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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
AAC Compliance Group
Steele
ComplyPort
MCO
As Seen In
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Wealth Management
jim_cullen
My clients that use Smart RIA really feel good about compliance

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

BillNelsonEdit1-0001
Smart RIA has revolutionized my practice; my time spent on compliance reviews has decreased over 30% since adopting the software.  By loading the compliance tasks...

Bill Nelson, Founder
Pacesetter Planning

Michael Simpson
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

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

vern-bell
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)

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

Testimonial Rule and Social Media Intersect in Recent Enforcement Actions
Smart RIA 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…
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Compliance Budgets Up by 9%, But CCOs Say The Real Cost is TimeCompliance Budgets Up by 9%, But CCOs Say the Real Cost is Time
Smart RIA 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…
READ MORE
Manage More Clients in Less Time with This RIA Software ToolManage More Clients in Less Time with this RIA Software Tool
Smart RIA 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…
READ MORE

Smart RIA Compliance Software

Smart RIA 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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