Full-Service SEC and State Registration

Ongoing Compliance Assistance Program

Mock State/SEC Examinations

Smart RIA Compliance Software

RIA Compliance Group has formed a strategic alliance with Smart RIA, a leader in the field of compliance software for RIAs. With its proprietary Advisor Alert technology, Smart RIA offers the most robust, comprehensive software on the market for helping RIAs grow their business and stay independent while maintaining compliance with federal and state regulations.

RIA Compliance Group offers a customized version of the software that is designed to meet the compliance needs of small and midsized RIAs. Our custom software solution allows specialized features that include, but are not limited to:

  • Automated Registration/Notice filing monitoring
  • Monthly compliance review tools
  • Customized compliance calendar
  • Secure, cloud based document storage
  • Code of Ethics reporting tools
  • Employee supervision tools
  • Compliance policy implementation and tracking tools
  • Customized compliance tasks
  • Compliance education tools
  • Client on-boarding supervision

Fill out this form to schedule your 30 minute demo today!




  • SEC Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATS
    on January 26, 2022 at 4:30 pm

    The Securities and Exchange Commission today proposed rules to better protect investors and enhance cybersecurity by bringing more Alternative Trading Systems (ATS) that trade Treasuries and other government securities under the regulatory umbrella. […]

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