Smart RIA

Smart RIA is a comprehensive compliance software designed specifically for Registered Investment Advisors (RIAs). It offers a robust set of tools to help RIAs maintain regulatory compliance while streamlining their business operations. The app provides automated registration and notice filing monitoring, ensuring that all necessary filings are tracked and completed on time. Additionally, it includes monthly compliance review tools to help RIAs stay on top of their compliance obligations.

One of the key features of Smart RIA is its customized compliance calendar, which helps users organize and manage compliance tasks efficiently. The app also offers secure, cloud-based document storage, allowing RIAs to store and manage sensitive documents securely. Furthermore, it includes Code of Ethics reporting tools and employee supervision tools, which are essential for maintaining ethical standards and overseeing employee activities.

Smart RIA also supports compliance policy implementation and tracking, enabling RIAs to create, implement, and monitor compliance policies effectively. The app offers customized compliance tasks and compliance education tools, which help ensure that all team members are well-informed about compliance requirements. Additionally, it provides client onboarding supervision tools to manage the client intake process effectively.

Overall, Smart RIA is designed to help RIAs manage their compliance needs efficiently, ensuring they remain compliant with federal and state regulations while focusing on growing their business.