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’s 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.

Clients & Accounts
Ensure your clients’ money & data stay protected, that fiduciary duty is transparent & documented, and regulatory obligations are fulfilled.

Operations & Records
Create permission-based file storage for your firms’ policies, manuals, books and records that comply with Rule 204-2.

Trade Monitoring
Automate quarterly transaction reports, detect front-running, and automate alerts for violations of Code of Ethics.

Employee Onboarding
Automate onboarding to instil a culture of compliance from a new employee’s first day, while streamlining processes.

Our platform streamlines your compliance operations with flexible, automated workflows, risk alerts and transparent reporting.  Simplify complex regulatory operations and stay ahead of risk with our award-winning compliance monitoring platform. Leverage real-time insights of employee activity tracked against your firm’s rules and regulations.