RIA in a Box Introduces Document Management Tool


A registration maintenance service for compliant document management was rolled out by RIA in a Box, a provider of registration and compliance consulting services.



The service offers a registered investment adviser (RIA) a complete, compliant solution for ongoing registration document management.

It is essential for any RIA compliance program to maintain accurate and up-to-date documentation, according to Chris DiTata, vice president of RIA in a Box. “In the event of an audit, the SEC or state regulators will be on the lookout for any discrepancies between a firm’s operating practices and what is outlined in its filing documents,” DiTata said. “With Registration Maintenance, an RIA can be better assured its documents will remain up to date and in compliance with ever-changing state and SEC regulations.”

Subscribing to Registration Maintenance gives an RIA unlimited document amendments, new representative additions and the required annual renewal filing. Subscribers also receive RIA in a Box’s new Quarterly Regulatory Status Monitor, a proprietary report containing the firm’s most important registration information and a summary of any changes made in the past quarter.

RIA in a Box also introduced a suite of joint ongoing compliance packages. The new Lexington Silver Plus and Gold Plus plans bring the outsourced document management to RIAs looking for additional guidance developing and implementing required compliance programs. For an additional monthly charge, the Gold Plus plan includes e-mail and phone support from Lexington’s compliance experts.

Lexington Compliance is the ongoing compliance consulting division of RIA in a Box, providing advice and guidance to RIAs registered in all 50 states and Washington, D.C., and with the Securities and Exchange Commission.

More information about Registration Maintenance and Lexington Plus All-in-One solutions is here.