in a Box with reclaimed Barnaby Grist as overseer shows ambition of New York buyer to create compliance 'robo-advisor'

Fresh off big AssetMark score, Aquiline's money talks, saying RIAs must spend big to comply but would like to spend smaller

June 1, 2018 at 3:01 PM

Most innovative? Judges including Michael Kitces, Jud Mackrill and Tina Powell ponder.

Orion draws a record pack of hackers to Utah to code, bond -- and compete

From 7,000 feet above sea level, 90 RIA software types breathed thin air en route to zapping redundant portals

September 12, 2016 at 6:56 PM

Brian Davis: This isn't meant to be a deep dive, but to answer those yes and no compliance questions RIAs have on a day-to-day basis.

Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators

But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions

December 7, 2012 at 5:01 AM

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

April 4, 2011 at 2:05 PM

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

March 7, 2011 at 1:28 PM

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

January 28, 2011 at 1:17 PM

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'

November 17, 2010 at 5:40 AM

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.
August 25, 2010 at 12:56 PM

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

January 14, 2010 at 6:39 AM

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

January 13, 2010 at 5:59 AM

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

December 28, 2009 at 4:44 AM

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

December 16, 2009 at 9:43 PM

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