Smartria Taps Industry Growth and User Experience Expert Patrick Hunt As New Chief Executive Officer

Veteran Entrepreneur and Tech Executive Joins Recently Appointed CRO David Coyle to Capitalize on Smartria’s Accelerated Momentum KNOXVILLE, Tenn. – Smartria, the leading provider of compliance software solutions for financial advisors, is excited to announce that Patrick Hunt is stepping into the role of CEO. Hunt takes the helm on the heels of industry veteran […]

Five Key Technology Systems For Building Advisor Efficiency

It’s no secret that technology is key to helping advisors grow their businesses. The right tools, coupled with best practices, can drive efficiency and allow advisors to more effectively leverage their expertise—resulting in more clients achieving their goals, growing their wealth and ultimately referring friends, family and business contacts to your firm. “Whether we recognize […]

Smartria Unveils Innovative Cybersecurity Focus Solution, Pioneering Compliance Readiness Ahead of SEC’s New Cybersecurity Rule

KNOXVILLE, Tenn.–(BUSINESS WIRE)–SmartriaⓇ, a trailblazer in compliance management solutions for Registered Investment Advisors (RIAs), hybrid RIAs and RIA compliance consultants, is proud to announce the launch of its new solution, Cybersecurity Focus, which is purpose built to mirror the SEC’s proposed new Cybersecurity Rule. “Securing sensitive information and maintaining cybersecurity has never been more critical […]

SmartRIA® Announces Second Strategic Investment Round from Dynasty Financial Partners and MarketCounsel

Originally posted to BusinessWire – KNOXVILLE, Tenn.–(BUSINESS WIRE)–SmartRIA®, the leading compliance management software provider to registered investment advisors (RIAs), is excited to announce a second strategic investment round from Dynasty Financial Partners and MarketCounsel. This new investment underscores the partnership between the companies and reinforces their commitment to supporting SmartRIA’s continued expansion into enterprise compliance […]

Smartria® and Partner to Offer IAR Continuing Education

The new collaboration between Smartria and 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 […]

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 […]

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 […]

SEC Charges 21 RIAs for Form CRS Filing and Delivery Failures

On July 26, 2021, the SEC announced that 21 Registered Investment Advisers (RIAs) settled charges alleging that they failed to file and deliver their client relationship summaries, known as Form CRS, in a timely manner. Form CRS is also frequently referred to as Form ADV Part 3. Six broker-dealers were also accused of not filing […]

SmartRIA Compliance Alert
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 […]