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.

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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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My clients that use Smart RIA really feel good about compliance

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

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

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 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.

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

OCIE Reveals Cash Solicitation Rule Compliance Issues

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…

Same SEC Document Production List

Supervision of Investment Adviser Representatives

Smart RIA Compliance Software

Learn More About Smart RIA Software