SmartRIA’s compliance software platform drives efficiency and produces results for RIA compliance consultants and simplifies compliance for their clients.
Simplifying RIA Compliance
Transform your existing processes into simple tasks your clients can complete in just three clicks.
SmartRIA gives you a centralized platform to deliver compliance calendars, forms, and checklists to clients that were previously sent by email, postal mail, or delivered by hand. Your clients access a simple, easy-to-use platform to complete compliance work. You gain efficiency, continuous oversight through the platform, and time for more engaged client relationships.
Organize, manage, and execute your compliance services with a single platform.
SmartRIA allows consultants to streamline tasks for 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.
Modernize your business model with a platform that’s synergistic for you and your clients.
RIA consultants can generate greater ROI by providing advanced compliance support for clients while spending less time and money on filing and tracking compliance records. Our built-in library of RIA compliance forms and calendars helps you get started quickly. Or you can create a custom form library with our form wizard module. Our Smart Alert System quickly identifies clients with compliance issues so you can provide faster, more personalized services.