Smartria provides cloud-based compliance management software for medium to enterprise registered investment advisors (RIAs) and networks. The platform is designed for compliance consultants, compliance officers, and investment advisors, among others, to help manage their compliance requirements.

Smartria

IPhone / Mobile Compatible

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Information Technology

Adrian Carr

Business Management

John Morris

Chief Executive Officer

Mac Bartine

Founder

Roger Kiger

Director of Operations

Lisa Cornelius

Director of Partnerships

Rebekah Gucciardo

Technical Account Manager

Christopher Stelter

RJ Taylor

Chief Manager

Chief Experience Officer

Amy Easterly

McClain Bartine

CEO and 2nd Founder

Tennessee Financial Services Companies

Financial Services Companies With Less Than $10M in Revenue (Top 10K)

Financial Services Companies With More Than $1M in Revenue (Top 10K)

Information Technology Companies With Fewer Than 100 Employees (Top 10K)

SmartRIA makes software that simplifies compliance for the financial services industry. We excel at making the complex and often frustrating world of regulatory compliance simple to manage and easy to understand. Our unique roles for compliance consultants and distributed management of large corporations make our solution able to handle any compliance problem for any sized company. Since our launch in 2016, we have built the most complete, easiest-to-use compliance software platform for the Registered Investment Advisor industry. We have since moved on to compliance in other financial services verticals in the US, and have expanded to wealth management compliance in the UK.

Venture Round - SmartRIA

Seed Round - SmartRIA

Non Equity Assistance - SmartRIA

Computer and Software Services and Scientific Services

Knoxville

Tennessee

United States

North America

SmartRIA

Smartria and MirrorWeb Announce Partnership for Best-in-Class Compliance Solutions

Smartria and TradePMR, Market Leaders in Compliance Software and Custodial Services for RIAs, Respectively, Join ...

Smartria and TradePMR, Market Leaders in Compliance Software and Custodial Services for RIAs, Respectively, Join Forces to Support RIA Firm Growth

Smartria Taps Industry Growth and User Experience Expert Patrick Hunt as New Chief Executive Officer

Smartria Unveils Innovative Cybersecurity Focus Solution, Pioneering Compliance Readiness Ahead of SEC’s New Cybersecurity Rule

Smartria® Announces Integration with StatiFi, Developer of Award-Winning PRISM Rating™ Technology

SmartRIA® Named a WealthTech100 Company by FinTech Global

A compliance management tool designed for RIAs, compliance consultants, officers, operations teams, investment advisors, and wealth managers to streamline compliance operations with automated workflows, risk alerts, and transparent reporting.

A comprehensive cybersecurity solution developed in partnership with CybersecureRIA to help firms meet SEC cybersecurity regulations, including training, phishing tests, vendor due diligence, and IT surveillance.

A system for managing data security and privacy, including vendor due diligence, employee data access monitoring, and incident reporting to ensure compliance with regulatory standards.

A tool to automate quarterly transaction reports, detect front-running, and create alerts for violations of the Code of Ethics, ensuring compliance with Rule 204A-1 under the Advisers Act.

A feature to manage client agreements, correspondence, billing, and annual reviews, ensuring all client-related documents and activities are compliant with regulatory requirements.

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news impact assignment basic	general
public peers	general	Oct 2, 2024 5:34 PM	a3454fee
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Smartria