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 NEWS
SEC NEWS
- SEC Charges Georgia-based First Liberty Building & Loan and its Owner for Operating a $140 Million Ponzi Schemeon July 10, 2025 at 9:33 pm
The Securities and Exchange Commission today announced that it filed charges seeking an asset freeze and other emergency relief against Newnan, Georgia-based First Liberty Building & Loan, LLC and its founder and owner Edwin Brant Frost IV in…
- SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation Aon July 7, 2025 at 1:57 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting at the SEC Headquarters in Washington D.C on Tuesday, July 22, 2025 at 10 a.m. E.T. The meeting will be open to the […]
- SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companieson June 26, 2025 at 3:00 pm
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). Today’s reports provide […]
- SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirementon June 25, 2025 at 9:45 pm
The Securities and Exchange Commission today voted to extend the compliance date to June 30, 2026, for the amendments to Rule 15c3-3 (the broker-dealer customer protection rule) that the Commission adopted on Dec. 20, 2024. The amendments require […]
- SEC Office of the Investor Advocate Delivers to Congress Report on Objectives for Fiscal Year 2026on June 25, 2025 at 5:44 pm
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the office’s objectives for fiscal year 2026. As detailed in the report, the Investor Advocate’s priorities for fiscal year […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con July 20, 2025 at 8:52 am
Proxy Rules and Schedules 14A/14C
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents