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RIA in a Box Compliance Software Review and Pricing 2026

Byline profile imageWritten by Rebecca Lake, CEPF®
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Byline profile imageEdited by Marie White, CEPF®
Byline profile imageEdited by Arturo Conde, CEPF®
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Managing your firm’s compliance requirements can be time-consuming, and if you’re ready to simplify, a software solution could be the answer. RIA in a Box, now COMPLY, is a popular compliance platform for busy advisors who want to free up more hours in their day to serve existing clients and attract new ones. What does RIA in a Box cost, and what features do you get for the money? Here’s what advisors should know.

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What Is RIA in a Box?

RIA in a Box is a cloud-based, Software-as-a-Service (SaaS) solution for financial professionals who want to make compliance more manageable. The company was founded in 2005 and joined forces in 2021 with COMPLY. Since 2022, RIA in a Box has operated under the COMPLY RIA brand name.

The types of users RIA in a Box serves include:

Both SEC- and state-registered RIAs can use RIA in a Box, and there are distinct software tiers available for each type of registrant. You don’t need to have a minimum number of clients or assets under management (AUM) to use the software, which could make it appealing to both large and small firms, as well as newly independent advisors.

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RIA in a Box Features and Capabilities

RIA in a Box is meant to be a one-stop shop for compliance solutions. That’s reassuring if you’re hoping to streamline and organize, so you can shift more of your focus to prospecting and meeting with clients.

Here’s what the software is designed to help with.

Compliance Tracking

RIAs are required to have a compliance program in place, but managing it doesn’t have to be a hassle. RIA in a Box features a compliance calendar and log that allow you to: 

  • Manage deadlines and document compliance activities in a single location
  • Utilize preset deadline reminders, based on your firm’s profile, or create customized reminders to fit your needs
  • Generate reports with a full audit trail
  • Monitor the progress of compliance tasks across all members of your team

Communications Archiving 

Between emails, texts, social media content and your website, you may have a significant body of client communication to manage. SEC Rule 204-2 imposes strict recordkeeping requirements for advisors and RIA in a Box can help you meet them.

With this compliance tool, you can:

  • Archive a variety of communications, including emails, website pages and social media content in a WORM (write once, read many) format
  • Filter and retrieve archived content by communication channel, keyword and date range
  • Optimize your firm’s content approval and review process to ensure that you’re adhering to the SEC’s marketing rule
  • Track communications through a centralized compliance log

Your archiving practices may come under scrutiny when it’s time for your firm’s routine audit, making this a critical compliance area to address.

Regulatory Filing and Review

If you’re ready to start an RIA, RIA in a Box can help you navigate the process. Experts can help you submit your registration so you can begin serving clients. 

That includes:

  • Getting support for both SEC and state registration
  • Helping you prepare and file required paperwork, including Form ADV
  • Drafting required documents, including your code of ethics and written policies and procedures
  • Handling communications with regulators and responding to notices in a timely manner

RIA registration can be complex and time-consuming, and having a team of experts on your side is reassuring. 

Annual Reviews

Annual reviews may test your patience and your time management skills. RIA in a Box can help make annual reviews easier with:

  • Guided workflows that are aligned with SEC Rule 206(4)-7
  • Ongoing compliance activity documentation
  • Instant exports of all required compliance data 

This feature ensures that you aren’t scrambling at the end of the year to put together your annual review documentation. 

Cybersecurity

Two advisors discussing RIA in a Box for their firm.

The SEC’s cybersecurity rules require RIAs to develop cybersecurity compliance programs and report data breaches promptly. If your firm has yet to address the updated rules, RIA in a Box can help you construct and implement a cybersecurity compliance program.

Key features include:

  • Email phishing attack simulations
  • Third-party vendor due diligence
  • Technology inventory and risk assessment

RIA in a Box follows the NIST cybersecurity framework, which is built around five core principles: Identify, Protect, Detect, Respond and Recover.

Risk Assessments

Risk is always an important concern and RIA in a Box is set up to help you evaluate your firm’s biggest risk areas and link them to policies in a compliant manner. You can use the software to:

  • Assess risks associated with cybersecurity and third-party vendors
  • Assign risk ratings to specific areas of your firm’s operations, and link them to existing or updated policies
  • Track risk mitigation efforts
  • Export reports used for audits, board reviews, or internal analysis

This four-step process can enable you to head off risks before they snowball into major compliance issues. 

Employee Supervision

RIA in a Box can help you keep an eye on employee activities with comprehensive, streamlined reporting. Some of the things you can monitor include:

  • Certifications, attestations and outside business activities (OBAs)
  • Employee trading activity, with the ability to reconcile trades against company policies, restricted lists, blackout periods and client transactions
  • You can also automate preclearance workflows and flag restricted activity. 

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RIA in a Box Services

RIA in a Box offers a range of compliance services that act as a complement to its software solution. Here’s what you can get help with:

You’ll also have access to a digital resource library, as well as special events and webinars that are offered live and on-demand.

What Does RIA in a Box Cost?

RIA in a Box does not disclose its pricing strategy publicly. You’ll need to schedule a demo to learn more about what you can expect to pay. 

At one time, RIA in a Box offered four pricing tiers:

  • Comprehensive
  • Premium
  • Advanced
  • Standard

State registrants had three tiers: Comprehensive, Premium and Standard.

Again, you’ll need to schedule a demo to learn if these tiers are still offered and at what price point. 

Who Is RIA in a Box Right For?

RIA in a Box is designed for RIAs of all sizes, and its impressive range of features makes it attractive for new and established firms. The inclusion of cybersecurity compliance tools is a solid addition, as the SEC increasingly turns its attention to the way client data is stored and protected in the digital space.

As far as integrations go, COMPLY’s integration partners include:

  • Black Diamond Wealth Platform
  • Advyzon
  • CircleBlack
  • Docupace
  • InvestorCOM
  • RIA Tech Suite
  • Orion
  • Redtail CRM
  • Nitrogen
  • Salesforce CRM
  • SEI
  • Wealthbox CRM
  • Investment Adviser Association (IAA)
  • AssetSure
  • ProWriters

The list of integrations outstrips some RIA in a Box competitors, like Smartria. But it’s worth comparing different compliance software platforms to see which one offers the range of features that are likely to be most valuable for your firm.

Bottom Line

Advisors comparing different compliance software platforms.

Compliance doesn’t have to be a headache if you’re using the right tools to manage it. RIA in a Box offers a lengthy list of features and benefits to help you stay on top of your compliance game while leaving you free to focus on other important tasks. Schedule a demo to learn more about how RIA in a Box could meet your firm’s needs.

Tips for Growing Your Advisory Business

  • Marketing is a key area of focus for compliance, thanks to the SEC’s marketing and recordkeeping rules. If you’re looking for a way to streamline your outreach efforts while still maintaining compliance, an advisor marketing platform can help. SmartAsset AMP (Advisor Marketing Platform) is a holistic marketing service that financial advisors can use for client lead generation and automated marketing. Sign up for a free demo to explore how SmartAsset AMP can help you expand your practice’s marketing operation. Get started today.
  • When considering any compliance software solution, look at how well it will fit into the rest of your RIA tech stack. Integrating compliance software with your CRM, for example, can simplify recordkeeping requirements and help you better organize client data so nothing falls through the cracks.

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