SmartRIA is a leading compliance software platform for RIAs, hybrid RIAs and RIA networks. The firm's software excels at making the complex and often frustrating world of regulatory compliance simple to manage and easy to understand. SmartRIA's unique roles for compliance consultants and distributed management of large corporations make its solution able to handle any compliance problem for any sized company. SmartRIA provides a scalable, compliance-driven platform for independent wealth managers. For firms of all sizes, we combine more compliance solutions in a single platform, and we continue to make the compliance experience easy to understand and manage. We provide centralized oversight and management of large firms, networks and compliance consulting. More than 2,000 RIAs with over $300 billion in assets under management use SmartRIA to be fully ready for their next regulatory exam.
SmartRIA Pro® Platform
SmartRIA Pro® Platform is a best-in-class, software-as-a-service (SaaS) all-in-one compliance platform for RIAs. The platform provides a comprehensive list of cloud-based, proactive and on-demand compliance tools to our 2,300 + customers to fully prepare them to address their next regulatory exam or audit including 1. Oversight Reporting, 2. Employee Trade Monitoring, 3. Compliance Calendar 4. Alerts 5. Quick Access Forms 6. Code of Ethics surveillance workflows. Built for today’s compliance environment and constantly updated to match the requirements of regulators, SmartRIA clients are able to get a 360-degree view of their compliance processes from one centralized dashboard. Well-respected industry leaders Michael Kitces and Allen Moore/XY Planning Network, Shirl Penny/Dynasty Financial Partners, and Brian Hamburger/MarketCounsel choose SmartRIA as their compliance solution.