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.
Compliance Management Solutions
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.Request a Demo
Be prepared for cyber attacks
Effective cybersecurity programs require ongoing review and testing. Be confident that your cyber-defense policies and operations will protect the sensitive client data your firm is entrusted with through professional testing and compliance documentation.
SmartRIA has partnered with a MTradeCraft, an experienced, leading cybersecurity auditing company that specializes in security audits for RIA’s and Hedge Funds.
Our partnership allows us to offer a comprehensive program with actual ethical hacker testing and vendor due diligence in one low-cost package where you can have peace of mind at a very competitive cost and have it all documented, so you are ready in the event of an audit.
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:
- Understand your data and who is accessing it
- Enhance communication
- Mitigate risks with education
- Automate vendor due diligence