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We simplify RIA compliance.

In fact, our compliance software is so good at solving

compliance problems for RIAs, our customers tell us

we’re a strategic advantage that helps them grow.

Ready to enhance your compliance program?

Get the all-in-one platform that can be learned in a day.

Prepared for cyber-threats to your firm or vendors?

Implement top-tier data processes with our cyber-prepared program.

Breaking away from a firm to register a new RIA?

Our expert compliance consultant partners are the key to your success.

Looking for compliance consulting services?

Our trusted consultants strengthen your compliance management.

Our advanced compliance software solutions serve both complex compliance organizations and small RIA compliance teams. Specifically 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.

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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.

SmartRIA Risk Alert

SEC Risk Alert Gives Advice to Private Fund Advisers

On June 23, 2020, the SEC published a Risk Alert, which summarized compliance issues discovered during hundreds of examinations of ...
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Ellie working from home

7 Easy Steps to RIAs Working Remotely Without Cybersecurity Risk

When we’re all still stuck at home due to the COVID 19 pandemic, the last thing we need to add ...
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SRIA-COVID-UPDATE

Coronavirus Update

Hello, friends. I hope this coronavirus update from SmartRIA finds you healthy and safe at home. I'm writing to let ...
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Compliance doesn't have to suck.