RIA in a Box Launches Compliance Software for Private Funds

Private fund advisors finally have software to support their unique compliance needs

RIA in a Box, a leading provider of compliance and registration solutions for wealth managers and investment organizations, announced it has launched 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 private fund advisers time and money, and providing them reassurance they are meeting all compliance requirements. The new platform is designed for SEC-registered private fund advisers and exempt reporting advisers (ERAs).

The new platform builds upon the expertise of RIA in a Box’s 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 private fund adviser registration process, automate the myriad of required regulatory filings, and help implement a robust compliance program designed to address all the key compliance requirements highlighted in the SEC’s recent private fund adviser risk alert.

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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. Platform capabilities include:

  • Form PF Filings – An online module that helps streamline the information gathering process to facilitate the Form PF filings required for SEC-registered private fund advisers.
  • Blue Sky and Form D Filings – An online tool that enables private fund advisers to more easily review limited partner information and initiate required Blue Sky or Form D Filings.
  • Risk Assessment Tool – The ability to review and document specific private fund adviser compliance risks areas as identified in the recent SEC risk alert in order to help implement any necessary compliance program changes.
  • Private Fund Inventory – An overview of the funds managed by the adviser as disclosed on the adviser’s Form ADV, including detailed information and relevant compliance alerts for each fund.
  • Customized Private Fund Adviser Compliance Policies and Procedures – A tailored compliance manual can be created for private fund advisers via a team of compliance consultants with extensive private fund compliance experience.

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“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.”

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