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Compliance Software for RIAs and Financial Services

Compliance is Complicated. Take Back Your Time. Be Audit Ready.

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AAC Compliance Group
Steele
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MCO
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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

cybersecurityCybersecurity & You: The Care and Keeping of your Cyber Compliance 
Physical robberies of financial institutions are becoming less common, but cyber attacks are only getting more common. Today, everyone understands that protecting your clients and company is paramount to staying in any financial services game. However, most decision makers of financial institutions don’t know where to start. Fortunately, the SEC has given some guidelines on…
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smartria-greytwist-acquisitionSmartRIA Acquires Greytwist Data Governance Solution
  The data governance platform will be integrated into SmartRIA’s compliance management solution platform to better support customers’ needs. Knoxville, TN, Sept. 9, 2019: SmartRIA and Greytwist have announced today the acquisition by SmartRIA of Greytwist Data Governance, a solution for vendor due diligence and management, personally identifiable information (PII) data governance and cybersecurity policy…
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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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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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