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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 Presults?

By utilizing pre-sending alerts, you can avoid missing out on crucial keyword searches. The problem had already been addressed by the time the email notification was dispatched. This proactive approach will enhance employees' awareness of compliance matters as they arise, fostering a stronger sense of accountability. An effective tool can showcase your dedication to adhering to SEC17(a)-4 regulations. With our constantly updated lexicon, you can set aside concerns. We identify and intercept emails that may violate compliance before they are delivered to the intended recipient. Additionally, there are adaptable remediation options available that allow for the email to proceed if needed. All correspondence is meticulously saved for swift review and archived in alignment with regulatory requirements. This comprehensive system not only promotes compliance but also streamlines the oversight process.

Media

Media

Integrations Supported

Integrations Supported

Facebook
Google Workspace
Instagram
LinkedIn
Microsoft 365
Microsoft Teams
Zoom
Zoom Phone

API Availability

API Availability

Pricing Information

Pricing not provided

Pricing Information

$89 per month
Presults is $89 per month for the first 3 users and then $10 per month for additional connectors

Supported Platforms

SaaS

Supported Platforms

SaaS

Customer Service / Support

Standard Support
Web-Based Support

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Training Options

Documentation Hub
Webinars
Online Training

Training Options

Documentation Hub
Webinars
Online Training

Company Facts

Organization Name

Smart RIA

Date Founded

2011

Company Location

United States

Company Website

www.smart-ria.com

Company Facts

Organization Name

Presults

Date Founded

2020

Company Location

United States

Company Website

presults.com

Categories and Features

Compliance

Archiving & Retention
Audit Management
Risk Management

Categories and Features

Email Archiving

Compliance Management
Data Export
Encryption
Retention Management
Storage Management

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