Smartria 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.

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Reviews - 1 Verified Review

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Company Details

Company:
Smartria
Year Founded:
2011
Headquarters:
United States
Website:
smart-ria.com

Media

Smartria Screenshot 1
Smartria Screenshot 1
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Product Details

Platforms
Web-Based
Types of Training
Training Docs
Live Training (Online)
Customer Support
Business Hours

Smartria Features and Options

Compliance Software

Archiving & Retention
Audit Management
Risk Management

Smartria User Reviews

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  • Name: Anonymous (Verified)
    Job Title: Compliance Director
    Length of product use: 1-2 Years
    Used How Often?: Daily
    Role: User, Administrator
    Organization Size: 100 - 499
    Features
    Design
    Ease
    Pricing
    Support
    Likelihood to Recommend to Others
    1 2 3 4 5 6 7 8 9 10

    Maybe the worst platform ever

    Date: Oct 07 2026

    Summary: I have used SmartRIA for a few years and it is hands-down the worst compliance platform in existence. Can't be relied on for archiving books and records, difficult to navigate, just so horrible all around that use of their system for your compliance needs is a risk in and of itself.

    Positive: Not much I can say that is a pro for this platform except that I am usually capable of logging in to the system and eventually completing tasks.

    Negative: It is horribly unreliable. Unintuitive. Clunky. No evolution. Just crap. The support is even worse. It is non-existent.

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