How to Train Your Team on New RIA Compliance Tech

Bringing on new tech for RIA compliance can be a major undertaking on top of handling the constantly-updated compliance regulations a firm must navigate. Usually any new tech is software of some kind to help make compliance easier to handle. But once you have new tech selected from a vendor, there’s another huge task. The […]

Are RIA Compliance Consultants Worth the Cost
Are RIA Compliance Consultants Worth the Cost?

“Time is money” It’s a common saying, and anyone who doesn’t believe it probably hasn’t tried to run a business. Whether you’re a professional investment advisor or the principal of an RIA firm, your time and your employees’ time can earn or cost you money, and it’s vital for you to find the balance between […]

The Department of Labor Fiduciary Rule: What You Need to Know
Department of Labor Fiduciary Rule: What You Need to Know

The Department of Labor Fiduciary Rule is set to start a year-long rollout in April 2017, placing fiduciary responsibility to act in the best interest of the client on the shoulders of independent broker-dealers, investment advisors, and other professionals who deal with investment accounts covered under the Employee Retirement Income Security Act of 1974.

Roger Kiger
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.