Simplifying Compliance for RIAs

Smart RIA 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.

Trusted By

As Seen In

Smart RIA 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

Smart RIA 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)

Smart RIA 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.

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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Smart RIA'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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Smart RIA Compliance Software

Smart RIA compliance software has been serving independent RIAs and hybrid firms for over a year. 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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New Firms and Breakaways

Cost savings, structure and efficiencies needed by new RIAs to become and remain independent.

Chief Compliance Officers

CCO role including audit preparation, customizable compliance calendar, data-driven automated deficiency alerts.

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See how Smart RIA software makes managing day to day operations easy, and staying compliant a snap.