Centralize, automate, and scale your SEC/FINRA compliance program with our award-winning software.
Centralize, automate, and scale your SEC/FINRA compliance program with our award-winning software.
Centralize, automate, and scale your SEC/FINRA compliance program with our award-winning software.
Trusted by thousands of RIAs, CCOs, and compliance consultants.
Built by an RIA for RIAs, Smartria has been the industry leader for 8 years. We still have customers from the jump!
Trusted by thousands of RIAs, CCOs, and compliance consultants.
Built by an RIA for RIAs, Smartria has been the industry leader for 8 years. We still have customers from the jump!
Trusted by thousands of RIAs, CCOs, and compliance consultants.
Built by an RIA for RIAs, Smartria has been the industry leader for 8 years. We still have customers from the jump!
Compliance, optimized.
Pre-configured for SEC and FINRA rules and regulations out of the box, Smartria can be customized to meet your firm’s specific needs.
Compliance Management
Easily stay in compliance every day, not just at audit time. Tasks, forms, deadlines, alerts, and reminders.
Marketing Reviews
Streamline reviews of marketing materials and save hours each week while automatically keeping records of all rejections and approvals.
Employee Attestations
Automatically record employee attestations of your firm’s code of ethics, outside business activities, personal holdings, political activities, insider relationships, and more!
Trade Monitoring
Satisfy both Know Your Client (KYC) and Know Your Employee (KYE) requirements with Smartria’s trade monitoring solution, which supports customized trade rules, pre-clearance, and front-running alerts.
Vendor Management
Choose from our curated vendor list or add your own, and track security certifications, vendor attestations, and incidents all in one place.
And much more!Book a Demo
Compliance, optimized.
Pre-configured for SEC and FINRA rules and regulations out of the box, Smartria can be customized to meet your firm’s specific needs.
Compliance Management
Easily stay in compliance every day, not just at audit time. Tasks, forms, deadlines, alerts, and reminders.
Marketing Reviews
Streamline reviews of marketing materials and save hours each week while automatically keeping records of all rejections and approvals.
Employee Attestations
Automatically record employee attestations of your firm’s code of ethics, outside business activities, personal holdings, political activities, insider relationships, and more!
Trade Monitoring
Satisfy both Know Your Client (KYC) and Know Your Employee (KYE) requirements with Smartria’s trade monitoring solution, which supports customized trade rules, pre-clearance, and front-running alerts.
Vendor Management
Choose from our curated vendor list or add your own, and track security certifications, vendor attestations, and incidents all in one place.
And much more!Book a Demo
Compliance, optimized.
Pre-configured for SEC and FINRA rules and regulations out of the box, Smartria can be customized to meet your firm’s specific needs.
Compliance Management
Easily stay in compliance every day, not just at audit time. Tasks, forms, deadlines, alerts, and reminders.
Marketing Reviews
Streamline reviews of marketing materials and save hours each week while automatically keeping records of all rejections and approvals.
Employee Attestations
Automatically record employee attestations of your firm’s code of ethics, outside business activities, personal holdings, political activities, insider relationships, and more!
Trade Monitoring
Satisfy both Know Your Client (KYC) and Know Your Employee (KYE) requirements with Smartria’s trade monitoring solution, which supports customized trade rules, pre-clearance, and front-running alerts.
Vendor Management
Choose from our curated vendor list or add your own, and track security certifications, vendor attestations, and incidents all in one place.
And much more!Book a Demo
Solutions for every stage of growth.
Boutique
Smartria makes it easy and cost effective for new and small RIA firms to stay in compliance.
Growth
Growing RIA firms love Smartria’s automated employee onboarding and cost-efficient scaling.
Enterprise
Thousands of employees? Smartria has you covered with SOC 2 security, branch management, and other enterprise features.
Solutions for every stage of growth.
Boutique
Smartria makes it easy and cost effective for new and small RIA firms to stay in compliance.
Growth
Growing RIA firms love Smartria’s automated employee onboarding and cost-efficient scaling.
Enterprise
Thousands of employees? Smartria has you covered with SOC 2 security, branch management, and other enterprise features.
Leading consulting firms leverage Smartria to manage their clients’ compliance programs.
With multi-client access, content publishing, and in-app communications, dozens of the industry’s top compliance consulting firms use Smartria to power their businesses.
Are you a compliance consultant? Let's talk!
Leading consulting firms leverage Smartria to manage their clients’ compliance programs.
With multi-client access, content publishing, and in-app communications, dozens of the industry’s top compliance consulting firms use Smartria to power their businesses.
Are you a compliance consultant?
Supercharge your compliance operations.
For RIAs, time is trust. Smartria gives you back both.
Automate hours of your week.
Spend far less time on compliance with our automated workflows. New employee onboarding? Check. Regulatory filings? Check. Any compliance process you want to automate? Check, check, and check. Smartria is completely customizable to your firm’s needs.
Supercharge your compliance operations.
For RIAs, time is trust. Smartria gives you back both.
Automate hours of your week.
Spend far less time on compliance with our automated workflows. New employee onboarding? Check. Regulatory filings? Check. Any compliance process you want to automate? Check, check, and check. Smartria is completely customizable to your firm’s needs.
Join industry leaders leveraging the industry leader.
Leading RIA firms, their chief compliance officers, and compliance consultants trust Smartria with their compliance program management, record retention, and other compliance requirements. Why? We’ve been reliably delivering easy-to-use, highly configurable, and purpose-built software for almost a decade.
Join industry leaders leveraging the industry leader.
Leading RIA firms, their chief compliance officers, and compliance consultants trust Smartria with their compliance program management, record retention, and other compliance requirements. Why? We’ve been reliably delivering easy-to-use, highly configurable, and purpose-built software for almost a decade.
Turn compliance into a strategic advantage.
Originally built by an RIA, Smartria is laser-focused on the compliance needs of registered investment advisors. We’re not distracted by other industries or features that don’t matter to RIAs. We’re here for RIAs. After all, RIA is in our name.
Turn compliance into a strategic advantage.
Originally built by an RIA, Smartria is laser-focused on the compliance needs of registered investment advisors. We’re not distracted by other industries or features that don’t matter to RIAs. We’re here for RIAs. After all, RIA is in our name.
Create a culture of compliance.
With access and activity logging for every employee, together with robust reporting, prove beyond a shadow of a doubt that your firm takes compliance very seriously. With full employee participation, audits are easier, less costly, and lead to favorable outcomes.
Create a culture of compliance.
With access and activity logging for every employee, together with robust reporting, prove beyond a shadow of a doubt that your firm takes compliance very seriously. With full employee participation, audits are easier, less costly, and lead to favorable outcomes.
Compliance with confidence.
Smartria has your back.
Customer success team
U.S.-based
Our customer success team has been providing white-glove, award-winning support for years.
Built on proven infrastructure
SOC 2 compliant
At Smartria, data security is a first principle, and our cloud-based software is highly resilient.
Compliance with confidence.
Smartria has your back.
Customer success team
U.S.-based
Our customer success team has been providing white-glove, award-winning support for years.
Built on proven infrastructure
SOC 2 compliant
At Smartria, data security is a first principle, and our cloud-based software is highly resilient.
Compliance with confidence.
Smartria has your back.
Customer success team
U.S.-based
Our customer success team has been providing white-glove, award-winning support for years.
Built on proven infrastructure
SOC 2 compliant
At Smartria, data security is a first principle, and our cloud-based software is highly resilient.
“Smartria’s compliance management platform fulfills a critical need for Ritholtz Wealth Management. With only a very small compliance team, we are able to efficiently scale our compliance program to all employees.”
-- Patricia Hatzfeld, Chief Compliance Officer
