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What is SmartRIA?

Our innovative compliance software is designed to serve a diverse array of organizations, ranging from extensive compliance companies to smaller RIA compliance teams. The SmartRIA platform is expertly crafted to address the varied requirements of compliance consultants, compliance officers, operations teams, investment advisors, wealth managers, and their support staff. By utilizing SmartRIA, firms like yours can thrive in today’s competitive environment. Are you in search of a solution capable of effectively overseeing hundreds of professionals while adapting to your evolving needs? SmartRIA emerges as the most versatile RIA compliance management platform on the market. You can have confidence that your cybersecurity measures and protocols will ensure the protection of the sensitive client data entrusted to your organization through careful professional assessment and thorough documentation. Utilize SmartRIA to create strong documentation practices and cultivate a culture that prioritizes compliance, guaranteeing that your operational workflows are as streamlined and transparent as possible. With the SmartRIA platform, you will be joining over 2,400 firms already reaping the advantages of this powerful RIA compliance management tool, solidifying its status as a reliable option within the industry. This platform not only simplifies the complexities of compliance management but also significantly boosts the overall efficiency of its users. In addition, the user-friendly interface and robust support system make it easier for firms to integrate SmartRIA into their existing processes seamlessly.

What is Renaissance?

Renaissance is an all-encompassing compliance management system (CMS) crafted to efficiently allocate essential compliance duties among broker-dealers and investment advisors. The platform's primary interface features an intuitive, icon-driven menu that guides users toward their most pressing compliance obligations. In addition, our sophisticated reporting dashboard aids in aligning compliance objectives with overarching risk management strategies. Access permissions can be customized to mirror your firm’s organizational hierarchy, guaranteeing that the right personnel have access to critical information. Users are also able to create, manage, and distribute targeted emails based on their activity status, with options to schedule these communications daily, weekly, or monthly. Moreover, the system is fully optimized for mobile devices, enabling users to connect via any internet-capable laptop, tablet, or smartphone, which significantly enhances both accessibility and convenience. This flexibility not only encourages your team to remain compliant but also ensures they are well-informed, no matter where they are located. Ultimately, Renaissance empowers users to navigate the complex compliance landscape with confidence and ease.

Media

Media

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

Smartria

Date Founded

2011

Company Location

United States

Company Website

smart-ria.com

Company Facts

Organization Name

Quest CE

Company Location

United States

Company Website

www.questce.com/firm-compliance/

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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