Product infographic carousel
Product infographic images
Product Infographic captions
-
1
Streamline employee onboarding and automate firm compliance using our template workflows that can be customized for your firm.
-
2
Leverage automation and compliant-file storage to manage and maintain SEC-compliant books and records
-
3
Never miss a client annual review or a chance to demonstrate fiduciary duty to your clients using our Client Annual Review Reports
-
1
Detect front-running and black-out period violations
-
2
Verify trades with company rules
-
3
Simplify trades and holdings reports
-
1
Archive email for your entire team, match to clients and easily reproduce for reporting and examinations.
-
2
Use keywords, flags, and reports to maintain oversight of your firm’s email.
-
3
Schedule reports to review random sampling of a percentage of emails over a period of time. Quickly reproduce data for internal and external audits.
Product Description
About this Product
SmartRIA is a comprehensive platform that simplifies compliance for wealth managers:
- Streamline compliance with workflows, templates and reporting
- Enhance oversight and automate reports with Trade Monitoring
- Simplify email archiving and review with SmartRIA Archive
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.
Other Products from SmartRIA
Product Details
Contact Us
Phone
Website
More info about us
Category
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.