Smartria® and Kitces.com Partner to Offer IAR Continuing Education

The new collaboration between Smartria and Kitces.com is key to providing online continuing education at scale and meeting the new North American Securities Administrators Association’s (NASAA) Investment Adviser Representative Continuing Education (IAR CE) requirements. August 05, 2022 09:54 AM Eastern Daylight Time KNOXVILLE, Tenn.–Smartria®, a powerful, easy-to-use cloud-based software solution designed to meet the specialized […]

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December 7, 2021
Strategic Partnership Announced with SmartRIA, Dynasty Financial Partners and MarketCounsel

SmartRIA’s End-to-End Solution Helps Financial Advisory Practices Simplify & Optimize Compliance Workflows MIAMI BEACH, Fla., Dec. 7, 2021 /PRNewswire/ — Dynasty Financial Partners (Dynasty) and MarketCounsel, together, announced a strategic partnership with SmartRIA at The MarketCounsel Summit today. SmartRIA is a provider of comprehensive technology solutions for automating and streamlining compliance for registered investment advisers (RIAs). “When we […]

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SmartRIA Gets an Elegant New Look and Feel

SmartRIA’s development team has been working for months on refreshing the look and feel of our software. These changes make using the software a more pleasant experience, and the branding is also more in line with the company’s public website. While the changes are only “skin deep,” there are some big ideas that went into […]

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SmartRIA Compliance Alert
March 9, 2021
2021 SEC Exam Priorities

On March 3, 2021, the SEC’s Division of Examinations (Division) published its examination priorities for the year. These priorities are the driving force behind the Division’s examinations but are not exhaustive. Examiners may focus on other issues during an examination. The Division, which was previously called the Office of Compliance Inspections and Examinations, circulates its […]

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SmartRIA Compliance Alert
February 13, 2021
New York Regulatory Update

The New York State Department of Law (the “Department”) recently adopted new regulations that went into effect on February 1, 2021. These new regulations govern the registration and examination requirements for investment adviser representatives domiciled in New York, or doing business with New York clients. Previously, New York did not require registration of state and […]

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SmartRIA Announces a Deeper Partnership With SS&C Technologies’ Black Diamond Wealth Platform

Newly expanded relationship makes SmartRIA a preferred third-party compliance solution for Black Diamond clients Yesterday, SmartRIA announced an expanded relationship with SS&C Technologies’ Black Diamond® Wealth Platform. This alliance strengthens the deep integration between the two solutions with a committed focus and investment from both parties to advance the integration. “Our ability to maintain compliance […]

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smartria-greytwist-acquisition
September 9, 2019
SmartRIA Acquires Greytwist Data Governance Solution

  The data governance platform will be integrated into SmartRIA’s compliance management solution platform to better support customers’ needs. Knoxville, TN, Sept. 9, 2019: SmartRIA and Greytwist have announced today the acquisition by SmartRIA of Greytwist Data Governance, a solution for vendor due diligence and management, personally identifiable information (PII) data governance and cybersecurity policy […]

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