RIA in a Box Launches New Platform to Address Unique Regulatory...

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RIA in a Box Launches New Platform to Address Unique Regulatory Requirements Faced by Private Fund Advisers

By CFO Tech Outlook | Wednesday, October 07, 2020

The company's new platform builds on the expertise of its affiliate, Gordian Compliance, a boutique compliance consulting firm that has provided specialized private fund compliance support since 2011.

FREMONT, CA: Leading Provider of compliance and registration solutions for wealth managers and investment organizations, RIA in a Box, announced the launch of a new platform to address the unique regulatory requirements faced by private fund advisers, including venture capital, private equity, and hedge fund managers. The new private fund platform provides tools to manage and automate their compliance processes and streamline regulatory filings, saving personal fund advisers time and money, and providing them the reassurance they are meeting all compliance requirements. The new platform is designed for SEC-registered private fund advisers and exempt reporting advisers (ERAs).

"Private fund advisers have been pressed to navigate an ever changing and increasingly complex regulatory environment. They have been forced to piecemeal together a solution using either incomplete technology or expensive consulting support. They worry they are missing critical requirements or are spending too much," said Chris DiTata, senior vice president at RIA in a Box. "Much like we've changed how over 2,000 wealth managers meet and document their compliance requirements, we are extremely excited to bring this same capability to the private fund industry today."

The company's new platform builds on the expertise of its affiliate, Gordian Compliance, a boutique compliance consulting firm that has provided specialized private fund compliance support since 2011. Drawing on Gordian's knowledge in the private fund arena, the new private fund platform is designed to streamline the personal fund adviser registration process, automate the myriad of required regulatory filings, and help implement a robust compliance program designed to address all the critical compliance requirements highlighted in the SEC's recent private fund adviser risk alert.

Fund managers that utilize the new private fund platform will gain access to a full range of tools to help them meet their compliance requirements, as well as a team of experienced private fund compliance consultants ready to help them navigate an ever-changing regulatory environment. The platform's capabilities include form PF filings, Blue Sky and form D filings, risk assessment tool, private fund inventory, and customized personal fund adviser in compliance policies and procedures.

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