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ALERT – Stay aware of data breaches with push notifications from the vendor due diligence system when breaches are discovered.
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DOCUMENT – Document internal data breaches and security or policy-related incidents and resolutions within your firm.
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NOTIFY – Notify your clients of incidents that affect them
Product Description
About this Product
Automates vendor due diligence and client data governance:
- Detail cyber-security profiles of vendors for due diligence.
- Use a systematic approach to understand how firm data is connected.
- Mitigate risks by understanding sensitive data elements.
About SmartRIA
SmartRIA creates cloud-based software solutions that streamline the work of compliances teams, investment advisors, and administrative staff. Designed and developed with your needs in mind our software doesn't force you to change the processes you have in places. Instead, it helps to make those processes more effective, timely, organized, and cost-effective through powerful functionality and in an elegant, intuitive user experience. Mobile accessibility allows you to use SmartRIA from anywhere, whether you're on the road, at the client site, or working from home.
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Integration Capabilities
Serving RIAs Since
Discount for Schwab Clients?
0719-93C0
API integration is available through Schwab OpenView Gateway®, which is provided by Performance Technologies, Inc. (“PTI”). Single sign-on is provided by PTI. Daily data files and trading integration are available through Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC. Not all third party providers listed on this site have integration agreements with Schwab. Schwab OpenView Gateway® and Schwab OpenView MarketSquare™ are services of PTI.
References to third parties on this site (whether such parties are vendors participating in a service of PTI or independent advisors using a service of a participating vendor) are not an endorsement or recommendation of, or an opinion (favorable or unfavorable), or advice about, or a referral to any product or service of any third party. Advisors are solely responsible for evaluating, selecting, and purchasing products and services offered by third party vendors. Unless indicated otherwise, third parties are independent and not affiliated with PTI or its affiliates.
Schwab Advisor Services includes the custody, trading, and support services of Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC, and the technology products and services of PTI. PTI and CS&Co are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent of each other. PTI’s integration solutions integrate data about accounts custodied at CS&Co.
Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance, or for other reasons.