SmartRIA
RIA compliance: policies, CCO tools, annual reviews, SEC exam prep.
Overview
Compliance management platform for RIAs. Policy manuals, CCO tools, annual reviews, employee certifications, and SEC exam prep. Automates compliance workflows.
Key Features
- Policy manual builder
- CCO dashboard
- Annual review automation
- Employee certifications
- SEC exam preparation
- Regulatory change alerts
Integrations
RedtailWealthboxOrionSalesforceDocuSign
Details
- Platforms
- Web
- Target Users
- RIAs, CCOs, Compliance Officers, Start-up RIAs
- Pricing Model
- Subscription
- Starting Price
- USD 199/mo
- Full Pricing Details
- From $199/mo