Smartria resources

The fear is real: Why compliance leaders are still missing critical risks In 2025

There’s a particular kind of anxiety that’s hard to explain to anyone outside compliance. It’s not the fear of outright failure, but something quieter, more persistent…

Insights

Insights, best practices, and expert advice, to inform and inspire.
February 2, 2026
Published by Patrick Hunt
Categories

SEC’s Finders Framework & Private Secondary Boom: 3 Compliance Actions RIAs Must Take Before Feb 24 Meeting

On February 24, 2026, the SEC’s Small Business Capital Formation Advisory Committee will meet to continue discussions on the regulatory framework for “finders” and to examine the growing role of the private […]
January 27, 2026
Published by Patrick Hunt
Categories

How Smartria Centralizes RIA Compliance in One Platform

RIA compliance rarely fails because firms don’t care. It fails because compliance is fragmented. Marketing reviews live in one system. Vendor diligence sits in spreadsheets. Employee attestations arrive by email. Exam prep […]

News

Glimpse into the industry and the industry leader.
February 2, 2026
Published by Patrick Hunt
Categories

SEC’s Finders Framework & Private Secondary Boom: 3 Compliance Actions RIAs Must Take Before Feb 24 Meeting

On February 24, 2026, the SEC’s Small Business Capital Formation Advisory Committee will meet to continue discussions on the regulatory framework for “finders” and to examine the growing role of the private […]
January 23, 2026
Published by Patrick Hunt
Categories

SEC Proposes Updates to “Small Entity” Definitions: Why It Matters for RIAs and Future Rulemaking

On January 7, 2026, the Securities and Exchange Commission proposed amendments to how “small entities” are defined for investment advisers and investment companies under the Regulatory Flexibility Act (RFA). At first glance, […]
FAQs

Have a question, but not a minute to chat?

Check our FAQs