Company Information

Get to know RIA Compliance Concepts

RIA Compliance Concepts was a compliance consulting firm dedicated to serving the needs of Registered Investment Advisers (RIAs). The firm specialized in helping RIAs navigate the complex regulatory landscape, offering services such as initial registration, ongoing compliance support, and mock regulatory audits. In 2017, RIA Compliance Concepts was acquired by RIA in a Box, a leading provider of compliance software and services. The acquisition combined RIA Compliance Concepts' expert consulting with RIA in a Box's technology platform, and the company now operates fully under the RIA in a Box brand, which continues the mission of providing comprehensive and efficient compliance solutions to the investment adviser community.

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Financial Legal ServicePRIMARY
Financial Other Service

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RIA Compliance Concepts

United States

Founded in

2017 (9 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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Regulated

Recommended

(73 reviews)

Cyprus

2009

(17 years)

Security Information :

CySEC

FSCA

DFSA

Security Information

Warning

This company is currently Unproved.

Please be cautious of the potential risks!

License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.