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Reviewed · Updated 2026-06-19

RIA in a Box

Simplifies retirement planning and RIA compliance with integrated financial solutions.

Reviewed by the Conversion Gems editorial team ·
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Best for
Financial advisors
Category
Finance, Billing & Accounting
The bottom line

The go-to compliance management platform for independent RIAs that need audit-ready workflows without a full-time CCO.

6.4
Our score
6.4 / 10
Conversion Gems editorial verdict
Custom pricing; demo required
Features8/10
8 - comprehensive coverage of RIA compliance needs: filing, archiving, cybersecurity, supervision, and annual reviews in one platform.
Value5/10
5 - no public pricing and custom quotes make cost assessment opaque; likely expensive for small or solo RIA firms.
Ease of use5/10
5 - compliance complexity means meaningful setup time; pre-loaded templates help but a sales cycle gates entry.
Ecosystem7/10
7 - 15+ integrations including Orion, Salesforce, Redtail CRM, and Wealthbox; strong within the RIA tech stack.
Support7/10
7 - compliance-expert-authored guidance built into the product; dedicated support expected at enterprise price points.
What it really is

RIA in a Box (now COMPLY) — regulatory compliance management platform for registered investment advisers.

Our take

RIA in a Box merged with COMPLY in 2021 and now operates as COMPLY RIA — a purpose-built SaaS compliance suite for SEC- and state-registered investment advisory firms. The DB mislabels this as 'retirement planning' and lists 'who_its_for' as animators (a clear data mix-up from another tool); it is actually RIA compliance software. The price_tier in the DB is 'free_trial,' but no public free trial exists — pricing is fully custom and requires a demo.

Why we rate it

COMPLY RIA is one of the most comprehensive compliance stacks for the RIA market — covering regulatory filing, annual reviews, cybersecurity, communications archiving, and employee supervision in a single integrated platform. Its long track record (founded 2005) and deep integrations with CRMs like Salesforce, Redtail, and Orion set it apart from lighter-weight competitors.

The catch

No public pricing means you must go through a sales cycle before knowing cost. The platform is tailored to U.S. RIA regulation and has limited utility outside that niche.

Best for
Independent RIAs needing all-in-one SEC/state compliance workflows
Firms preparing for regulatory audits with automated documentation
Advisory practices building cybersecurity programs aligned with NIST
Not good for
Non-U.S. financial advisors subject to different regulatory frameworks
Solo practitioners seeking low-cost or self-serve compliance tools
Teams that only need basic document storage, not end-to-end compliance management
Friction report
Time to value
Slow: requires a sales demo before accessing the platform, plus onboarding to map firm-specific compliance obligations.
Scale breakpoint
Add-on pricing for modules like communications archiving and trade monitoring can push total cost significantly higher as firm headcount and channels grow.
Walled garden
High: compliance workflows, audit trails, and regulatory filings are deeply embedded in the platform — migrating to another vendor means reconstructing years of compliance documentation.

A look inside

RIA in a Box product screenshot

Frequently Asked Questions

Alternatives

Step up

COMPLY Enterprise for multi-entity, broker-dealer, or private fund complexes needing broader regulatory coverage.

Lighter alternative

MyRIACompliance or Comply Fast Track for smaller or solo RIAs seeking lower-cost, self-serve compliance checklists.

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Tags

#FinancialAdvisor#Compliance

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Conversion Gems independently reviews every tool. We may earn a commission if you sign up through our links — it never affects our verdict or ranking.