+
+

Related Products

  • Hyperproof
    350 Ratings
    Visit Website
  • Predict360
    18 Ratings
    Visit Website
  • Haast
    5 Ratings
    Visit Website
  • Qualio
    919 Ratings
    Visit Website
  • Sovos
    184 Ratings
    Visit Website
  • Captain Compliance
    337 Ratings
    Visit Website
  • RealCISO
    223 Ratings
    Visit Website
  • CredentialingSpectrum
    5 Ratings
    Visit Website
  • Nasdaq Metrio
    14 Ratings
    Visit Website
  • Uniqkey
    182 Ratings
    Visit Website

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

SurgeONE is a cloud platform for compliance, cybersecurity, data integration, and AI governance at registered investment advisers, broker-dealers, and other regulated financial firms. Its compliance tools support audit preparation, written supervisory procedures, employee attestations, personal-trading oversight, marketing and electronic-communications review, regulatory calendars, and issue tracking. Cybersecurity features include vendor due diligence, endpoint monitoring, risk dashboards, and inspection evidence. A data-integration pillar uses 110+ adapters to consolidate information from financial systems into a compliance data lake for reporting and analysis. AI-governance tools help firms inventory and monitor AI use, apply policy checks, route issues for review, and maintain traceable records. The modular platform combines software workflows with review by compliance and cybersecurity professionals.

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

Registered Investment Advisers (RIAs), broker-dealers, chief compliance officers, compliance teams, and financial services firms.

Support

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

Support

Phone Support Supported
24/7 Live Support Not Supported
Online 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

Pricing is scoped to the selected pillars and modules and the firm's deployment.
Free Version Not Supported
Free Trial Not Supported

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

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 Supported
Webinars Supported
Live Online Not Supported
In Person Supported

Company Information

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

Company Information

SurgeONE
Founded: 2024
United States
www.surgeone.ai/

Alternatives

Alternatives

OtterBlotter

OtterBlotter

GreenFlow Technology, Inc.
Luthor

Luthor

Luthor.ai

Categories

Compliance Supported

Categories

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
Claim SurgeONE and update features and information
Claim SurgeONE and update features and information