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Ratings and Reviews 0 Ratings
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What is RIA in a Box?
RIA in a Box is a comprehensive compliance management tool tailored specifically for Registered Investment Advisers (RIAs), enabling them to efficiently oversee and fulfill their regulatory duties in accordance with both SEC and state regulations. This innovative platform consolidates essential compliance functions into an intuitive interface, which features a customizable compliance calendar and an integrated log that is already populated with best practice suggestions. It automates vital processes such as registration and filing, including the creation of key documents like Form ADVs and Codes of Ethics. The platform also offers extensive archiving capabilities for communications across email, social media, and websites, all while providing advanced filtering and review functionalities. In addition, it facilitates a guided annual review process that adheres to SEC Rule 206(4)-7, integrates structured risk assessments tied to compliance policies, and includes monitoring tools for employee activities, encompassing trading, outside business engagements, and attestations. In addition to these features, the solution integrates a robust cybersecurity compliance component based on the NIST framework, ensuring that vendor due diligence is thoroughly managed. This all-in-one platform not only streamlines compliance efforts for RIAs but also significantly enhances their ability to navigate the complexities of regulatory demands. By leveraging this solution, RIAs can focus more on their core business activities while maintaining a high standard of compliance.
What is Archive Intel?
Archive Intel is an advanced software solution that employs artificial intelligence to optimize the archiving of client communications, focusing on precision and ease of use. It allows for the seamless collection of diverse communication types, including emails, iMessages, texts, social media exchanges, websites, and other off-channel messages. This platform enables users to meet regulatory standards with efficiency, leveraging the sophisticated capabilities of AI technology. Crafted by specialists who understand the challenges faced by advisors in regulatory compliance, Archive Intel offers a user-friendly workflow paired with a modern interface, significantly improving the overall user experience while delivering considerable time and cost efficiencies for firms. Designed from the ground up to comply with SEC Rule 204-2 and 17A-4, the platform guarantees thorough adherence to regulatory requirements. Archive Intel effectively captures and retains all types of communications, such as iMessages, WhatsApp messages, texts, emails, social media interactions, and off-channel correspondence. Furthermore, the system includes complimentary export options and rapid reporting capabilities, equipping users with essential tools to adeptly manage compliance obligations while ensuring a smooth workflow. This exceptional combination of features positions Archive Intel as an essential tool for any organization aiming to enhance its communication archiving strategy while simplifying the compliance process, ultimately fostering organizational efficiency and effectiveness.
Integrations Supported
Bloomberg
Facebook
Gmail
Instagram
LinkedIn
Microsoft Outlook
Microsoft Teams
MyRepChat
RingCentral RingCX
Slack
Integrations Supported
Bloomberg
Facebook
Gmail
Instagram
LinkedIn
Microsoft Outlook
Microsoft Teams
MyRepChat
RingCentral RingCX
Slack
API Availability
Has API
API Availability
Has API
Pricing Information
Pricing not provided.
Free Trial Offered?
Free Version
Pricing Information
$99 per month
Free Trial Offered?
Free Version
Supported Platforms
SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux
Supported Platforms
SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux
Customer Service / Support
Standard Support
24 Hour Support
Web-Based Support
Customer Service / Support
Standard Support
24 Hour Support
Web-Based Support
Training Options
Documentation Hub
Webinars
Online Training
On-Site Training
Training Options
Documentation Hub
Webinars
Online Training
On-Site Training
Company Facts
Organization Name
COMPLY
Company Location
United States
Company Website
www.comply.com/products/ria-in-a-box/
Company Facts
Organization Name
Archive Intel
Date Founded
2024
Company Location
United States
Company Website
archiveintel.com
Categories and Features
Compliance
Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation
Categories and Features
Archiving
Access Control
Data Deduplication
Document Management
Email Archiving
Multimedia Archiving
Retention Management
Storage Management
Version Control
Web Archiving
eDiscovery
Email Archiving
Access Control
Backup Management
Compliance Management
Data Deduplication
Data Export
Encryption
Retention Management
Storage Management
Threat Protection
eDiscovery