NEW YORK, Aug. 9, 2012 — RIA in a Box (www.riainabox.com), the leading provider of registration and ongoing compliance consulting services to registered investment advisory firms, today introduced its new Registration Maintenance service. The new service provides a registered investment advisor (RIA) with a complete, compliant solution for ongoing registration document management.
"Maintaining accurate and up-to-date documentation is an essential element of any RIA's compliance program," explained Chris DiTata 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. 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."
A Registration Maintenance subscription includes unlimited document amendments, new representative additions and the required annual renewal filing. Subscribers will 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 during the past quarter. The Registration Maintenance service provides worry-free document monitoring and management for $59 per month.
Concurrently with the launch of its standalone Registration Maintenance offering, RIA in a Box also introduced a new suite of joint ongoing compliance packages. The new Lexington Silver Plus and Gold Plus plans bring the benefits of outsourced document management to RIAs looking for additional guidance developing and implementing required compliance programs. Lexington Silver Plus is $149 per month, and the Gold Plus plan, which includes email and phone support from Lexington's compliance experts, carries a $249 monthly charge.
RIA in a Box processes hundreds of registrations and renewals annually, and its team of registration and compliance consultants has extensive experience preparing, filing and updating RIA registration documents. Enrollment in RIA in a Box's Registration Maintenance program ensures that all necessary document changes will be made quickly, accurately and with ease, eliminating both hassle and anxiety.
For more information on Registration Maintenance and Lexington Plus All-in-One solutions, visit http://www.riainabox.com.
About RIA in a Box and Lexington Compliance
RIA in a Box is a fast-growing, entrepreneurial financial services firm, providing the leading number of registrations and ongoing compliance services to RIAs throughout the United States. Our mission is to enable fellow entrepreneurs to establish their own firms and remain in compliance with regulatory guidelines. We take pride in partnering with our clients to establish the highest quality RIAs in the country. Founded in 2005, RIA in a Box has helped create over 1,500 advisory firms, including one of every five approved in the U.S. last year.
Lexington Compliance is the ongoing compliance consulting division of RIA in a Box, providing advice and guidance to RIAs registered in all 50 states, Washington, D.C., and with the SEC.
For more information, visit www.riainabox.com or www.lexcompliance.com.
Contact:
Peter Sullivan
RIA in a Box
(212) 840-1540
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