Welcome to Smart RIA

SmartRIA is always working to improve our products and services to make sure our users have the best experience with our software.  Here’s what we did to update our software in November.  If you have features you’d like us to add, let us know. We’d love to hear from you.

We’re very excited about our new Advanced Compliance module, which will be fully available in Q1 of 2018 – more about its associated purpose and functionality soon!

New Features:

Added: Enhancements to password security:

  • passwords now have a minimum length of 12 characters
  • error messages for passwords and sign-in are more informative
  • failed login attempts are logged
  • user accounts will be locked after 5 failed login attempts
  • you can reset your password and unlock a locked account via email

Added: Compliance consultants can provide expanded compliance support to CCOs including reviewing documents, performing tasks for CCOs upon request, and resolving client compliance issues.  To use this feature, a Consultant requests to provide compliance support to an RIA they serve.  The RIA’s CCO can also request that a Consultant they’re working with through SmartRIA provide them with compliance support. (NOTE: your Consultant’s fees for these services are not controled by SmartRIA).

Added: Creating a Client Status: you can now add a client status to any Client summary by clicking on “Add Notes” and selecting “Status Update”. Your client status update will be saved at the top of that client’s summary page. Use the Status Update to capture whatever is most important to remember about a client: next steps, compliance issues, etc.


Updated: For improved critical data security, users must enter their password to view or edit a Client SSN.

Updated: For SmartRIA customers using our Advanced Compliance service with custodial data, you can add a custom ID for advisors in their “Settings”. 

Updated: Smoother, improved data logging on Client CSV uploads.

Updated: Admin personnel supporting a CCO will now be cc’d on the CCO’s Weekly Outlook emails.


Fixed: Supporter capabilities button in User settings for CCO.

Fixed: The “delete” popup that occurred in the Task Library no longer remains in place until the page is refreshed.

Fixed: The alerts drop down option under the CCO tab shows on hover instead of having to click it, which matches the tasks dropdown functionality.

Fixed: In accordance with compliance standards, the Advisor role in SmartRIA can no longer delete clients. CCOs can still delete clients, if needed.

Fixed: States Registered form on Company edit screen.

Fixed: To avoid task duplication, surveys can no longer be assigned from the create and edit screens. Surveys can still be assigned from the CCO Task Library menu.

Fixed: CCO document folders now display properly in move dialog.

Fixed: Advisor created clients will always be assigned to that advisor. CCOs and other roles still have the ability to select which advisor to assign clients to.  Users will now receive a message upon successful creation of a new client.



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