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Description
Smartria is a cloud-based RIA compliance management platform built specifically for registered investment advisors, chief compliance officers, and compliance consulting firms. The software centralizes SEC and FINRA compliance activities and can be configured around an individual firm's policies, workflows, employees, and regulatory requirements. Compliance management tools help firms track recurring tasks, forms, deadlines, alerts, reminders, filings, and other activities needed to maintain an ongoing compliance program. Marketing review workflows streamline the submission and approval of marketing materials while maintaining records of approvals and rejections. Employee oversight capabilities record attestations covering areas such as codes of ethics, outside business activities, personal holdings, political activities, and insider relationships. Smartria's trade monitoring solution supports customized trade rules, pre-clearance processes, front-running alerts, and KYC and KYE requirements. Vendor management tools allow firms to maintain vendor records and track security certifications, attestations, and incidents from a centralized location. Automated workflows can also support employee onboarding, regulatory filings, record retention, activity logging, reporting, and other recurring compliance processes. Smartria offers configurations for boutique, growing, and enterprise RIAs as well as multi-client access, content publishing, and in-app communications for compliance consultants.
Description
Vixio is a comprehensive platform designed for regulatory intelligence that empowers compliance and legal teams with real-time oversight and management of evolving rules across over 200 jurisdictions and 1,400 regulatory bodies. By integrating expert human insight with AI-enhanced features, the platform offers tools such as horizon scanning, a regulatory library, a global data hub, market evaluations, and a customizable report generator to effectively track legislative and regulatory changes, assess regional requirements, and identify governance risks. In 2025, Vixio introduced Vixio Workspace, an innovative workflow and compliance-management tool that connects regulatory change insights to actionable tasks; this enables compliance teams to develop checklists, delegate responsibilities, collaborate seamlessly, monitor progress through dashboards, manage attestation records, upload supporting documentation, and maintain a comprehensive audit trail, thereby eliminating the need for disorganized spreadsheets and emails. This enhancement further streamlines compliance processes, allowing teams to work more efficiently and with greater accuracy in managing their regulatory obligations.
API Access
Has API
No
API Access
Has API
No
Integrations
No details available.
Integrations
No details available.
Pricing Details
No price information available.
Free Trial
No
Free Version
No
Pricing Details
No price information available.
Free Trial
No
Free Version
No
Deployment
Web-Based
Yes
On-Premises
No
iPhone App
No
iPad App
No
Android App
No
Windows
No
Mac
No
Linux
No
Chromebook
No
Deployment
Web-Based
Yes
On-Premises
No
iPhone App
No
iPad App
No
Android App
No
Windows
No
Mac
No
Linux
No
Chromebook
No
Customer Support
Business Hours
Yes
Live Rep (24/7)
No
Online Support
No
Customer Support
Business Hours
No
Live Rep (24/7)
Yes
Online Support
Yes
Types of Training
Training Docs
Yes
Webinars
No
Live Training (Online)
Yes
In Person
No
Types of Training
Training Docs
Yes
Webinars
No
Live Training (Online)
Yes
In Person
No
Vendor Details
Company Name
Smartria
Founded
2011
Country
United States
Website
smart-ria.com
Vendor Details
Company Name
Vixio
Country
United Kingdom
Website
www.vixio.com
Product Features
Compliance
Archiving & Retention
Yes
Artificial Intelligence (AI)
No
Audit Management
Yes
Compliance Tracking
No
Controls Testing
No
Environmental Compliance
No
FDA Compliance
No
HIPAA Compliance
No
ISO Compliance
No
Incident Management
No
OSHA Compliance
No
Risk Management
Yes
Sarbanes-Oxley Compliance
No
Surveys & Feedback
No
Version Control
No
Workflow / Process Automation
No