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RIA in a Box
RIA in a Box provides compliance software for SEC-registered investment advisors, digitizing registration and regulatory filings.
RIA in a Box
RIA in a Box is a technology company serving the registered investment advisor (RIA) ecosystem, a market that oversees roughly $100 trillion in client assets. The firm was founded to digitize the compliance and registration process for RIAs, replacing paper-heavy legal filings with a software platform.
General information
Firm type
other
Year founded
—
AUM
Undisclosed
Location
Region
North America
Country
United States
City
New York
Corporate office
New York, NY, United States
Sector focus
Frequently asked questions
Does RIA in a Box compete with traditional law firms?
The firm positions its software as a complement to legal counsel, not a replacement. Its platform handles routine registration filings and compliance checklists, which law firms often charge hourly for. RIA in a Box does not provide legal advice and recommends users consult an attorney for complex regulatory issues.
What type of regulatory filings does RIA in a Box automate?
The platform covers SEC Form ADV filings, state-level registrations, Form PF reporting, and annual amendments. It also tracks custody rules, compliance manual updates, and regulatory deadlines for RIA firms of all sizes.
Who typically uses RIA in a Box?
The software targets registered investment advisors — including independent RIAs, family offices, and small-to-mid-size asset managers — that need cost-effective compliance infrastructure. Larger firms may use it alongside in-house legal teams.
How does RIA in a Box stay current with changing SEC rules?
The company updates its compliance templates and workflows based on SEC regulatory changes, such as the marketing rule amendments and privacy regulation updates. Users receive notifications when filings need revision.
Is RIA in a Box a registered investment advisor itself?
No — RIA in a Box is a software provider, not an RIA. It does not manage assets, offer investment advice, or handle client accounts. Its business is entirely technology and compliance document management.
Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.
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