SmartRIA Compliance Platform

Back to Marketplace

SmartRIA Compliance Platform

Offered by SmartRIA
20% off SmartRIA software. 50% off SmartRIA onboarding services.
  • Description
  • Benefits

SmartRIA is a comprehensive platform that simplifies compliance for wealth managers

Ready to take your compliance to the next level? SmartRIA streamlines your compliance operations with flexible, automated workflows, risk alerts and transparent reporting, so you can stay audit-ready and focus on growing your business.


Our unique workflows and roles for CCOs, IARs, access and admin support persons, along with compliance consultants and distributed management of large corporations, make our solution able to handle any compliance problem, for any sized company, from 1-person offices to the largest RIAs in the country, with hundreds of employees.


Further level-up your compliance program with additional modules for Email Archiving, Custodial Data, Data Governance and Vendor Due Diligence, and Trade Monitoring. All built into the SmartRIA Pro platform.

SmartRIA strives to solve more compliance problems for RIAs than any other software platform, all with award-winning, Gartner Best Ease of Use, based on end user reviews.


Exclusive Benefits

  • 20% off of SmartRIA’s award-winning compliance software
  • 50% off of SmartRIA software onboarding services

SmartRIA Pro software is designed to simplify compliance operations for firms of all sizes across 5 major areas of compliance responsibilities in one, easy-to-use platform:


1. Rule 204-2 Compliant Books and Records

2. Demonstration of Fiduciary Accountability

3. Effective Supervision of IARs

4. Documentation of Compliance Training

5. Implementation and Review of Compliance Program