RIA in a Box
RIA in a Box (now Comply for RIA) provides cloud-based compliance, cybersecurity, and operational software purpose-built for Registered Investment Advisers and wealth management firms, covering registration, archiving, risk assessments, and supervision via subscription SaaS.
- Company typePrivate
- Founded2021
- HeadquartersNew York, United States
- Headcount101–250
- GTM typeB2B
- OfferingSoftware
What RIA in a Box does
RIA in a Box, now branded as Comply for RIA, provides cloud-based compliance, cybersecurity, and operational software purpose-built for Registered Investment Advisers and wealth management firms. The platform manages the full regulatory lifecycle, including SEC and state registration, Form ADV preparation and filing, Code of Ethics and Policies and Procedures drafting, compliance calendar management, annual reviews aligned with SEC Rule 206(4)-7, risk assessments, employee supervision, trade monitoring and pre-clearance, and WORM-compliant communications archiving. Core technology includes cloud-based compliance infrastructure, AI-powered ComplyAI features (including an Intelligent Policy Builder and an Agentic Compliance Platform MCP Server for building custom compliance agents without developers), and native iMessage and WhatsApp capture through a LeapXpert partnership that preserves full conversation threads, edits, deletions, and attachments in compliance with platform terms of service.
The company monetizes through subscription-based SaaS contracts sold via a direct enterprise field sales motion with quote-based pricing tailored to firm size, supplemented by a self-serve login portal (MyriaCompliance). Additional revenue streams include adjacent modules such as illumis for political contribution monitoring, Comply Accountability for IAR-specific tracking, ComplianceGuardian for supervisory documentation, and Desktop on Demand for cloud-based virtual desktops acquired through ITEGRIA, plus professional services for registration, regulatory consulting, and managed services. The company reports serving approximately 2,200 RIA firms managing over $400 billion in assets through its combined entity.
Operationally, RIA in a Box operates as a product brand within Comply Technologies, Inc., a privately-held New York corporation that has consolidated multiple compliance software brands including ComplySci, NRS/ComplianceGuardian, and illumis. The combined organization maintains offices in New York, Arlington (VA), Orange Village (OH), London, York (UK), and an engineering/R&D presence in Kakkanad, India, with a 101-250 employee headcount. Acquisitions of Gordian Compliance Solutions (2019) and ITEGRIA (2021) and the 2025 rebrand to Comply for RIA reflect a strategy of inorganic growth and product suite consolidation in the RIA and broader financial services compliance market.
RIA in a Box firmographics
Firmographics- Name
- RIA in a Box
- Legal name
- Comply Technologies, Inc.
- Website
- https://riainabox.com
- Company type
- Private
- Founded year
- 2021
- Operating status
- Operating
- Headcount range
- 101–250 employees
- Short description
- RIA in a Box (now Comply for RIA) provides cloud-based compliance, cybersecurity, and operational software purpose-built for Registered Investment Advisers and wealth management firms, covering registration, archiving, risk assessments, and supervision via subscription SaaS.
- Ownership category
- akta.pro rank
RIA in a Box industry classification
Industry- Product category
- Regulatory Compliance Software
- akta.pro primary industry
- Registered Investment Advisor (RIA) Wealth Management (FSAEABAA)
- akta.pro secondary industry
- Digital/Hybrid RIAs (Robo-Enabled, Tech-Forward) (FSAAACAJ)
Keywords
Where RIA in a Box is headquartered
LocationHeadquarters
- HQ city
- New York
- HQ country
- United States
- HQ region
- North America
Offices6 records
Markets served
RIA in a Box business model
Business model- GTM type
- B2B
- Offering type
- Software
- Cost components
- Personnel, Technology or R&D, Marketing or Sales, Operations
Revenue model
- SaaS Subscription: The company offers a cloud-based compliance software platform on a subscription basis, providing RIAs with access to compliance management tools including registration, archiving, risk assessments, and supervision features.
Go-to-market motion1 record
Distribution channels2 records
Marketing channels4 records
RIA in a Box product offering
Product offeringCore offering
RIA in a Box (now branded Comply for RIA) provides a cloud-based compliance management platform purpose-built for Registered Investment Advisers. The platform manages the full regulatory lifecycle including SEC and state registration, Form ADV preparation, compliance calendars, WORM-compliant communications archiving, trade pre-clearance, risk assessments, annual reviews, employee supervision, and cybersecurity compliance built on the NIST framework.
Product overview
RIA in a Box operates as a modular compliance platform (now branded as Comply for RIA) within the broader Comply Technologies portfolio. The core offering is the Comply for RIA platform, a purpose-built compliance management system for Registered Investment Advisers that handles SEC and state regulatory requirements. This core platform integrates with several specialized modules and acquired brands including ComplyAI (AI-powered policy generation and agentic workflows), illumis (political contribution monitoring), ComplianceGuardian (supervisory documentation), Comply Accountability (IAR-specific tracking), and Desktop on Demand (cloud virtual desktops from ITEGRIA acquisition). The platform is part of a unified product suite alongside the Comply Platform (formerly ComplySci) for more complex compliance needs.
Differentiator
Problem solved
Functional benefit
Brands
- Desktop on Demand: Cloud-based virtual desktop solution for RIA compliance and operational services, acquired as part of ITEGRIA, LLC.
Products and services
- Comply for RIA (formerly RIA in a Box) Primary compliance management platform purpose-built for Registered Investment Advisers that manages the full scope of regulatory responsibilities including SEC and state requirements, compliance calendars, IAR registration, communications archiving, annual reviews, risk assessments, and employee supervision.
- Comply Platform (formerly ComplySci) Comprehensive compliance solution designed to meet complex compliance requirements for investment management firms, private equity, hedge funds, and broker-dealers.
- ComplyAI AI-powered compliance module that enables automated policy generation, intelligent compliance assistance, and agentic AI capabilities for building custom compliance workflows without developer involvement.
- illumis Real-time political contribution monitoring and intelligence platform designed to ensure pay-to-play compliance for investment advisers.
- ComplianceGuardian (formerly NRS) Compliance solution that helps firms reduce manual processes, strengthen supervisory control, and maintain defensible documentation for regulatory exams.
- Comply Accountability (IAR) Individual Investment Adviser Representative accountability and compliance tracking module for managing IAR-specific regulatory obligations.
- Desktop on Demand Cloud-based virtual desktop solution acquired through ITEGRIA, providing RIA firms with secure, compliant desktop infrastructure for operational and compliance purposes.
Quantifiable outcome
- Served approximately 2,200 RIA firms managing over $400 billion in assets
Companies that use RIA in a Box
Customer profileNamed customers1 record
Segments2 records
Ideal customer profiles2 records
RIA in a Box technology and API
TechnologyTechnology focussed Yes
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Integration8 records
AI capability7 records
Feature7 records
RIA in a Box partnerships and signals
Strategic signalPartnerships
Two partnerships are on record, tiered core.
- ITERGRIA, LLCcoreAcquisition of ITEGRIA, LLC, a provider of cloud-based virtual desktop solutions, to expand compliance and operational services for RIA firms. This acquisition combined the entities to serve approximately 2,200 RIA firms managing over $400 billion in assets.
- LeapXpertcoreLeapXpert partnership enables native iMessage and WhatsApp capture for communications archiving. This integration allows employees to text through iMessage and WhatsApp as they regularly would without app-switching. Captures full conversation threads, edited and deleted messages, timestamps, attachments, multimedia, and message reactions with full encryption from capture to archive. Compliant with Apple and WhatsApp terms of service.
Scale indicators2 records
Recent moves6 records
Expansion highlights6 records
RIA in a Box competitors and assessment
Company assessmentDirect peers
- Smarsh: Smarsh is a leading provider of communications archiving, supervision, and compliance software for financial services firms. It directly competes with RIA in a Box in the wealth-management compliance and archiving market with comparable enterprise sales motions.
- StarCompliance: StarCompliance provides employee compliance and trade monitoring software for broker-dealers, RIAs, and investment management firms. It is a direct competitor to RIA in a Box's employee supervision, code of ethics, and trade pre-clearance modules and is featured in RIA in a Box's own buyer-guide comparison content.
- Global Relay: Global Relay provides cloud-based messaging, social media, and email archiving with built-in compliance supervision for financial firms. It competes head-to-head with RIA in a Box's WORM-compliant communications archiving across email, text, social, and professional messaging platforms.
- Hearsay Systems: Hearsay Systems provides digital engagement and compliance archiving software for financial services firms including wealth managers and RIAs. It competes for the same 'social/text capture + supervision' workflow as RIA in a Box's archiving solution.
Broad incumbents
- NetDocuments: NetDocuments provides cloud-based document and email management with compliance, security, and policy features used by financial and professional services firms. It competes for policy drafting, document storage, and audit-trail workloads adjacent to RIA in a Box's Code of Ethics and policy modules.
- Diligent (Galvanize/ACL): Diligent acquired the Galvanize and ACL GRC platforms and serves governance, risk, and compliance needs across financial services and other regulated industries. It competes for firm-level risk assessment and compliance program management budgets overlapping with RIA in a Box's risk assessment and annual review tools.
- Wolters Kluwer Compliance Solutions: Wolters Kluwer offers a broad compliance and regulatory reporting suite for investment advisers through its EnCompass and OneSumX products. As a large incumbent financial publisher, it competes across the same RIA compliance workflow but with a much wider product portfolio.
Emerging players
- Saifr: Saifr is a RegTech-focused AI company that helps financial institutions with compliance content review and surveillance. It overlaps with RIA in a Box's ComplyAI offerings and is a named comparable in the same buyer-guide comparison.
- Luthor: Luthor is an AI-native compliance platform for investment advisers and broker-dealers, featured alongside RIA in a Box in the 2025 AI Compliance Platform Buyer's Guide. It competes for AI-driven policy generation and supervisory review workloads.
- Behavox: Behavox applies AI to compliance surveillance and employee communications monitoring across financial services. It overlaps with RIA in a Box's ComplyAI capabilities and is increasingly cited alongside it in compliance platform comparisons.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat5 records
Key risks6 records
Key highlights7 records
Customer concentration
RIA in a Box social profiles
Digital presenceRIA in a Box compliance and trust
Trust signalCompliance1 record
RIA in a Box financial estimates
Financial estimateRevenue estimate
Valuation estimate
RIA in a Box leadership team
Management profileNumber of profiles
Profiles4 records
RIA in a Box subsidiaries and ownership
Company hierarchySubsidiaries1 record
RIA in a Box funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
RIA in a Box M&A and investment
M&A and investmentM&A2 records
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about RIA in a Box
What does RIA in a Box do?
RIA in a Box (now branded Comply for RIA) provides a cloud-based compliance management platform purpose-built for Registered Investment Advisers. The platform manages the full regulatory lifecycle including SEC and state registration, Form ADV preparation, compliance calendars, WORM-compliant communications archiving, trade pre-clearance, risk assessments, annual reviews, employee supervision, and cybersecurity compliance built on the NIST framework.
Is RIA in a Box a public or private company?
RIA in a Box is a private company. It is classified as corporate owned and is currently operating.
When was RIA in a Box founded?
RIA in a Box was founded in 2021. It employs 101 to 250 people.
Where is RIA in a Box based?
RIA in a Box is headquartered in New York, United States, in the North America region.
How does RIA in a Box make money?
One revenue line is on record: saaS Subscription.
Who are RIA in a Box's main competitors?
Direct peers on record are Smarsh, StarCompliance, Global Relay and Hearsay Systems. Broad incumbents are NetDocuments, Diligent (Galvanize/ACL) and Wolters Kluwer Compliance Solutions. Emerging players are Saifr, Luthor and Behavox.
Does RIA in a Box have an API?
No public API is recorded for RIA in a Box.
What industry is RIA in a Box in?
RIA in a Box's product category is Regulatory Compliance Software. Its primary akta.pro industry code is FSAEABAA, Registered Investment Advisor (RIA) Wealth Management, with a secondary code of FSAAACAJ, Digital/Hybrid RIAs (Robo-Enabled, Tech-Forward).