SmartRIA - RIA Compliance Software and Services

RIA Compliance Software and Consulting Services

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Compliance can be time-consuming and stressful. We simplify it and keep you audit-ready.
Our easy-to-use compliance software for teams includes fiduciary oversight, books and records, trade monitoring and vendor due diligence. With our RIA Registration and Compliance Consulting Services, RIAs now have an all-in-one compliance resource that is comprehensive, easy-to-use, and effective.

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Tired of using a hodgepodge of paper and technology, and still wondering if your firm is doing everything it can to stay compliant?

We were doing the same thing as an RIA back in 2016. We knew there was an easier way. That’s why we started SmartRIA.

Firms, large or small, now have the confidence to handle compliance with learn-in-a-day, intuitive dashboards that let each person know their specific compliance requirements while keeping the firm up to date.

Designed with a simple, easy-to-navigate interface, our software combines robust reporting and alerts with trade monitoring, workflows, unlimited file storage, and a complete compliance form library that can be tailored to meet your needs. Save hours per month, build a culture of compliance, and be audit-ready with the SmartRIA software.

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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

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 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

My clients that use SmartRIA really feel good about compliance

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

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