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Compliance can be time-consuming and stressful. We simplify it and keep you audit-ready.
Our easy-to-use compliance software for teams includes fiduciary oversight, books and records, trade monitoring and vendor due diligence. With our RIA Registration and Compliance Consulting Services, RIAs now have an all-in-one compliance resource that is comprehensive, easy-to-use, and effective.
Tired of using a hodgepodge of paper and technology, and still wondering if your firm is doing everything it can to stay compliant?
We were doing the same thing as an RIA back in 2016. We knew there was an easier way. That’s why we started SmartRIA.
Firms, large or small, now have the confidence to handle compliance with learn-in-a-day, intuitive dashboards that let each person know their specific compliance requirements while keeping the firm up to date.
Designed with a simple, easy-to-navigate interface, our software combines robust reporting and alerts with trade monitoring, workflows, unlimited file storage, and a complete compliance form library that can be tailored to meet your needs. Save hours per month, build a culture of compliance, and be audit-ready with the SmartRIA software.
