Compliance
Management
Solutions

SmartRIA compliance solutions were designed and developed to address the needs of compliance consultants, compliance officers, operations teams, investment advisors, wealth and asset managers, and the staff who support them.

Experience SmartRIA’s game-changing compliance software

A refreshing Software as a Partnership® customer service experience

SmartRIA Pro™

All-in-One Compliance Platform for RIAs

Imagine starting your week with a bird’s eye view of your entire firm’s compliance calendar on a simple-to-use dashboard that can be learned in a day with technology that actually improves your processes.

No more spreadsheets tracking annual reviews or who signed annual attestations and submitted outside business reports. Using a third-party storage vendor? Build your own encrypted file storage library within SmartRIA platform – it’s included. And so are Oversight Reporting, CRM integrations, Trade Monitoring, and seamless Brokerage Data Feeds.

Experience SmartRIA’s game changing software and refreshing Software as a Partnership™ customer service.

Data & Vendor Security
Data Governance Platform

Systematic data protection has proved difficult for small businesses to achieve. Until now.

There’s an easier way to manage the complexities data security and privacy.  Implement top-tier data processes and protection with SmartRIA’s one-of-a-kind data governance platform.  Designed for firms of all sizes, this platform allows you to:

  1. Understand your data and who is accessing it
  2. Enhance communication
  3. Mitigate risks with education
  4. Automate vendor due diligence
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