RIA in a BoxCOMPLY
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Related Products
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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.
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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.
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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
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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
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Audience
Compliance officers and operations teams seeking a solution to manage every facet of regulatory compliance, from filings and supervision to communications and cybersecurity
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Audience
MSPs, IT administrators, compliance officers, and small to mid-size businesses
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Support
Phone Support
Supported
24/7 Live Support
Not Supported
Online
Supported
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Support
Phone Support
Not Supported
24/7 Live Support
Not Supported
Online
Not Supported
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API
Offers API
Supported
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API
Offers API
Not Supported
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Screenshots and Videos |
Screenshots and VideosNo images available
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Pricing
No information available.
Free Version
Not Supported
Free Trial
Not Supported
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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
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Reviews/
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Reviews/
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Training
Documentation
Supported
Webinars
Supported
Live Online
Supported
In Person
Supported
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Training
Documentation
Not Supported
Webinars
Not Supported
Live Online
Not Supported
In Person
Not Supported
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Company InformationCOMPLY
United States
www.comply.com/products/ria-in-a-box/
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Company InformationRootSystems
Founded: 2026
United States
rootsystems.app
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Categories |
Categories |
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Integrations
No info available.
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Integrations
No info available.
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