May 6, 2025
When Compliance Goes Viral Remember this episode of The Office where Michael Scott declares bankruptcy by simply yelling, “I DECLARE BANKRUPTCY!” into the room? He’s dead serious. And dead wrong. Because that’s […]
February 27, 2025
Records Rule the World: Why Compliance Starts (and Ends) With Documentation As pretentious as it might sound, history is written by those who keep the records. Contracts carved into Mesopotamian clay […]
January 29, 2025
The stakes of trade monitoring for RIAs are high. This is not a rare scenario: an SEC audit uncovers a missing piece in an RIA’s trade monitoring process, landing them with fines […]
January 24, 2025
Introduction: The Foundation of Trust Conflicts of interest are the silent disruptors of trust in Registered Investment Advisor (RIA) firms. Beyond regulatory mandates, managing these conflicts effectively is about demonstrating a […]
January 16, 2025
So you’ve just wrapped up a client meeting, feeling rather good about the progress made. Then, a notification pops up: an SEC audit request is on the horizon. Your mind races: Are […]
September 5, 2023
We’re thrilled to announce that Smartria is growing its leadership team by adding David Coyle, who will be the company’s Chief Revenue Officer. We created this new position specifically for David, in […]
October 18, 2021
Tech adoption can be a huge issue for RIA companies, and virtually any business these days. If the pandemic has taught us anything, it’s that most people can quickly adopt new tech. […]
