SOURCE: RIA In A Box

RIA In A Box

September 14, 2009 07:00 ET

RIA In A Box Offers Advertising Compliance Review Services to RIAs

HOUSTON, TX--(Marketwire - September 14, 2009) - RIA In A Box (www.riainabox.com), a consulting business aimed exclusively at efficient creation of registered investment advisory firms, today announced it will begin providing review services to help ensure that RIAs are in compliance for all their advertising, business cards, letterheads and websites. The new service begins this month.

RIA In A Box staff will quickly review all materials to check that they meet federal and state requirements. Other marketing-oriented materials such as seminar content, direct mailers and brochures may also be included in the compliance review. The compliance reviewers will ensure that all required disclosures and disclaimers are included as appropriate and all marketing claims are checked for accuracy.

"I am offering these services because compliance issues related to marketing materials are frequently confusing and hard to interpret. RIAs generally like to have everything given the once-over so they know they don't have any compliance ambiguities that may cause problems for them," explained Zachary Gronich, president, RIA In A Box. "I also want our clients to feel comfortable that they are getting great value for their dollar with our firm. Our fees for advertising compliance reviews, like our fees for all our services, are very fair and reasonable -- right in line with RIA In A Box's philosophy that we consistently do the right thing for our clients."

Recently RIA In A Box started offering mock audit compliance services. The mock audits, which take between three and five hours, are performed by an experienced compliance auditor who will review the materials which the state or the SEC will look for during a standard first-year audit. The compliance auditor will come to the RIA office and review materials such as the ADVs, client agreements, files and folders, books and records, policies and procedures, and advertising, marketing and promotion materials. In addition, the RIA In A Box compliance auditor will answer compliance questions and interview the firm principal to check that all the materials and information are in synch.

About RIA In A Box

RIA IN A BOX is a consulting firm specializing in preparing RIA registration materials for the creation of registered investment advisory firms most efficiently, submitting the requirements to the states and SEC in only three to seven days. Since its founding by Zachary Gronich, CPA/PFS, in 2005, RIA IN A BOX has helped over 700 advisory firms get registered quickly and correctly the first time. RIA IN A BOX works with all 50 states, Washington, DC, and the SEC. The firm is headquartered in Houston and has recently opened an office in Manhattan. For more information, visit www.riainabox.com or call (866) 611-7638.

Contact Information

  • Contact:
    Erica Zeidenberg
    Hot Tomato Marketing
    925-631-0553