May 15, 2025
When a city works well, you don’t notice. You step off the curb, and a car stops. You find shade on a hot street. Trash disappears. The lights turn red, and strangers […]
April 17, 2025
Introduction: The Exam That Shaped a Decade In 2007, the SEC’s examination of a midsize advisory firm uncovered a chain of internal miscommunications that, while not fraudulent, revealed a failure to […]
April 3, 2025
Introduction: An Industry on the Move FutureProof Citywide 2025 brought the RIA community face-to-face with the pace of its own transformation. The conversations pulsing through the boardwalk in Miami Beach were […]
March 26, 2025
If you want to understand where compliance is headed, follow the crowd to Washington, D.C. – or more specifically, to the IAA Compliance Conference at the Marriott Marquis. In 2025, it wasn’t […]
March 14, 2025
Compliance in the RIA world has always been like The Matrix: everywhere, shaping how firms operate, defining what’s possible. No testimonials, no performance advertising, no client endorsements. But just like Neo learning […]
February 12, 2025
Introduction: Why Manual Compliance is a Risky Game Compliance officers might be getting chills, as it’s only the beginning of the year and the SEC has already gotten the party started, […]
August 28, 2024
This recognition, along with our 198% growth rate over the past three years, speaks to our commitment to developing the highest-quality compliance solutions for RIAs. Knoxville, TN – Smartria has been recognized […]
September 2, 2021
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 […]
April 5, 2017
“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 […]
