What Smartria® does

Smartria® (legal name: Smart-RIA Ventures, Inc.) is a U.S.-based SaaS company headquartered in Knoxville, Tennessee, that provides cloud-based compliance management software purpose-built for Registered Investment Advisors (RIAs), hybrid RIAs, RIA networks, and compliance consultants. Founded in 2011 and operating with a workforce of 11-50 employees, the company markets itself as having been "built by an RIA for RIAs" and serving thousands of RIAs, CCOs, and compliance consultants. It is privately held with no disclosed funding rounds, ownership structure, or revenue figures.

The platform centralizes, automates, and scales SEC and FINRA compliance programs through an integrated suite of modules covering core compliance management (tasks, forms, deadlines, alerts), trade monitoring with KYC/KYE, pre-clearance, and front-running alerts, vendor management with security certifications and incident tracking, marketing reviews with automated approval/rejection records, employee attestations, and employee oversight with access and activity logging. The software is pre-configured for SEC and FINRA rules with customization options and is delivered on SOC 2 Type 2 certified cloud infrastructure. Distribution is direct-to-customer via a consultative, demo-driven sales motion segmented into three annual subscription tiers — Boutique (small firms), Growth (scaling RIAs), and Enterprise (large organizations with branch management) — with a dedicated multi-client configuration for compliance consulting firms. The company holds no disclosed public pricing, no third-party integrations or APIs, and reports no revenue, headcount growth, or partnership ecosystem at this time.

Name

Smartria®

Legal name

Smart-RIA Ventures, Inc.

Website

https://smartria.com

Company type

Private

Founded year

2011

Operating status

Operating

Headcount range

11–50 employees

Short description

Smartria provides cloud-based compliance management software purpose-built for U.S. Registered Investment Advisors, offering pre-configured SEC/FINRA modules across Boutique, Growth, and Enterprise tiers and serving thousands of RIA firms, CCOs, and compliance consultants.

Ownership category

akta.pro rank

Product category

Regulatory Compliance Software (RIA / SEC-FINRA)

NAICS

Computer Systems Design and Related Services (54151)

SIC

Services-Prepackaged Software (7372)

akta.pro primary industry

Registered Investment Advisor (RIA) Wealth Management (FSAEABAA)

akta.pro secondary industries

Digital Wealth Platforms for Advisors (TAMP/Advisor Tech) (FSAGAEAH), Investment Management Advisory (RIA) (FSAEAAAB)

Keywords

• RIA compliance software
• SEC FINRA compliance
• Trade monitoring software
• Vendor management software
• Employee oversight tools

Headquarters

HQ city

Knoxville

HQ country

United States

HQ region

North America

Markets served

GTM type

B2B

Offering type

Software

Cost components

Technology or R&D, Personnel, Marketing or Sales, Operations, Infrastructure

Revenue model

1. Software Subscription: Subscription-based pricing model for RIA compliance software, with tiers designed for boutique firms, growth RIAs, and enterprise organizations. The software centralizes, automates, and scales SEC/FINRA compliance programs.

Pricing tiers

Go-to-market motion1 record

Distribution channels3 records

Marketing channels4 records

Core offering

Smartria provides a cloud-based compliance management platform that centralizes, automates, and scales SEC/FINRA compliance programs for Registered Investment Advisors (RIAs), hybrid RIAs, RIA networks, and compliance consultants. The platform bundles compliance management, trade monitoring (KYC/KYE, pre-clearance, front-running alerts), vendor management, employee oversight and attestations, and marketing reviews into a single SOC 2 compliant system pre-configured for U.S. securities regulations. It is sold as tiered annual subscriptions (Boutique, Growth, Enterprise) plus a multi-client variant for compliance consulting firms.

Product overview

Smartria® is a unified RIA compliance software platform that centralizes, automates, and scales SEC/FINRA compliance programs. The platform operates as a single integrated system with multiple modules including Compliance Management, Marketing Reviews, Employee Attestations, Trade Monitoring, and Vendor Management. The software is pre-configured for SEC and FINRA rules and regulations, and is offered in three tiers: Boutique (for small firms), Growth (for scaling RIAs), and Enterprise (for large organizations). Built by an RIA for RIAs, the platform has been delivering compliance solutions for 8 years.

Differentiator

Problem solved

Functional benefit

Products and services

• Compliance Management Core compliance management module providing tasks, forms, deadlines, alerts, and reminders to help RIA firms stay in compliance on a daily basis, pre-configured for SEC and FINRA rules and regulations. Targeted at RIA firms, Chief Compliance Officers, and compliance consultants as the central hub of the Smartria platform.
• Trade Monitoring Trade surveillance module supporting Know Your Client (KYC) and Know Your Employee (KYE) requirements with customizable trade rules, pre-clearance workflows, and front-running alerts. Used by RIA firms to monitor personal and firm trading activity against regulatory rules.
• Vendor Management Vendor due diligence module that tracks security certifications, vendor attestations, and incidents via a curated vendor list with options to add custom vendors. Used by RIA firms to centralize third-party vendor oversight and documentation.
• Employee Oversight Employee oversight and attestation module providing access and activity logging, automated employee attestations (code of ethics, outside business activities, personal holdings, political activities, insider relationships), and robust reporting for compliance culture and audit readiness. Used by RIA firms and CCOs to track employee compliance participation.
• Smartria Services Services offering from Smartria complementing its compliance software platform, positioned alongside the platform for RIA firms, hybrid RIAs, and RIA networks.

Named customers2 records

Segments4 records

Ideal customer profiles4 records

Technology focussed Yes

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature6 records

Scale indicators3 records

Recent moves4 records

Expansion highlights3 records

Broad incumbents

• National Regulatory Services (NRS): NRS offers compliance education, consulting, and technology solutions for the securities and insurance industries, including content and tools for RIAs. It overlaps with Smartria's compliance consultant segment and RIA training needs, but as a broader regulatory services provider.
• Orion Advisor Technology: Orion provides portfolio accounting, performance reporting, and compliance tools to RIAs and wealth managers. Its compliance offering competes with Smartria, though Orion's broader wealthtech stack gives it cross-sell leverage Smartria lacks.
• Smarsh: Smarsh is a large, established communications archiving and compliance vendor serving financial services firms, including RIAs and broker-dealers. It addresses overlapping needs (supervision, recordkeeping) but as part of a much broader communications compliance portfolio.
• NCC Group (NCC Compliance Solutions): NCC Group provides regulatory compliance software and services, including solutions targeted at broker-dealers and RIAs. It is a broader compliance technology incumbent with overlapping RIA-relevant functionality but a much wider product portfolio.

Direct peers

• RIA in a Box: RIA in a Box provides compliance and operations software purpose-built for registered investment advisors, including code of ethics, marketing review, and cybersecurity workflows. It is the most direct head-to-head competitor to Smartria in the U.S. RIA compliance segment.
• Comply (formerly RIA Comply / RegEd): Comply offers compliance, supervision, and regulatory technology solutions for broker-dealers, RIAs, and insurance firms. It overlaps directly with Smartria's RIA compliance workflows and extends into adjacent regulated verticals.
• Red Oak Compliance Solutions: Red Oak Compliance provides advertising compliance review and regulatory filing software for broker-dealers and RIAs. It overlaps with Smartria's marketing review and broader compliance modules and serves the same regulated wealth management buyer.

Emerging players

• Advyzon: Advyzon is an integrated wealth management platform serving RIAs with CRM, portfolio management, and client portal capabilities. It does not focus purely on compliance like Smartria, but its all-in-one approach is an emerging alternative for smaller RIA buyers.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat3 records

Key risks6 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/smartria

Compliance1 record

Revenue estimate

Valuation estimate

Number of profiles

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Smartria®