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RIA compliance software for SEC and FINRA requirements
Smartria (Smart RIA) is a compliance software platform built specifically for Registered Investment Advisors (RIAs). Originally built by an RIA, it replaces manual tracking with dashboards and automated workflows to help firms meet SEC and FINRA requirements.
Registered Investment Advisor firms and their compliance teams that need to streamline daily compliance operations and maintain audit-ready records.
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Not specified
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Compliance Standards
SOC 2 Type II
EnterpriseISO 27001
EnterpriseGDPR Compliant
GlobalHIPAA
HealthcarePCI DSS
FinanceCCPA
PrivacyFedRAMP
GovernmentCSA STAR
CloudDeployment & Data
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