SmartRIA
SmartRIA is a cloud-based SaaS compliance management platform built exclusively for Registered Investment Advisors, centralizing SEC/FINRA workflows including trade monitoring, vendor management, employee attestations, and marketing reviews for state-registered and SEC-registered RIAs of all sizes.
- Company typePrivate
- Founded2016
- HeadquartersKnoxville, United States
- Headcount11–50
- GTM typeB2B
- OfferingSoftware
What SmartRIA does
SmartRIA (legal entity: Smart-RIA Ventures, Inc.) is a privately-held SaaS company founded in 2016 and headquartered in Knoxville, Tennessee, that builds compliance management software exclusively for Registered Investment Advisors (RIAs). The platform centralizes and automates SEC and FINRA compliance workflows including compliance calendars, tasks, attestations, marketing material reviews, vendor due diligence, and personal trading surveillance, and is sold in three customer tiers targeting state-registered small firms under $100M AUM, growth-stage RIAs (including those scaling through M&A), and enterprise RIAs with tens of billions in AUM. The underlying technology is a cloud-based modular platform hosted on AWS using MongoDB Atlas, secured with AES-256-CBC encryption, continuously monitored via Drata, and SOC 2 Type II attested (completed February 2026). The platform integrates natively with the dominant RIA technology stack, including Salesforce, Wealthbox, Redtail, Altruist, and Plaid, and is complemented by a network of more than 100 compliance consultants and outsourced CCOs who use the product to serve their own RIA clients.
The business model is predominantly subscription-based SaaS with annual billing, supplemented by optional managed services (white-glove onboarding, training, priority support, quarterly strategic check-ins) and custom professional services for M&A and complex implementations. Pricing is quote-based and customized by firm size, complexity, and growth stage, with role-based pricing permissions (Compliance, Advisor, Access tiers) that allow firms to optimize per-seat costs. Go-to-market is a hybrid direct-sales motion combining enterprise field sales for larger accounts and inside sales for SMB/mid-market, augmented by a consultant referral channel that creates indirect distribution leverage. The company claims a customer base of 1,000+ RIAs, has been cash-efficient with only ~$1.7M in disclosed funding across multiple small rounds since founding, and in March 2026 appointed its first Head of AI and Engineering to begin layering machine learning capabilities onto its compliance workflow foundation.
SmartRIA firmographics
Firmographics- Name
- SmartRIA
- Legal name
- Smart-RIA Ventures, Inc.
- Website
- https://smart-ria.com
- Company type
- Private
- Founded year
- 2016
- Operating status
- Operating
- Headcount range
- 11–50 employees
- Short description
- SmartRIA is a cloud-based SaaS compliance management platform built exclusively for Registered Investment Advisors, centralizing SEC/FINRA workflows including trade monitoring, vendor management, employee attestations, and marketing reviews for state-registered and SEC-registered RIAs of all sizes.
- Ownership category
- akta.pro rank
SmartRIA industry classification
Industry- Product category
- RIA Compliance Management Software
- NAICS
- Computer Systems Design Services (541512)
- SIC
- Services-Prepackaged Software (7372)
- akta.pro primary industry
- Digital Wealth Platforms for Advisors (TAMP/Advisor Tech) (FSAGAEAH)
- akta.pro secondary industry
- Registered Investment Advisor (RIA) Wealth Management (FSAEABAA)
Keywords
Where SmartRIA is headquartered
LocationHeadquarters
- HQ city
- Knoxville
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
SmartRIA business model
Business model- GTM type
- B2B
- Offering type
- Software
- Cost components
- Technology or R&D, Personnel, Marketing or Sales, Infrastructure, Operations
Revenue model
- SaaS Subscription - Compliance Management Platform: Annual or monthly subscription for access to Smartria's compliance management platform. Pricing is customized based on firm size, complexity, and growth stage. Includes access to all core modules: compliance management, trade monitoring, vendor management, and employee oversight.
- Managed Services: Optional add-on services including white-glove onboarding, employee training, monthly system maintenance, priority support, and quarterly strategic check-ins for teams stretched thin.
- Custom Professional Services: Flexible custom solutions for unique challenges such as consolidating client/employee data, onboarding acquired teams, or building custom training programs.
- Compliance Consulting Referrals: Network of over 100 consultants and attorneys that Smartria connects customers with. While Smartria is a technology company, they facilitate service connections for customers needing compliance services.
Pricing tiers
| Model | Billing | Price |
|---|---|---|
| Subscription | Annual | Customized pricing for firms of all sizes |
| Per seat | Annual | Role-based pricing tiers for team members |
| Hybrid | Monthly | Managed Services add-on |
Go-to-market motion3 records
Distribution channels4 records
Marketing channels5 records
SmartRIA product offering
Product offeringCore offering
SmartRIA provides a cloud-based SaaS compliance management platform purpose-built for Registered Investment Advisors (RIAs). The platform centralizes and automates SEC and FINRA compliance workflows across four functional modules: compliance management (calendar, tasks, forms, deadlines), trade monitoring (Rule 204A-1, pre-clearance, front-running detection), vendor management (due diligence, security attestations, incident response), and employee oversight (onboarding, attestations, code of ethics). It is offered to firms of all sizes via per-seat annual subscriptions and supplemented by optional managed services and a network of 100+ compliance consultants.
Product overview
SmartRIA is a unified RIA compliance software platform built by an RIA for RIAs, now in its 8th year as an industry leader. The platform operates as a modular architecture with a core compliance management engine supplemented by four primary functional modules: Compliance Management (tasks, forms, deadlines, calendar), Trade Monitoring (surveillance, pre-clearance, Rule 204A-1), Vendor Management (due diligence, security attestations, incident tracking), and Employee Oversight (attestations, code of ethics, onboarding). The platform is offered across three customer tiers—Small Firms (for state-registered RIAs under $100M AUM), Growth RIAs (for scaling firms including M&A scenarios with role-based permissions), and Enterprise (for large RIAs with SOC 2 Type II, SSO, white labeling, and branch management features). Additional modules include Marketing Reviews and Employee Attestations. The platform also offers add-on services including Managed Services (white-glove onboarding, training, priority support) and access to a network of over 100 compliance consultants through its Compliance Consulting referral program.
Differentiator
Problem solved
Functional benefit
Products and services
- SmartRIA Compliance Platform Unified, cloud-based RIA compliance management platform centralizing, automating, and scaling SEC/FINRA compliance programs. Includes compliance calendar, task management, trade monitoring, vendor management, employee oversight, marketing review, and employee attestations, with role-based pricing and pre-configured rule sets for state and SEC-registered advisors.
- SmartRIA Managed Services
Quantifiable outcome
- 30% reduction in compliance review time
- +2 more outcomes
Companies that use SmartRIA
Customer profileNamed customers3 records
Segments5 records
Ideal customer profiles4 records
SmartRIA technology and API
TechnologyTechnology focussed Yes
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Integration7 records
Feature8 records
SmartRIA partnerships and signals
Strategic signalPartnerships
Ten partnerships are on record, tiered core.
- Salesforce CRMcoreCRM integration allowing firms to connect Smartria compliance workflows with their Salesforce CRM data. Enables seamless data sharing and compliance oversight within existing CRM infrastructure.
- Wealthbox CRMcoreIntegration with Wealthbox CRM for wealth management firms. Allows compliance data to flow between platforms for unified client and compliance management.
- AltruistcoreIntegration with Altruist platform, a modern RIA custodian, enabling compliance monitoring and data synchronization.
- RedtailcoreCRM integration with Redtail, a popular CRM in the RIA space. Part of Smartria's ecosystem of compliance-enabling integrations.
- PaidcoreIntegration with Plaid for trade monitoring, enabling automated feeds of financial data to support personal trading surveillance and Code of Ethics enforcement.
- AWS (Amazon Web Services)corePlatform hosted on AWS with continuous certification for global security and compliance frameworks. AWS provides the underlying infrastructure for Smartria's cloud-based services.
- DratacoreContinuous security monitoring and compliance automation platform used by Smartria. Provides real-time visibility into security controls and compliance posture.
- Frazier & Deeter, LLCcoreIndependent CPA firm conducting Smartria's annual SOC 2 Type II attestation audit.
- MongoDB AtlascoreDatabase-as-a-service used for data storage with autoscaling and security features.
- OpSourcedcoreManaged Service Provider helping manage platform hosting including scalability, monitoring, and security updates.
Scale indicators6 records
Recent moves5 records
Expansion highlights5 records
SmartRIA competitors and assessment
Company assessmentDirect peers
- RIA in a Box: Direct competitor in RIA compliance software, offering pre-built compliance manuals, policies, and procedures, cybersecurity testing, and advertising review for registered investment advisors. Highly comparable in target customer, product scope, and business model.
- Comply (ComplySci): Compliance platform serving RIAs, broker-dealers, and hedge funds with employee trade monitoring, code of ethics, personal trading surveillance, and marketing review. Overlaps directly with SmartRIA's trade monitoring, employee oversight, and marketing review modules.
- National Regulatory Services (NRS): Provides regulatory compliance education, consulting, and technology for investment advisers and broker-dealers. Comparable in serving the same SEC/FINRA-regulated audience with compliance solutions, though with a heavier consulting focus.
Broad incumbents
- RegEd: Compliance and education platform for financial services firms, including broker-dealers and investment advisers. Overlaps with SmartRIA in compliance management, training, and attestations but serves a broader set of regulated entities.
- Smarsh: Communications compliance and archiving platform that acquired RIA in a Box to expand into the RIA compliance market. Competes broadly across recordkeeping, archiving, and compliance workflows for financial services firms.
- Wolters Kluwer Compliance Solutions: Division of Wolters Kluwer providing compliance, risk, and regulatory solutions for financial services, including trade surveillance and employee compliance. A larger, more diversified incumbent with overlapping capabilities for RIAs and broker-dealers.
- Broadridge: Large-scale financial technology and operations provider offering compliance, communications, and trade surveillance solutions to broker-dealers and asset managers. Represents a much broader incumbent that competes in adjacent parts of the RIA compliance stack.
- Orion Advisor Technology: Wealthtech platform providing portfolio accounting, CRM (via Redtail), and advisor back-office tools. Competes more broadly in the RIA tech stack, with overlapping CRM integration and enterprise reach relevant to SmartRIA's integrations and customer base.
Emerging players
- Hearsay Systems: Social media and digital communications compliance platform for financial services, with overlapping capability in marketing review and social archiving for advisors. Comparable in solving regulatory compliance for advisor workflows but narrower in scope.
- AdvisorEngine: Wealth management technology platform for RIAs offering CRM, portfolio management, and client portals. Adjacent rather than direct, but competes for the same RIA technology budget and serves overlapping customer segments.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat5 records
Key risks6 records
Key highlights7 records
Customer concentration
SmartRIA social profiles
Digital presenceSmartRIA compliance and trust
Trust signalCompliance3 records
SmartRIA financial estimates
Financial estimateRevenue estimate
Valuation estimate
SmartRIA leadership team
Management profileNumber of profiles
Profiles6 records
SmartRIA funding detail
Funding detailFunding overview
Funding rounds7 records
Investors4 records
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
SmartRIA M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about SmartRIA
What does SmartRIA do?
SmartRIA provides a cloud-based SaaS compliance management platform purpose-built for Registered Investment Advisors (RIAs). The platform centralizes and automates SEC and FINRA compliance workflows across four functional modules: compliance management (calendar, tasks, forms, deadlines), trade monitoring (Rule 204A-1, pre-clearance, front-running detection), vendor management (due diligence, security attestations, incident response), and employee oversight (onboarding, attestations, code of ethics). It is offered to firms of all sizes via per-seat annual subscriptions and supplemented by optional managed services and a network of 100+ compliance consultants.
Is SmartRIA a public or private company?
SmartRIA is a private company. It is classified as venture growth investor backed and is currently operating.
When was SmartRIA founded?
SmartRIA was founded in 2016. It employs 11 to 50 people.
Where is SmartRIA based?
SmartRIA is headquartered in Knoxville, United States, in the North America region.
How does SmartRIA make money?
Four revenue lines are on record. SaaS Subscription - Compliance Management Platform is the primary driver. The others are managed Services, custom Professional Services and compliance Consulting Referrals.
Who are SmartRIA's main competitors?
Direct peers on record are RIA in a Box, Comply (ComplySci) and National Regulatory Services (NRS). Broad incumbents are RegEd, Smarsh, Wolters Kluwer Compliance Solutions, Broadridge and Orion Advisor Technology. Emerging players are Hearsay Systems and AdvisorEngine.
Does SmartRIA have an API?
No public API is recorded for SmartRIA.
What industry is SmartRIA in?
SmartRIA's product category is RIA Compliance Management Software. Its primary akta.pro industry code is FSAGAEAH, Digital Wealth Platforms for Advisors (TAMP/Advisor Tech), with a secondary code of FSAEABAA, Registered Investment Advisor (RIA) Wealth Management. Its NAICS code is 541512 and its SIC code is 7372.