Comply (Previously RIA in a Box) Registration Services

New Registration Services

Register your firm with confidence

The RIA registration process — whether with the SEC or at the state level — is often complex, with varying requirements that can be difficult to navigate. Comply makes it manageable. With decades of experience and thousands of successful registrations behind us, we guide you through every step so you can launch with confidence.

Our experts are here to help you establish and register your firm. Call 866-343-1278 to get started.

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Register your firm with confidence. Backed by the leading registration team.

Registration Services

Comply has helped thousands of advisors launch their own firms and we can’t wait to show you what’s possible.

Our team will be by your side every step of the way, providing critical resources, including providing a curated list of organizations that we regularly work with to assist with other legal or business services you may need.

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Laying the Foundation for Compliance

We help you establish the core elements of a strong compliance program, right from the start.

A Policies and Procedures Manual customized to your firm’s services, such as discretionary advisory, wrap programs, private funds, or model portfolios

A Business Continuity Plan and Code of Ethics aligned with Rule 206(4)-7, The Compliance Program Rule

A compliance manual with practical procedures your staff can easily follow – and regulators expect to see

Additional Registration Services Offered by Comply

Our team manages the technical filings and documentation that bring your firm into compliance, ensuring accuracy, timeliness, and regulatory alignment.

FINRA Entitlement – We handle the entitlement forms, submission, monitoring, and user permissions for the FINRA WebCRD/IARD system used to process RIA registrations.

Form ADV Part 1 – Completed accurately with all required schedules to disclose essential firm information.

Form ADV Part 2A – A customized 2A describing services, fees, and disclosures, tailored to your business model, compliant with jurisdictional requirements, and branded with your logo.

Form ADV Part 2B (for one representative) – Prepared for executive officers or advisers working with clients, capturing employment, education, conflicts, and disciplinary background.

Form ADV Part 3 (Form CRS) – A plain-English, client-facing relationship summary designed to SEC standards and delivered in a compliant, two-page-max format.

Form U4 (for one representative) – Completed and filed through FINRA’s WebCRD system with accurate employment, background, and disclosure details, feeding directly into the SEC’s public IAPD database.

Beyond these core filings, Comply can create state-specific documents your regulators may require, and manage all correspondence with examiners – including responding to deficiency letters to keep your application moving.