RIAs ♥ SmartRIA
Of course, we think our software is awesome. But most important is what our customers have to say.
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SmartRIA has revolutionized my practice; my time spent on compliance reviews has decreased over 30% since adopting the software. By loading the compliance tasks and reviews in my compliance manual to SmartRIA, I've been able to systematize my compliance reviews to make sure nothing slips through the cracks. Not to mention, it's provided me with one centralized location for all of my review documents. If and when I am ever audited, I'll have all the information we need in one place. Compliance for RIA owners is typically viewed as a headache (at best...). SmartRIA solves that problem by making compliance intuitive, straightforward, and systematic.
The most impactful functionality of this software includes a customizable compliance calendar where alerts can be managed for all employees/advisors and custom forms that can be created to capture critical information including the ability to upload/attach supporting files. Smart-RIA is our one-stop-shop for all things compliance.
SmartRIA has made an enormous difference in my practice. The software is easy to understand and support has been first rate. A key feature for me is the ability to keep all my client records in one safe cloud-based platform. The software is flexible enough for me to migrate my existing paper files while it keeps me on track with my new clients and with critical compliance activities. I've seen compliance literally kill other RIAs. SmartRIA is the solution for those who will apply it diligently. Because of SmartRIA I'm no longer losing sleep over my next state compliance examination.SmartRIA takes compliance, organization, and implementation to an impressive caliber.
SmartRIA has served to take the compliance "monkey" off of my back. It is very intuitive and speaks clearly to the advisor from an advisor's perspective. The structure and functionality clearly shows the influence of a seasoned financial professional. This is not just another generic, off-the shelf, solution. It allows me to concentrate on my true responsibility - helping my clients achieve their financial goals while ensuring that I am in compliance and am able to help them well into the future as a result. Beyond the compliance aspect, the software does a good job regarding practice valuation, providing business continuity and succession planning. I have not found any other alternative in the market today that incorporates all of these tools in one package. I highly recommend this solution.
The state registration alert is a great feature, by the way! This really is a wonderful product and has been a lifesaver for me.
We love this software and our multiple Advisors have been praising it left and right. SmartRIA takes compliance, organization, and implementation to an impressive caliber. It is rare to find a software that is so functional for all Advisors and firms. We are impressed and amazed with how onboarding with SmartRIA has alleviated the heavy, time consuming compliance weight into an automated, simple, interactive, and effective solution.
What I like is how easy it is to use not only for the compliance department but also for employees. It is an excellent tool that guides us to comply with regulations.
We went through an SEC Audit and the access controls and vendor due diligence saved us so much time in reporting for the SEC. Huge help in a stressful time.
Revolutionary
SmartRIA has revolutionized my practice; my time spent on compliance reviews has decreased over 30% since adopting the software. By loading the compliance tasks and reviews in my compliance manual to SmartRIA, I've been able to systematize my compliance reviews to make sure nothing slips through the cracks. Not to mention, it's provided me with one centralized location for all of my review documents. If and when I am ever audited, I'll have all the information we need in one place. Compliance for RIA owners is typically viewed as a headache (at best...). SmartRIA solves that problem by making compliance intuitive, straightforward, and systematic.
Bill Nelson, CFP®, CSLP®, Founder
Pacesetter Planning
One-Stop-Shop for Compliance
The most impactful functionality of this software includes a customizable compliance calendar where alerts can be managed for all employees/advisors and custom forms that can be created to capture critical information including the ability to upload/attach supporting files. Smart-RIA is our one-stop-shop for all things compliance.
Tyler McMurray, Compliance and Operations Manager
Visionary Horizons, LLC
Impressive & Flexible Solution
SmartRIA has made an enormous difference in my practice. The software is easy to understand and support has been first rate. A key feature for me is the ability to keep all my client records in one safe cloud-based platform. The software is flexible enough for me to migrate my existing paper files while it keeps me on track with my new clients and with critical compliance activities. I've seen compliance literally kill other RIAs. SmartRIA is the solution for those who will apply it diligently. Because of SmartRIA I'm no longer losing sleep over my next state compliance examination.SmartRIA takes compliance, organization, and implementation to an impressive caliber.
Vern Bell, President
Texas Elite Advisory (TEA)
Concentrate on Your Clients
SmartRIA has served to take the compliance "monkey" off of my back. It is very intuitive and speaks clearly to the advisor from an advisor's perspective. The structure and functionality clearly shows the influence of a seasoned financial professional. This is not just another generic, off-the shelf, solution. It allows me to concentrate on my true responsibility - helping my clients achieve their financial goals while ensuring that I am in compliance and am able to help them well into the future as a result. Beyond the compliance aspect, the software does a good job regarding practice valuation, providing business continuity and succession planning. I have not found any other alternative in the market today that incorporates all of these tools in one package. I highly recommend this solution.
Michael Simpson, CFP®, Financial Advisor & Investment Advisor Representative
Visionary Horizons Wealth Management
A Lifesaver
The state registration alert is a great feature, by the way! This really is a wonderful product and has been a lifesaver for me.
Patrick King, Founder
Transformative Financial
Impressed & Amazed
We love this software and our multiple Advisors have been praising it left and right. SmartRIA takes compliance, organization, and implementation to an impressive caliber. It is rare to find a software that is so functional for all Advisors and firms. We are impressed and amazed with how onboarding with SmartRIA has alleviated the heavy, time consuming compliance weight into an automated, simple, interactive, and effective solution.
John Pollock
Chief Executive Officer of Financial Gravity Companies, Inc.
Chief Compliance Officer of Financial Gravity Wealth, Inc.
Excellent tool for a family office
What I like is how easy it is to use not only for the compliance department but also for employees. It is an excellent tool that guides us to comply with regulations.
Veronica Pinto, Family Wealth Advisor
Wealth Solutions
SEC Exam
We went through an SEC Audit and the access controls and vendor due diligence saved us so much time in reporting for the SEC. Huge help in a stressful time.
Michael Greene, VP of Operations
Highland Private Wealth Management
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