COMPLY Partnerships

The partnership aligns COMPLY’s comprehensive compliance expertise with Chicago-based Advyzon’s integrated wealth management platform to provide three new points of integration: 13F Filing, Compliance Calendar, and Employee Trade Monitoring.

Benefits:

• 13F Form Filing: Automatically populates firm holdings and files a firm’s 13F Form, eliminating manual intervention
• Compliance Calendar: Complete required regulatory compliance tasks without leaving the Advyzon platform, removing the need to manage multiple calendars and enhancing a firm’s culture of compliance
• Trade Monitoring: Automatically populates client transactions from Advyzon into the same view as employee transactions for comparison and auto-flagging of any potential employee trading violations

The integration allows a joint Black Diamond and COMPLY RIA in a Box Platform client to automate compliance and registration requirements to help ensure consistent and accurate registration and Form ADV information is filed.

Benefits:

• Real-time updates on firm registration and compliance needs, eliminating the time-consuming demands of tedious manual entry processes
• By sourcing data from Black Diamond and running it in tandem with COMPLY’s software, the integration enables firms of all sizes to seamlessly track registration and notice filings to ensure compliance requirements are updated in real-time
• The integration provides advisers with enhanced capabilities, such as the real-time ability to ensure the firm is properly registered in proper jurisdictions

CircleBlack’s integration allows joint CircleBlack and COMPLY RIA in a Box Platform clients to link their CircleBlack and RIA in a Box credentials to view, complete, and track tailored regulatory compliance tasks all within the CircleBlack Experience. COMPLY helps to programmatically deliver firm-specific compliance tasks utilizing the firm’s Form ADV and other proprietary data directly into CircleBlack.

Benefits:

• Allows a firm to complete required regulatory compliance tasks without leaving the CircleBlack experience – allowing CircleBlack to further operate as a firm’s technology hub
• Removes the need for a firm to manage multiple calendars or log into multiple software systems
• Allows compliance activities completed within CircleBlack to be automatically stored in the firm’s RIA in a Box Platform digital compliance log

The integration allows a joint Docupace and COMPLY RIA in Box subscriber to leverage single sign-on to access the Docupace Vault to consolidate their physical and digital records.

Benefits:

• Streamlined document access, storage, and sharing to secure and cloud-based solution
• Dedicated single-tenant environment into a Tier IV Gold data center

We have partnered with InvestorCOM on the release of the RolloverAnalyzer™ and RolloverAnalyzer Dashboard to assist RIAs in meeting the DOL PTE 2020-02 rollover requirements, including the retrospective review. RIAs that use the RolloverAnalyzer™ will gain access to time saving and intuitive features that help them efficiently meet their compliance and oversight requirements.

• Analyze Your Rollover Recommendation – Compare your rollover recommendation against Cost, Service, and Fit criteria
• Fully Integrated Plan Cost Data – Instant access to Form 5500 and benchmark data to assess plan costs
• Document and Disclose the Recommendation – Capture and store the recommendation; share a copy of the disclosure with the client
• Fulfill Retrospective Review Requirements – Monitor rollover volumes, drill into adviser rollover data, and identify issues to self-correct before they become problematic

Additionally, with our expanded partnership we provide brokers and investment advisers with easier access to InvestorCOM PeerCompare™, an intuitive application for advisers to make best interest recommendations.

• Identify a product peer group based on cost, risk, and return
• Create a recordkeeping transaction for each recommendation
• Generate a PDF record for sharing with the client

The integration allows a joint Morningstar and COMPLY RIA in a Box client to automate compliance and registration requirements to help ensure consistent and accurate registration and Form ADV information is filed.

Benefits:

• Real-time updates on firm registration and compliance needs, eliminating the time-consuming demands of tedious manual entry processes
• By sourcing data from Morningstar and running it in tandem with COMPLY’s RIA in a Box Platform, the integration enables firms of all sizes to seamlessly track registration and notice filings to ensure compliance requirements are updated in real-time
• The integration provides advisers with enhanced capabilities, such as the real-time ability to ensure the firm is properly registered in proper jurisdictions

Our integration allows a joint Orion and COMPLY RIA in a Box client to automate compliance and registration requirements to help ensure consistent and accurate registration and Form ADV information is filed.

Benefits:

• Real-time updates on firm registration and compliance needs, eliminating the time-consuming demands of tedious manual entry processes
• By sourcing data from Orion and running it in tandem with COMPLY’s RIA in a Box Platform, the integration enables firms of all sizes to seamlessly track registration and notice filings to ensure compliance requirements are updated in real-time
•  The integration provides advisers with enhanced capabilities, such as the real-time ability to ensure the firm is properly registered in proper jurisdictions

Our integration with Redtail allows a joint Redtail and COMPLY client to view, complete, and track tailored regulatory compliance tasks all within the Redtail CRM calendar system. The RIA in a Box Platform helps to programmatically deliver firm-specific compliance tasks utilizing the firm’s Form ADV and other proprietary data directly into the Redtail CRM system.

Benefits:

• Allows a firm to complete required regulatory compliance tasks without leaving the Redtail CRM system – allowing Redtail to further operate as firm’s technology hub
• Removes the need for a firm to manage multiple calendars or log into multiple software systems
• Allows compliance activities completed within Redtail to be automatically stored in the firm’s RIA in a Box Platform digital compliance log

Nitrogen’s integration with the RIA in a Box Platform establishes a simple supervisory workflow in which the Chief Compliance Officer (CCO) of a firm is able to seamlessly track, manage, and document the client suitability and portfolio review process enabled by the two platforms.

Benefits:

• Simplify the client suitability review process by viewing risk scores at the firm level
• Clearly log and document the client suitability review to ensure proper record keeping
• Streamline the supervisory process related to client suitability

The integration allows a joint Salesforce and COMPLY RIA in a Box subscriber to view and complete tailored regulatory compliance tasks all within the Salesforce task and calendar system. The RIA in a Box Platform helps to programmatically deliver firm-specific compliance tasks utilizing the firm’s Form ADV and other proprietary data directly into the Salesforce system.

Benefits:

• Allows and RIA firm to complete required regulatory compliance tasks without leaving the Salesforce system – allowing Salesforce to further operate as a firm’s technology hub
• Removes the need for a firm to manage multiple calendars or log into multiple software systems
•  Allows compliance activities completed within Salesforce to be automatically stored in the firm’s RIA in a Box digital compliance log
•  Ability to access The RIA in a Box Platform via Salesforce

The integration allows a joint SEI and COMPLY RIA in a Box client to automate compliance and registration requirements to help ensure consistent and accurate registration and Form ADV information is filed.

Benefits:

• Real-time updates on RIA firm registration and compliance needs, eliminating the time-consuming demands of tedious manual entry processes
• By sourcing data from SEI and running it in tandem with COMPLY’s RIA in a Box Platform, the integration enables firms of all sizes to seamlessly track registration and notice filing to ensure compliance requirements are updated in real-time
• The integration provides advisers with enhanced capabilities, such as the real-time ability to ensure the firm is properly registered in proper jurisdictions

Our integration enables joint users of the RIA in a Box Platform and Wealthbox to view and complete customized regulatory compliance events all within the Wealthbox calendar system. The RIA in a Box Platform helps to programmatically deliver firm-specific compliance tasks utilizing the firm’s Form ADV and other proprietary data directly into the Wealthbox CRM system.

Benefits:

• RIA firms can complete required regulatory compliance tasks without leaving the Wealthbox CRM system – allowing Wealthbox to operate as a firm’s technology hub
• Removes the need for an RIA firm to manage multiple calendars or log into more than one platform
• Automates compliance activities completed within Wealthbox to be stored in the firm’s RIA in a Box Platform digital compliance log

The Investment Adviser Association is the leading association advocating the interests of investment adviser firms registered with the Securities and Exchange Commission.

As a long-standing partner, IAA co-sponsors the Investment Adviser Certified Compliance Professional (IACCP®) program with COMPLY, which offers compliance professionals the comprehensive knowledge to help them build a strong compliance program with industry-recognized best practices. Additionally, IAA and COMPLY release the IA Snapshot, an annual in-depth study analyzing annual updates filed by investment advisers registered with the U.S. SEC.

RIA firms have streamlined access to leading cybersecurity insurance plans to help portect their firms from financial losses in the event of a cybersecurity incident. Directly through our the RIA in a Box Platform, COMPLY clients will have easy access to the AssetSure platform, which populates cyber insurance quotes from multiple carriers based on each firm’s individualized needs.

Benefits:

• Access industry-leading cyber insurance carriers and compare insurance carriers’ prices and features
• Receive customized recommendations on insurance carriers based on a firm’s unique business needs
• Firms will receive a customized risk assessment report which they can use when comparing insurance carriers’ prices and features

Firms have streamlined access to leading cybersecurity insurance plans to help protect their firms from financial losses in the event of a cybersecurity incident. Directly through the RIA in a Box Platform, COMPLY clients will have easy access to the ProWriters platform, which populates cyber insurance quotes from multiple carriers based on each firm’s individualized needs.

Benefits:

• Access industry-leading cyber insurance carriers and compare insurance carriers’ prices and features
• Receive customized recommendations on insurance carriers based on a firm’s unique business needs
• Firms will receive a customized risk assessment report which they can use when comparing insurance carriers’ prices and features

The RIA Tech Suite is a set of complementary technology platforms that automates critical back-office tasks. Get your RIA services up and running fast with all the tools you need.

• Betterment for Advisors: A digital-first wealth management platform that leverages tax-smart technology
• RightCapital: Wealth planning software that makes planning easier and more powerful for you and your clients
• Wealthbox: A leading CRM software application that helps you manage your clients and collaborate with your team
• COMPLY: Compliance, cybersecurity, and operational software for investment advisers