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Enterprise RIA Compliance Management

Cloud-Based Proactive Compliance Management

for Medium to Enterprise RIAs & Networks

Our advanced compliance software solutions serve both complex compliance organizations and small RIA compliance teams. The SmartRIA platform is designed to address the needs of compliance consultants, compliance officers, operations teams, investment advisors, wealth and asset managers, and the staff who support them. SmartRIA helps firms like yours thrive.

How a Culture of Compliance can Help Your Firm

Build a culture of compliance.

Cultivating internal compliance procedures and habits helps reduce human error and oversight and keep you worthy of the faith your clients have put in you.

How to Hire a CCO to Manage RIA Compliance

Streamline compliance operations.

The comprehensive SmartRIA platform is a powerful RIA compliance management tool that is already assisting more than 1,400 firms in simplifying and maintaining their compliance while enjoying our refreshing Software as a Partnership™ customer service.

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Stay audit ready.

Use SmartRIA to implement solid documentation strategies and a culture of compliance to ensure that your processes are the most efficient and transparent they can be.

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Be confident in your cybersecurity.

Effective cybersecurity programs require ongoing review and testing. Be confident that your cyber-defense policies and operations will protect the sensitive client data your firm is entrusted with through professional testing and compliance documentation.

SEC Penalties Will Increase Due to Inflation

SEC Penalties Will Increase Due to Inflation

It's not just eggs and milk that are getting more expensive. In one of the regulator’s first notices in 2022, ...
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SEC Policy Shifts Include Potential Admissions of Wrongdoing

SEC Policy Shifts Include Potential Admissions of Wrongdoing

Gurbir Grewal, the new director of the Division of Enforcement for the SEC, signaled several potential changes in the SEC’s ...
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What is RegTech and How Can It Help RIAs

Alert: NASAA Annual Enforcement Report Released

The North American Securities Administrators Association (NASAA) published its annual enforcement report on Sept. 29. In the report, state securities ...
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Need a solution that oversees hundreds of professionals and grows with you? SmartRIA is the most scalable RIA compliance management platform in our industry.