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Compliance software for registered investment advisors
Updated
Smartria (Smart RIA) is a compliance software platform built for registered investment advisors. Originally built by an RIA, it replaces manual tracking with dashboards and automated workflows to help firms meet SEC and FINRA requirements, covering tasks such as filings, policies, reviews and audit trails.
Smartria is used by registered investment advisors and investment firms of all sizes, including state-registered RIAs, SEC registrants and independent broker-dealers. Chief compliance officers use it to run recurring compliance tasks, track evidence and prepare for examinations from a central platform.
Smartria does not publish pricing online. It offers customized pricing based on a firm size, complexity and growth stage, and invites firms to schedule a demo to assess cost. Request a quote and compare it with other RIA compliance tools.
Alternatives to Smartria include ComplySci, Compliance Solutions Strategies and RIA in a Box. Compare workflow automation, regulatory filing support, trade and advertising review features, reporting for examinations and customized pricing.
Pricing Model
QUOTE BASED
Starting Price
Contact vendor
Free Options
None
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Compliance Standards
SOC 2 Type II
EnterpriseISO 27001
EnterpriseGDPR Compliant
GlobalHIPAA
HealthcarePCI DSS
FinanceCCPA
PrivacyFedRAMP
GovernmentCSA STAR
CloudDeployment & Data
Data Residency Options
Verify with vendor for your specific region requirements.
Flexible quality management system for manufacturers
Global HR, payroll, and Employer of Record for distributed teams.
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