RIA Compliance Technology
HQ Address
10031 E Dynamite Blvd, Scottsdale, AZ 85262, United States
Website Address
Relevant Regions
Business introduction
RIA Compliance Technology consolidates calendars, workflows, and archiving under one platform; simplifying training, centralising data, and making exams and audits faster, clearer, and less stressful
An all-in-one compliance platform built specifically for Registered Investment Advisers
Rather than juggling spreadsheets, shared drives, legacy archives, and multiple portals, firms can bring calendars, workflows, attestations, communications archiving, and key filings together in one secure, organised space. The result is a single, intuitive platform that is easy for advisers to use and simple for compliance teams to explain, govern, and maintain. This solution is highly relevant as regulatory expectations increase and regulators focus more closely on recordkeeping, off-channel communications, and evidence of ongoing supervision. An integrated platform gives RIAs one location for their compliance data, clear ownership of tasks, and an audit trail that is exam-ready by design. During an exam or audit, firms can quickly demonstrate what was done, when, and by whom, without reconstructing their programme from scattered systems. This reduces operational risk, saves valuable time, and supports scalable, confident growth.
Business Overview
RIA Compliance Technology is a specialised, all-in-one compliance platform built for Registered Investment Advisers. We centralise calendars, workflows, communications archiving, personal trading oversight, and key filings so firms gain a common ground for compliance filing necessities. Our modular tools are simple to use, easy to learn, and designed to mirror real RIA workflows. By reducing fragmented systems and manual spreadsheets, we help compliance teams save time, lower operational risk, and stay exam-ready. Our mission is straightforward: make compliance simple, structured, and organised, so RIAs can focus on serving clients and growing their businesses with confidence.
Customers
RIA Compliance Technology supports registered investment advisers and compliance professionals who want a simpler, more structured way to stay on top of regulatory requirements. Our client base includes solo and growing RIAs, mid-sized and multi-office firms, and compliance consultants managing oversight across multiple advisory businesses. We also work with leadership teams and Chief Compliance Officers who need centralized visibility, consistent processes, and reliable documentation for exams. These teams are often juggling competing priorities, outdated tools, and fragmented systems. They choose RIACT for modern, modular solutions that streamline workflows, reduce manual effort, and scale with the firm as compliance needs evolve.
Key Data
Year founded
2017employees
2-10offices
1Type of Clients
- Brokers/Broker-Dealers
- Financial Advisors
RIA Compliance Technology Solutions
Simple Compliance Portal
Simple Compliance Portal gives firms a dashboard for their compliance and executive teams, combining the power of our Simple Compliance Calendar and online data gathering tools. Whatever information you need to collect, we provide a solution that includes workflows, route requests, approvals and acknowledgements to your team members. Pricing is simple as it consists......
business needs
Client type
client geography presence
view solutionConsulting Services
Overall compliance program We work with several consulting firms to connect you with the right firm and provide reliable resources when needed Email archiving options We have many great options to meet your records retention requirements. Let us help you find the right solution for your firm. CRM options In a data-driven world client relation......
business needs
- Business Establishment & Support Services
- Compliance & Regulatory Services
- Technology Strategy & Consulting
Simple Compliance Calendar
Simple Compliance Calendar is a solution to automate and remind you what compliance tasks are due each month. Our simple interface tells you what is due, waiting for more information, and past due. Your one-page dashboard gives you a quick snapshot in seconds. Your Simple Compliance Calendar will allow you to......
business needs
view solutionSimple Email Archive
If you are looking for an email archiving solution that just works, ask us about our secure SEC and FINRA compliant solution. Built for compliance teams Simple everything SEC 17a-4(f) and FINRA 2210 compliant Tech stuff for your IT team ...
business needs
view solutionSimple Trade Monitor
Background Your Code of Ethics requires an adviser's "access persons" periodically report personal securities transactions and holdings to their chief compliance officer or other designated persons. Historically, this need is completed by ordering duplicate statements from outside companies or asking employees to provide quarterly statements. The statements are then manually sorted, reviewed,......
