Typically the firms that get the most value out of Smartria have 5 or more employees. The more employees you have, the more valuable our solution is in terms of gained efficiencies and reduced risk. Our customers range in size from state registered firms to fast growing firms with tens of billions of dollars in AUM to independent broker-dealers with over one hundred billion in assets.
Code of Ethics (employee trade reporting, political contributions, etc.), employee onboarding, vendor due diligence, compliance calendar for the entire team, books and records, trade reviews, a complete library of compliance data collection forms and attestations…the list goes on.
Software as a Partnership is Smartria’s approach to and philosophy for everything we do with our customers. We want to partner with you to make your firm more compliant. We want to know what problems you’re having so we can help you solve them. Our platform was born from the needs of an SEC-registered RIA in 2016 and we have been learning how best to help RIAs manage compliance directly from conversations and collaborations with our customers on a daily basis ever since. It’s about you learning from first hand interactions with our company how much we care about your success.
Absolutely. We have help articles and walk throughs for every part of our software and are constantly expanding this library with best practices. We also have live customer service every market day from 8 AM to 8 PM ET.
Yes! Even for acquiring firms that have strict requirements for what tech stack, custodians and brokers are being used, it’s very easy for compliance problems to slip through the cracks. Smartria helps firms to operationalize the maintenance of compliance while adding new advisors and books of business to your firm.
Smartria can monitor client and employee trades from thousands of brokers and custodians and we have streamlined processes for bringing that data into our platform.
Smartria is a technology company, not a services company. BUT if you need compliance services, our network of over 100 consultants and attorneys CAN help you. Let us know what you need, and we’ll put you with a consultant or attorney who exactly fits your company’s needs and provides solid customer service. In our rapidly consolidating industry, these independent consulting and law firms are the most reliable source for quality and service.