Smart RIA

(5)
4.8 out of 5 stars

Smart RIA software with our proprietary Advisor Alert technology combines back office efficiencies with Federal and State compliance to offer an all-in-one RIA management platform that helps you to remain audit ready and manage your business while saving time and money.

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Smart RIA review by <span>Vern Bell - I.</span>
Vern Bell - I.
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Verified Current User
Invitation from G2 Crowd
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Essential software for small RIAs

What do you like best?

SmartRIA is easy to use, provides a secure repository for all my client data, and provides a wealth of compliance resources and reminders.

What do you dislike?

The software is new and there are still non-essential features that need to be added, like sort on file name.

Recommendations to others considering the product

Try it. You'll like it.

What business problems are you solving with the product? What benefits have you realized?

I maintain all my client, contractor, employee and other essential files in SmartRIA. I have used it to have my outside compliance consultant provide an document review. From this I have identified numerous changes to policy and procedures. Better that problems are identified and corrected now than when the State Securities Board decides to pay a visit.

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Smart RIA review by <span>Adam W.</span>
Adam W.
Validated Reviewer
Verified Current User
Invitation from G2 Crowd
Reviewed On

CCO and Managing Principal for Independent RIA

What do you like best?

Insightful automation for compliance organization.

What do you dislike?

Early use requires a bit of a learning curve. Quick-start guide or FAQ should be built based on feedback. With that said, I know I was an early adopter in this software.

Recommendations to others considering the product

Be sure to take advantage of support from smart-RIA as it relates to your specific practice. There is a good amount of customization that can be done based on your needs.

What business problems are you solving with the product? What benefits have you realized?

Automating compliance tasks for an independent RIA firm in a cost-effective and centralized manner.

What Governance, Risk & Compliance solution do you use?

Thanks for letting us know!
Smart RIA review by <span>Roger K.</span>
Roger K.
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Invitation from G2 Crowd
Reviewed On

Smart-RIA

What do you like best?

It has made our business very efficient. And we no longer have to worry about compliance...

What do you dislike?

I would like the software to do our billing and invoicing.

Recommendations to others considering the product

Consider the value it adds to your practice through the electronic client files, compliance records, and data downloads. It makes a practice much more transparent and portable, which in turn makes it more valuable.

What business problems are you solving with the product? What benefits have you realized?

I have much more time available now that the software automates my compliance tasks.

Smart RIA review by User in Financial Services
User in Financial Services
Validated Reviewer
Invitation from G2 Crowd
Reviewed On

Financial planner since 1977. LLC firm sole owner since 2006.

What do you like best?

Smart RIA offers a process to keep the Compliance officer on track year to year.

What do you dislike?

Needed a User Manual at the outset... I believe there is one now.

Recommendations to others considering the product

It's a big job to set up the software for a large number of clients, but better done over time rather than the day before an examination. Easy after that...

What business problems are you solving with the product? What benefits have you realized?

Completed our first state-level 3-day examination in 2 days. First examination in 10 years, so it was nice to be ready.

Smart RIA review by Executive Sponsor in Financial Services
Executive Sponsor in Financial Services
Validated Reviewer
Invitation from G2 Crowd
Reviewed On

Great program that offers compliance, asset review and CRM

What do you like best?

The program was very easy to get up and running

What do you dislike?

I do not have any dislikes for Smart RIA

Recommendations to others considering the product

Worth the investment

What business problems are you solving with the product? What benefits have you realized?

Oversight of the business in one location

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