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TECHNOLOGY PROVIDERS Compliance
SMARTRIA
Compliance Management Platform
The Smartria Compliance Management Platform is a solution that empowers advisors to stay ahead of regulatory changes, including addressing the U.S. Securities and Exchange Commission's 2023 Examination Priorities and other focus areas for Registered Investment Advisors (RIAs). One of the most crucial aspects of the Smartria solution is protecting an advisor's practice from catastrophic loss due to non-compliance. To accomplish this, the Smartria Compliance Management Platform incorporates diverse sets of data, workflows and access permissions within organizations to ensure that all
compliance requirements are met and all necessary actions are tracked and validated. With Smartria's solution, advisors can focus on delivering exceptional service to clients while having peace of mind knowing that their compliance needs are being taken care of.
Smartria is the leading compliance management software provider to Registered Investment Advisors (RIAs), RIA Networks, Enterprise and Corporate RIAs, and Compliance Consultants/Law Firms in the wealth management industry. Our vision is to be the best company in the world at providing compliance technology to RIAs. Smartria’s 2,500 current customers include some of the most respected names in financial advisory: -MarketCounsel Consulting -Dynasty Financial Partners -Ritholtz Wealth Management -XY Planning Network The company's software enables financial advice firms to fully manage their compliance obligations, reduce risk, and improve operational efficiency. SmartRIA's innovative technology and Software as a Partnership® approach have made it a go-to partner for major firms and providers across the industry. On March 30, 2023, Smartria announced a second strategic investment Series A funding round from Dynasty Financial Partners and MarketCounsel to further its mission of providing best-in-class compliance management solutions. Revenue was up 60% in 2022.
200 WealthManagement.com
*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.
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