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Smartria offers cloud-based RIA compliance software to centralize, automate, and scale SEC/FINRA programs for registered investment advisers. The platform includes modules for Compliance Management, Marketing Reviews, Employee Attestations, Trade Monitoring, Vendor Management, and SmartArchive, with pre-configured SEC/FINRA rules and customizable options. Trusted by thousands of RIAs, CCOs, and compliance consultants and built by an RIA for RIAs, Smartria has an eight-year track record in the industry.
The market map · 5 of 100 labelled
Financial Advisor Practice Management Software →Where Smart RIA ranks in AI
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user-friendly · strong workflow automation · excellent · intuitive · comprehensive · scalable
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Smart RIA
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