Ratings and Reviews 1 Rating

Total
ease
features
design
support

Ratings and Reviews 0 Ratings

Total
ease
features
design
support

This software has no reviews. Be the first to write a review.

Write a Review

Alternatives to Consider

  • Predict360 Reviews & Ratings
    18 Ratings
    Company Website
  • Haast Reviews & Ratings
    5 Ratings
    Company Website
  • SDS Manager Reviews & Ratings
    4 Ratings
    Company Website
  • Sumsub Reviews & Ratings
    235 Ratings
    Company Website
  • MedTrainer Reviews & Ratings
    250 Ratings
    Company Website
  • Captain Compliance Reviews & Ratings
    337 Ratings
    Company Website
  • iTacit Reviews & Ratings
    46 Ratings
    Company Website
  • Rippling Reviews & Ratings
    21,045 Ratings
    Company Website
  • LeaseAccounting.app Reviews & Ratings
    Company Website
  • Interfacing Integrated Management System (IMS) Reviews & Ratings
    66 Ratings
    Company Website

What is Smartria?

Smartria is a purpose-built RIA compliance software platform for managing and automating SEC and FINRA compliance programs. The platform is designed for registered investment advisors and can be customized around the compliance requirements, policies, workflows, and organizational structure of individual firms. Its compliance management capabilities centralize tasks, forms, regulatory deadlines, alerts, reminders, filings, records, and other recurring compliance activities. Automated workflows allow firms to reduce manual work associated with processes such as new employee onboarding, regulatory filings, employee oversight, and ongoing compliance administration. Marketing review tools manage the submission, review, approval, and rejection of marketing materials while automatically maintaining records of those decisions. Employee attestation capabilities document employee acknowledgments related to codes of ethics, outside business activities, personal holdings, political activities, insider relationships, and other compliance requirements. Smartria also provides trade monitoring with customizable trade rules, pre-clearance workflows, front-running alerts, and support for Know Your Client and Know Your Employee requirements. Vendor management functionality helps compliance teams maintain vendor information and monitor security certifications, vendor attestations, and reported incidents. Access and activity logging combined with reporting tools provide records of employee participation and compliance activity that can help firms prepare for regulatory audits. Smartria supports boutique RIAs, growing advisory firms, and enterprise organizations, with enterprise capabilities including branch management and SOC 2-aligned security infrastructure. Compliance consulting firms can use multi-client access, content publishing, and in-app communications to manage compliance programs for multiple RIA clients from the platform.

What is Alpheous?

Alpheous is an advanced AI solution tailored for asset management and distribution teams focused on financial advisors, functioning entirely on-premises. This intelligent platform employs a network of synchronized agents to monitor a range of signals pertinent to advisors, products, regions, and regulations; evaluate the alignment of advisors with products; produce meeting summaries; generate follow-up messages; and support research and compliance verification. The system effectively organizes tasks spanning various operations, including targeting, outreach, compliance, and research, ensuring that all results are forwarded to staff for detailed examination. Users are empowered to approve, alter, or reject any external communications, highlighting Alpheous's dedication to maintaining that no information reaches an advisor without adequate human review. The solution is housed on a single-tenant appliance installed directly within the firm's infrastructure and is managed by the vendor, prioritizing a secure environment. Furthermore, Alpheous offers seamless integration with numerous systems and data sources like HubSpot, Slack, Gmail, Google Calendar, Broadridge, and FINTRX, enabling firms to customize the platform according to their unique products, data, operational workflows, and compliance requirements. This high degree of customization ensures that each firm can maximize the effectiveness of the platform, rendering it an essential asset in the asset management industry. Ultimately, Alpheous not only enhances operational efficiency but also reinforces the critical importance of human oversight in the communication process.

Media

Media

No images available

Integrations Supported

Integrations Supported

FINTRX Platform
Fireflies.ai
Gmail
Google Calendar
HubSpot CRM
Notion
Slack

API Availability

API Availability

Pricing Information

Pricing not provided

Pricing Information

Pricing not provided

Supported Platforms

SaaS

Supported Platforms

On-Prem

Customer Service / Support

Standard Support

Customer Service / Support

Standard Support
Web-Based Support

Training Options

Documentation Hub
Online Training

Training Options

Documentation Hub
Online Training
On-Site Training

Company Facts

Organization Name

Smartria

Date Founded

2011

Company Location

United States

Company Website

smart-ria.com

Company Facts

Organization Name

Alpheous, Inc.

Date Founded

2024

Company Location

United States

Company Website

www.alpheous.com

Categories and Features

Compliance

Archiving & Retention
Audit Management
Risk Management

Categories and Features

AI Sales Agents

Not specified

Popular Alternatives

Popular Alternatives

Bancroft Reviews & Ratings

Bancroft

Bancroft Sysyems
My Insider Reviews & Ratings

My Insider

MyInsider