The compliance software that scales with you.
Our platform streamlines complex regulatory tasks with automated workflows, intelligent alerts, and real-time visibility across your firm.
Smartria transforms compliance from burden into a strategic advantage.
Stay ahead of changing regulations.
Our platform centralizes your firm’s policies, procedures, and regulatory documents—all with customizable access and audit-ready storage. Simplify your workflows for maintaining compliance manuals, filing disclosures, and documenting reviews with smart templates and reminders.
Catch issues before they become violations.
Monitor employee trading activity with automated feeds, front-running detection, and configurable alerts. Integrated with tools like Plaid, Smartria eliminates manual tracking and ensures your Code of Ethics is enforced consistently.
Centralize oversight of third-party relationships.
Maintain due diligence files, risk assessments, and performance reviews in one secure space. Smartria makes it easy to track vendor status and compliance so nothing falls through the cracks.
Build a culture of compliance from day one.
From onboarding to annual disclosures, Smartria simplifies employee compliance with self-service dashboards, automated training workflows, and reminders for key regulatory reports.
“I was in your platform 2 days before the other company even called me back.”
– John T., CCO of an SEC-Registered firm with $790M AUM
Purpose-built for RIAs and hybrid firms
Cloud-based and continuously updated
Designed to grow with your firm
Backed by an expert team that understands your world
See what Smartria can do for you.
Centralize, automate, and scale your SEC/FINRA compliance program with our award-winning software.
