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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August 10, 2020
Compliance in the Age of Pandemics

The COVID-19 pandemic has been a catalyst for dynamic change for advisor businesses in all but one area – the ongoing and inexorable march of regulation and compliance. Many regulatory deadlines and expectations have not been deflected by the real-world chaos that advisory firms are dealing with. A quick breather and a situational analysis on […]

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August 4, 2020
5 Ways to Proactively Prepare for an Audit

An upcoming audit often causes sleepless nights for even the most capable professionals. With an increase of SEC exams, it’s not a question of if your firm will be audited but when. Be proactive and start to prepare now to feel confident that you’re fully ready for your next exam. The Audit Process Usually, firms […]

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July 28, 2020
Why You Should Invest in Compliance Software

Compliance. It’s tedious, complex, and confusing, especially with regulatory changes and at least yearly changes in exam focus. However, compliance is essential to the success of your firm. Investing in compliance software will save you time, money, and stress in the long run. Choosing the correct solution is important to get the most out of […]

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SmartRIA Risk Alert
July 3, 2020
SEC Risk Alert Gives Advice to Private Fund Advisers

On June 23, 2020, the SEC published a Risk Alert, which summarized compliance issues discovered during hundreds of examinations of investment advisers that manage private equity funds or hedge funds. Examiners from the SEC’s Office of Compliance Inspections and Examinations (OCIE) made a number of observations that can help private fund advisers to revise and […]

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SmartRIA CEO Update on COVID-19
March 17, 2020
Coronavirus Update

Hello, friends. I hope this coronavirus update from SmartRIA finds you healthy and safe at home. I’m writing to let you know a few things about how SmartRIA is handling coronavirus, how our situation might affect our customers, and in general, to share our thoughts at this difficult moment for everyone. First: as of last […]

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guide to ria compliance
February 13, 2020
The Complete Guide to RIA Compliance

As a registered investment advisor, whether new or well-established, you probably hear the word “compliance” on a daily basis. But what’s the best way to maintain compliance, why should you even bother with it (okay, yes you probably already know that one), and where did it originate? These are all great questions, and lucky for […]

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