News - Smartria

Stay updated with the latest compliance news, regulatory developments, SEC updates, and industry announcements.

November 8, 2023

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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 […]

November 6, 2023

Published by Mark Cunha

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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 […]

October 9, 2023

Published by Mark Cunha

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Are you ready? Incident response planning and best practices

The latest SEC rules have an underlying theme: they all include requirements for covered entities to respond to and report cybersecurity incidents. This also includes requirements to have a written incident response […]

September 28, 2023

Published by Mark Cunha

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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, […]

March 30, 2023

Published by Mark Cunha

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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 […]

September 23, 2022

Published by Mark Cunha

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Smartria® Announces Partnership with StratiFi to Offer Innovative Risk and Compliance Management Solution

Originally posted to BusinessWire – An integration between award-winning platforms Smartria and StratiFi offers firms access to real-time integrated portfolio and employee risk dashboards within Smartria. Smartria®, a powerful, easy-to-use cloud-based software […]

August 10, 2022

Published by Mark Cunha

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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 […]

December 7, 2021

Published by Mark Cunha

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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 […]

October 4, 2021

Published by Mark Cunha

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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 […]

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