How to Guide: Setting up & Using RIA in a Box Integration

CircleBlack’s integration with RIA in a Box (RIAB) allows Firms and Advisors using CircleBlack to simplify their compliance processes. Specifically, the RIAB integration primarily focuses on ensuring firms and advisors maintain the appropriate licenses, registrations, and certifications required to provide investment advice. At a high level, CircleBlack’s integration with RIAB has two main features:

• Compliance Officers and Advisors can link their CircleBlack and RIAB credentials to enable SSO and iframe

• Once credentials are linked, to-do items from RIA in a Box will populate into the Tasks Tile on the user’s CircleBlack dashboards. Clicking a Task will open the RIA in a Box iframe to enable the user to complete the task.

RIA in a Box Sign-In

Firm Manager with Compliance & Compliance Officer sign-in experience:

• In the CircleBlack top navigation bar, select the ‘Compliance’ tab

• Click the ‘RIA in a Box’ option

• Enter your credentials, and you’re ready to go!

Firm Manager & Advisor sign-in experience:

• Use the gear icon in the upper right corner of the CircleBlack platform to open the Integrations page

• Click on the RIA in a Box logo

• Enter your credentials, and you’re ready to go!

Using RIA in a Box

For Compliance users, from the Compliance tab, click the “RIA in a Box” option. You will be logged in and RIAB will be “i-framed” within CircleBlack. For non-Compliance users, click on the gear icon in the upper right corner, click the Integrations option, and then click the RIAB logo.

Once you’re connected, CircleBlack will pull in and display your RIAB activities in your CircleBlack Dashboard Tasks Tile.

• If you click on a Calendar Task (with a date), CircleBlack will log you in to the RIAB Calendar page

• If you click on a To-Do Task (with no date), CircleBlack will log you in to the RIAB To Do page