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Simplifying Compliance for RIAs

SmartRIA software with our proprietary Advisor Alert technology combines back office efficiencies with Federal and State compliance to offer an all-in-one RIA management platform that helps you to remain audit ready and manage your business while saving time and money.
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SmartRIA compliance software can help.
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jim_cullen
My clients that use SmartRIA really feel good about compliance

Jim Cullen,
President & Senior Compliance Consultant
Financial Planners Assistance Corp

BillNelsonEdit1-0001
SmartRIA has revolutionized my practice; my time spent on compliance reviews has decreased over 30% since adopting the software.  By loading the compliance tasks and...

Bill Nelson, Founder
Pacesetter Planning

Patrick King, Founder Transformative Financial
The state registration alert is a great feature, by the way! This really is a wonderful product and has been a lifesaver for me.

Patrick King, Founder
Transformative Financial
www.transformative-financial.com

Michael Simpson
SmartRIA has served to take the compliance "monkey" off of my back. It is very intuitive.

Michael Simpson, CFP®, Financial Advisor & Investment Advisor Representative
Visionary Horizons Wealth Management

John Pollock, Chief Executive Officer of Financial Gravity Companies, Inc.
SmartRIA takes compliance, organization, and implementation to an impressive caliber.

John Pollock
Chief Executive Officer of Financial Gravity Companies, Inc.
Chief Compliance Officer of Financial Gravity Wealth, Inc.

vern-bell
SmartRIA has made an enormous difference in my practice. The software is easy to understand and support has been first-rate.

Vern Bell, President
Texas Elite Advisory (TEA)

There is a good amount of customization that can be done based on your needs.

Adam W., CCO and Managing Principal for Independent RIA

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Latest Posts

RIA Compliance 101RIA Compliance 101
Being a registered investment advisor isn’t easy. You may have chosen this profession because you have great business and investment sense, a drive to help others manage their wealth, and a desire to build a solid financial foundation of your own. But working in this industry also requires strict adherence to a slew of complex…
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How to Hire a CCO to Manage RIA ComplianceSEC Issues Risk Alert Dealing with Regulation S-P Privacy Notices & Safeguard Policies
  On April 16, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert dealing with Regulation S-P, which is the Commission’s primary rule governing privacy notices and the safeguarding policies of Registered Investment Advisers (RIAs), as well as broker-dealers. The Risk Alert guidance is derived from recent examinations of RIAs…
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Software to Replace Your Investment Advisor Compliance ChecklistSS&C’s Black Diamond Wealth Platform and SmartRIA Announce Integration Partnership to Streamline Compliance Surveillance
SmartRIA today announced an integration with SS&Cs’ Black Diamond Wealth Platform to significantly streamline the surveillance of compliance activities for well-established RIA firms. The direct connection between the two systems allows RIA firms to use Black Diamond data within SmartRIA. The shared data creates a 360-degree view of client households, which facilitates surveillance of mission…
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SmartRIA Compliance Software

SmartRIA compliance software has been serving independent RIAs and hybrid firms since 2011. Our software offers RIAs the most robust, comprehensive software on the market for helping independent wealth managers to grow their business and stay independent while maintaining compliance with federal and state regulations. We take pride in our focus on supporting independent business owners, and love seeing our customers succeed and grow with our software and services.

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