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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 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

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Training Options

Documentation Hub
Online Training

Training Options

Documentation Hub
Webinars
Online Training

Company Facts

Organization Name

Smartria

Date Founded

2011

Company Location

United States

Company Website

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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