SmartRIA Compliance Software

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 compliance platform that helps you to remain audit-ready and manage your business while saving time and money.
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SmartRIA's Core Features

Separate dashboards for Advisor, CCO and Support Staff roles so everyone quickly sees their own most important tasks.
Data structure for RIAs and RIA hybrid firms. Integrates with your CRM.
Integrated secure document storage, structured to organize compliance and practice management.
Compliance alerts inform you of any tasks that need to be completed, or deficiencies corrected.
Suitability documentation.

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My clients that use SmartRIA really feel good about compliance

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

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

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

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

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.

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

SmartRIA 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…

RIA 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…

How to Hire a CCO to Manage RIA Compliance

SEC 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…