Smart RIA would like to thank Ara Jabrayan of RIA Compliance Group for this guest post. On July 10, 2018, the SEC settled enforcement actions brought against two SEC-Registered Investment Advisers (RIAs), three Investment Adviser Representatives (IARs), and a marketing consultant, for their involvement in violating the Testimonial Rule using social media and the Internet. Rule 206(4)-1(a)(1) under the Investment Advisers Act sets forth what types of advertisements are prohibited. The rule prohibits express or implied testimonials. Although the word
Read More
Release Notes for November 2017
Smart RIA is always working to improve our products and services to make sure our users have the best experience with our software. Here’s what we did to update our software in November. If you have features you’d like us to add, let us know. We’d love to hear from you. We’re very excited about our new Advanced Compliance module, which will be fully available in Q1 of 2018 – more about its associated purpose and functionality soon! New Features: Added: Enhancements to
Read More
Smart RIA Featured on FA Magazine Blog
Smart RIA’s founder Roger Kiger was featured today in an interview on Financial Advisor Magazine’s blog. The interview explores how Mr. Kiger went from principal of a wealth management firm to a technology entrepreneur by creating RIA compliance software to manage his firm’s needs.
Read More
Welcome to Smart RIA
Friends and colleagues: Thank you for taking a moment to visit us at Smart RIA, Automated Compliance Software. We are the first, and currently, the only, truly automated compliance software available on the market. For the compliance portion of our software alone, Smart RIA is a huge time, stress, and money saver for our users. We know, because we use it ourselves in our own firm!
Read More