Smart RIA’s compliance software platform drives efficiency and produces results for RIA compliance consultants and simplifies compliance for their clients.
Simplifying RIA Compliance
Simple.
Transform your existing processes into simple tasks your clients can complete in just 3 clicks.
Smart RIA takes the existing processes you’ve been delivering to clients via email, postal mail, or in person and gives you a centralized platform to deliver compliance calendars, forms, and checklists. Your clients experience a simple, easy-to-use platform that gets compliance work done, and you experience greater efficiency, continuous oversight, and engaged client relationships.
Efficient.
Organize, manage, and execute your compliance services with a single platform.
Smart RIA allows consultants to streamline tasks for your clients, organize documents, and comply with SEC, FINRA, or state guidelines so you can build your client list without hiring new consultants. In-app communication allows users to ask questions or give more detail, while our training videos show your clients how to complete routine self-audit checklists in less than 30 minutes a month. RIA compliance consultants can also add our mock audit module to conduct mock audits through our platform, saving travel time for you and travel expenses for your clients.
Smart.
Modernize your business model with a platform that’s synergistic for you and your clients.
RIA consultants can drive greater ROI by providing advanced compliance support while spending less time and money. Use our built-in library of RIA compliance forms and calendars to get started quickly, or create your own customized form library using our form wizard module. Our Smart Alert System quickly identifies clients with compliance issues so you can provide faster, more personalized services.