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About

RIA in a Box is a comprehensive, all-in-one compliance management platform purpose-built for Registered Investment Advisers (RIAs) to streamline and oversee their regulatory obligations under both SEC and state regimes. It consolidates essential compliance workflows into a unified interface, offering a pre-populated, customizable compliance calendar and log with best-practice guidance; automated support for registration and regulatory filings, including preparation of Form ADVs and key documents like Codes of Ethics; comprehensive communications archiving across emails, social media, and websites with powerful filtering and review; guided annual review processes aligned with SEC Rule 206(4)-7; structured risk assessments tied to compliance policies; oversight tools for employee activities, including trading, outside business activity, and attestations; and a built-in cybersecurity compliance module based on the NIST framework that covers vendor due diligence.

About

RootSystems is a web-based compliance and security evidence suite for IT administrators, MSPs, compliance teams, and organizations managing security obligations. Its modules cover employee offboarding, vendor-risk reviews, HIPAA compliance, readiness across multiple standards, and trust workflows for AI agents. Offboarding Proof is designed to document account-revocation checks across services such as GitHub, Okta, Slack, and Microsoft 365. The platform produces digitally signed evidence reports that can be independently verified, giving teams records to review and share during internal controls work, vendor assessments, or compliance preparation. RootSystems offers free plans for selected modules and paid plans for other offerings; capabilities and pricing vary by module.

Platforms Supported

Windows Not Supported
Mac Not Supported
Linux Not Supported
Cloud Supported
On-Premises Not Supported
iPhone Not Supported
iPad Not Supported
Android Not Supported
Chromebook Not Supported

Platforms Supported

Windows Not Supported
Mac Not Supported
Linux Not Supported
Cloud Supported
On-Premises Not Supported
iPhone Not Supported
iPad Not Supported
Android Not Supported
Chromebook Not Supported

Audience

Compliance officers and operations teams seeking a solution to manage every facet of regulatory compliance, from filings and supervision to communications and cybersecurity

Audience

MSPs, IT administrators, compliance officers, and small to mid-size businesses

Support

Phone Support Supported
24/7 Live Support Not Supported
Online Supported

Support

Phone Support Not Supported
24/7 Live Support Not Supported
Online Not Supported

API

Offers API Supported

API

Offers API Not Supported

Screenshots and Videos

Screenshots and Videos

No images available

Pricing

No information available.
Free Version Not Supported
Free Trial Not Supported

Pricing

$0/month
Free plans are available for selected modules. AI Agent Trust has a 14-day free trial; paid plans start at $79/month. Pricing and included features vary by module.
Free Version Supported
Free Trial Supported

Reviews/Ratings

Overall 0.0 / 5
ease 0.0 / 5
features 0.0 / 5
design 0.0 / 5
support 0.0 / 5

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Review this Software

Reviews/Ratings

Overall 0.0 / 5
ease 0.0 / 5
features 0.0 / 5
design 0.0 / 5
support 0.0 / 5

This software hasn't been reviewed yet. Be the first to provide a review:

Review this Software

Training

Documentation Supported
Webinars Supported
Live Online Supported
In Person Supported

Training

Documentation Not Supported
Webinars Not Supported
Live Online Not Supported
In Person Not Supported

Company Information

COMPLY
United States
www.comply.com/products/ria-in-a-box/

Company Information

RootSystems
Founded: 2026
United States
rootsystems.app

Alternatives

Alternatives

Luthor

Luthor

Luthor.ai
Spire

Spire

Synov8 Ltd

Categories

Compliance Supported

Categories

Compliance Supported

Integrations

No info available.

Integrations

No info available.
Claim RIA in a Box and update features and information
Claim RIA in a Box and update features and information
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Claim RootSystems and update features and information