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Provides a compliance management platform for registered investment advisers and wealth managers covering SEC and state rules.
RIA in a Box LLC, founded in 2005 and headquartered in New York, US, offers a subscription compliance platform for Registered Investment Advisers and wealth managers. Features include communications archiving, employee trade monitoring, cybersecurity compliance and a risk assessment tool for private fund advisers, along with the illumis platform for political contribution monitoring. Compliance Science, Inc. acquired the company in December 2021, and Will Bressman remains CEO. Expansion into North America and Europe is planned by the end of 2023.
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