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What is Smart RIA?

Our state-of-the-art compliance software is designed to fulfill the needs of both complex compliance organizations and smaller RIA teams. The SmartRIA platform adeptly addresses the varied requirements of compliance consultants, compliance officers, operations personnel, investment advisors, wealth managers, and their support teams. By utilizing SmartRIA, companies can thrive in today's regulatory environment. Specifically developed for the challenges faced by compliance professionals, SmartRIA solutions significantly improve the workflow of compliance consultants, officers, operations teams, investment advisors, and wealth managers as well. Imagine starting your week with a detailed view of your firm's compliance calendar, all available through an easy-to-navigate dashboard that can be mastered in just one day, employing technology that truly enhances your operations and increases productivity. Furthermore, this platform not only streamlines compliance management but also enables teams to concentrate on strategic initiatives and overall business growth, paving the way for future success. With such robust features, SmartRIA empowers organizations to adapt and excel in an ever-evolving regulatory landscape.

What is Luthor?

Luthor is the all-in-one compliance platform designed for RIAs who want to stay compliant, win clients, and grow—without hiring an entire compliance team. The platform automates everything from marketing reviews to policy management, communication monitoring, disclosures, and recordkeeping. Its AI-powered pre-screening analyzes marketing materials for potential violations, offering compliant phrasing before advisors publish anything publicly. Omnichannel monitoring ensures emails, websites, and social content are automatically scanned, archived, and stored in SEC-compliant WORM-based storage. With its built-in policy library, firms can deploy policies for ethics, cybersecurity, AML, business continuity, and more in minutes. Luthor centralizes disclosures such as OBAs, gifts, and political contributions with conflict checks and instant approvals. Real-time compliance dashboards show risk levels, pending tasks, and compliance health across the entire firm. Enterprise-grade security—including SOC 2 Type II certification—protects every regulatory document and client-facing communication. Dedicated 24/7 support provides expert assistance when audits or urgent compliance questions arise. Luthor gives RIAs the automation, clarity, and confidence they need to grow faster while staying fully compliant.

Media

Media

No images available

Integrations Supported

Additional information not provided

Integrations Supported

Additional information not provided

API Availability

Has API

API Availability

Has API

Pricing Information

Pricing not provided.
Free Trial Offered?
Free Version

Pricing Information

Pricing not provided.
Free Trial Offered?
Free Version

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Company Facts

Organization Name

Smart RIA

Date Founded

2011

Company Location

United States

Company Website

www.smart-ria.com

Company Facts

Organization Name

Luthor.ai

Date Founded

2024

Company Location

United States

Company Website

www.luthor.ai/

Categories and Features

Compliance

Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation

Categories and Features

Compliance

Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation

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