Since our inception in 2016, SmartRIA’s mission has been to be the best software company in the world at simplifying compliance for wealth managers. It’s a tall order, but one that we believe is incredibly important, as wealth managers have significant regulatory burdens that need to be made achievable, while also ensuring the regulations’ purpose is maintained: the protection of our personal wealth.

Towards this end, we have been working across 3 fronts:

  1. Solving more and more compliance problems inside a single platform
  2. Making our software super easy to use and to navigate so “what should I do next” is always self evident
  3. Backing up our products with a strong commitment to personalized customer service

Today, I’m pleased to announce that SmartRIA has achieved a new higher level of success in all three of our primary goals.

1. Solving More RIA Compliance Problems in SmartRIA Than Anywhere Else

Through our smart integrations with other industry-leading platforms like Black Diamond, SmartRIA Pro™ is able to help RIAs to oversee and fully document their fiduciary duty to clients with alert features for high cash balances, trading infrequency and account performance, among others.

We also have added 3 new modules to SmartRIA Pro:

  • SmartRIA Archive™ for email oversight and archiving (to include social media and other solutions over time)
  • SmartRIA Governance™ for vendor due diligence, employee access to data, and incident reporting
  • SmartRIA Employee Trade Monitoring for automated monitoring of employee trading accounts, quarterly transaction reports and pre-clearance trade requests

With these and the long list of other features in SmartRIA Pro, we are confident we’re solving more compliance problems for our industry than any other software platform available.

2. Making SmartRIA Software Super Easy to Use

“Easy to use” is a very subjective term, and we’re well aware that many of our competitors make the same “easy to use” claim as SmartRIA. But we are not a paper tiger of easy-to-use software badassery.

Why do we care so much about ease of use? 

Because for growing RIAs to have a successful audit with the SEC, they need to have more than just the CCO involved. The entire team needs to do their part. And for that to be possible, the compliance software experience has to be as streamlined, easy-to-follow and quick to get things done as possible.

Our constant, passionate focus on usability helps you to establish a culture of compliance that should kick off most exams on the right foot with your auditor.

Here are a few SmartRIA usability highlights:

  • A robust action center with dozens of data-driven compliance action categories, but we only show you what you have to get done (hiding the rest until they’re needed)
  • You can get to any functional part of the software in 1 or 2 clicks
  • Our reports are designed to be able to be haded off directly to auditors, saving your compliance team days or even weeks of time on audit prep
  • Integrations with many of your favorite software vendors are designed to minimize double work

3. Software as a Partnership® (Great Customer Service)

SmartRIA Knowledge BaseGreat customer service can be difficult to achieve, but we see it as critical to our success and to the success of our customers. We don’t claim to be perfect, but we’ll always work to make our customers happy. Everyone on the SmartRIA team is empowered to help customers from the CEO on down.

Here are a few SmartRIA customer service highlights:

  • We only hire people who care so we can be sure that anyone who you speak with will be ready and willing to help, and eager to solve your problems
  • We actively listen to customer feedback and use that information to continuously improve our software (see our success above with our first 2 goals)
  • We have live customer service via live chat, email and phone
  • We have a robust Knowledge Base that we regularly update with new features and how-to articles

I could go on, but I hope I’ve made this point: we truly have reason to believe we have a best-in-class RIA compliance software platform, because we’ve worked incredibly diligently to make it so. I invite you to reach out to us so you can see for yourself why we believe we can officially declare our “Awesome Compliance Software” goal: Mission Accomplished!

Wishing you and yours well, safe and productive,

Mac Bartine
CEO of SmartRIA

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