26 October 2016 Archives

October 26, 2016

Amy Easterly
Insider

SmartRIA Featured on FA Magazine Blog

SmartRIA’s founder Roger Kiger was featured today in an interview on Financial Advisor Magazine’s blog. The interview explores how Mr. Kiger went from principal of a wealth management firm to a technology entrepreneur by creating RIA compliance software to manage his firm’s needs.

Software to Replace Your Investment Advisor Compliance Checklist

October 26, 2016

Amy Easterly
Compliance Errors

Software to Replace Your Investment Advisor Compliance Checklist

Are you using a simple checklist to keep track of your RIA compliance requirements? If so, you might not be covering all of the complex documents and tasks vital to the health of your business. Compliance can quickly become overwhelming without the right tools to support your processes.