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Compliance Software for RIAs and Financial Services

Compliance is Complicated. Take Back Your Time. Be Audit Ready.

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Trusted By
AAC Compliance Group
Steele
ComplyPort
MCO
As Seen In
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Wealth Management
Michael Simpson
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

John Pollock, Chief Executive Officer of Financial Gravity Companies, Inc.
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.

vern-bell
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

Patrick King, Founder Transformative Financial
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

BillNelsonEdit1-0001
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

jim_cullen
My clients that use SmartRIA really feel good about compliance

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

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Latest Posts

guide to ria complianceThe Complete Guide to RIA Compliance
As a registered investment advisor, whether new or well-established, you probably hear the word “compliance” on a daily basis. But what’s the best way to maintain compliance, why should you even bother with it (okay, yes you probably already know that one), and where did it originate? These are all great questions, and lucky for…
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record revenue growth in 2019SmartRIA’s 2019 Growth Expands Comprehensive RIA Compliance Platform for 2020 and Beyond
As the most complete and comprehensive RIA compliance platform on the market, SmartRIA consistently aims to expand and adapt to meet user needs before they are even an issue. That’s exactly what our company focused on in 2019 — and with our record revenue growth, this strategy will continue to allow us to be your…
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cybersecurityCybersecurity & You: The Care and Keeping of your Cyber Compliance 
Physical robberies of financial institutions are becoming less common, but cyber attacks are only getting more common. Today, everyone understands that protecting your clients and company is paramount to staying in any financial services game. However, most decision makers of financial institutions don’t know where to start. Fortunately, the SEC has given some guidelines on…
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SmartRIA Compliance Software

SmartRIA compliance software has been serving independent RIAs and hybrid firms since 2011. 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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