--- title: "Smart RIA Software Pricing, Alternatives & More 2026 | Capterra" description: "With the help of Capterra, learn about Smart RIA Software - reviews, pricing plans, popular comparisons to other Financial Risk Management products and more." source_url: "https://www.capterra.com/p/158544/Smart-RIA/" page_type: "product" language: "en" --- # Smart RIA Software Review 2026: Features, Integrations, Pros & Cons Last updated on September 16, 2026 Provider data verified by our Software Research team, and reviews moderated by our Reviews Verification team. [Description](#description)[Use cases](#use-cases)[Alternatives](#alternatives)[FAQs](#faqs)[Features](#features)[Pricing](#pricing)[Integrations](#integrations)[Support](#support)[Reviews](#reviews) Smart RIA ## What is Smart RIA? Compliance management software platform to streamline compliance data for audits, track & meet regulatory requirements and more. ## What is Smart RIA used for? [Financial Risk Management](https://www.capterra.com/financial-risk-management-software/)[Vendor Management](https://www.capterra.com/vendor-management-software/) Top alternative Featured Overall rating Based on 12 user reviews Reviews sentiment Positive \- Neutral \- Negative \- Starting price $50 Flat Rate, Per Month Free trial not available Free version not included Capterra Shortlist charts the highest-rated and most popular products... Our "Best of" badge program showcases products with the highest ratings... Our "Best of" badge program showcases products with the highest ratings... Do you work for Smart RIA?[Manage this product listing](https://www.g2.com/products/smart-ria/claim_requests/new?auto=true) ## Compare with a popular alternative Capterra selects software alternatives based on relevant features, verified user reviews and user interactions. Placement may be influenced by client status. ### Smart RIA 4.6 (12) VS. [4.2 (2,073)](https://www.capterra.com/p/135757/NetSuite/reviews/) Starting Price $50 Flat Rate, Per Month Starting Price Contact vendor Free Trial Free Version Pricing Options Free Trial Free Version Ease Of Use 4.8 (12) Ease Of Use 4.0 (2,029) Value For Money 4.8 (12) Value For Money 3.9 (1,618) Customer Service 4.8 (12) Customer Service 3.8 (1,721) ## Smart RIA alternatives [4.7 (414)](https://www.capterra.com/p/148230/SOXHUB/reviews/) Starting price Contact vendor for pricing Pricing Options Free Trial Free Version User Rating 98% of reviewers rated it above 4 stars Highest Rated [4.8 (105)](https://www.capterra.com/p/138931/Audit-Software/reviews/) Starting price Contact vendor for pricing Pricing Options Free Trial Free Version User Rating 98% of reviewers rated it above 4 stars [4.5 (109)](https://www.capterra.com/p/136077/Tradogram/reviews/) Starting price Contact vendor for pricing Pricing Options Free Trial Free Version User Rating 94% of reviewers rated it above 4 stars [4.7 (423)](https://www.capterra.com/p/136321/ProcurementExpress-com/reviews/) Starting price $415.00 Per User, Per Month Pricing Options Free Trial Free Version User Rating 98% of reviewers rated it above 4 stars [View all alternatives](https://www.capterra.com/p/158544/Smart-RIA/alternatives/) ## FAQs about Smart RIA Overview ### Which roles and teams benefit most from Smart RIA? Smart RIA is most used by compliance teams, operations leaders, and advisory firm executives who need to manage regulatory workflows efficiently. Compliance specialists and consultants rely on it for monitoring, documentation, and audit readiness, while operations managers, founders, and wealth advisors use it to streamline oversight, standardize processes, and reduce administrative risk. Answer based on 12 reviews Overview ### What company size and specific industries is Smart RIA built for? Smart RIA is designed for wealth management firms and institutional financial services platforms of all sizes, including small, mid-market, and enterprise organizations. It is built for financial services teams that need to manage compliance data, monitor trades, handle accounts, and meet regulatory requirements. Features and Usability ### What are the key features of Smart RIA? Smart RIA offers access controls and permissions, audit management with an audit trail, compliance management, and incident management. It also includes onboarding, a self-service portal, transaction history, and vendor master data management for tracking records and maintaining controlled access across compliance workflows. Integrations ### Which third-party tools and platforms does Smart RIA integrate with? Smart RIA integrates with Plaid and Salesforce Sales Cloud. These integrations cover financial data connectivity and CRM workflows, giving the platform a concise set of third-party options for linking account information and client records. Getting Started and Support ### What training and onboarding options does Smart RIA offer? Smart RIA provides in person training, live online sessions, webinars, and documentation. In person training supports guided instruction on site, live online sessions and webinars provide real-time instruction remotely, and documentation gives written reference material for self-paced review. Getting Started and Support ### What customer support options does Smart RIA offer? Smart RIA provides chat support. No reviewer feedback on support experience is available here, so the product’s support quality, response speed, and helpfulness cannot be described from user comments. The listed channel is the only support option included in the catalog data. ## Features AI summary Based on 826 Financial Risk Management reviews Capterra data shows that buyers of vendor management software rank the following features as their top priorities: - **Vendor Master Data Management** (**55%** of reviewers rated this feature as critical) - **Compliance Management** (**51%**) - **Onboarding** (**46%**) Smart RIA supports all three of the features reviewers rate most important: **Vendor Master Data Management**, **Compliance Management**, and **Onboarding**. Together, these capabilities help businesses maintain accurate vendor records, manage regulatory requirements more effectively, and bring new vendors into the system faster, allowing teams to improve oversight and keep vendor operations organized. Access Controls/Permissions Define levels of authorization for access to specific files or systems Audit Management Plan, schedule, and execute organization's accounts and assets to ensure compliance with policies and laws Audit Trail A record of all activities within the system, including user access, changes made, etc. Compliance Management Track and manage adherence to policies for any service, product, process, or supplier Onboarding Process of familiarizing new clients, stakeholders or employees with the company, a new location, or a service Self Service Portal Online portal through which end users can access the system, manage tasks, or obtain information Smart RIA 8 features ### All Features - Access Controls/Permissions: Define levels of authorization for access to specific files or systems - Audit Management: Plan, schedule, and execute organization's accounts and assets to ensure compliance with policies and laws - Audit Trail: A record of all activities within the system, including user access, changes made, etc. - Compliance Management: Track and manage adherence to policies for any service, product, process, or supplier - Onboarding: Process of familiarizing new clients, stakeholders or employees with the company, a new location, or a service - Self Service Portal: Online portal through which end users can access the system, manage tasks, or obtain information - Transaction History: Record of all transactions such as purchases, deposits, withdrawals and transfers within a specific period - Vendor Master Data Management: Create and maintain quality vendor data through data validation, maintenance, and audit trails to ensure proper compliance and sourcing --- Get Advice We can help you find the software with the features you need. Features 4.4 (12) 4.4 Based on 12 reviews ## Pricing Value for money 4.8 (12) Basic $50.00 Flat Rate,Per Month Value for money 4.8 (12) 4.8 Based on 12 reviews ## Integrations [ Salesforce Sales Cloud](https://www.capterra.com/p/61368/Salesforce/)[ Plaid](https://www.capterra.com/p/174384/Plaid/) Connect with a Capterra advisor for a free 15-minute consultation Get a personalized software list aligned to your business needs with guidance from our expert advisors. Our team has helped 1 million+ businesses like yours find options that fit their needs. ## Support, customer service and training options Customer Service 4.8 (12) Support - Email/Help Desk - FAQs/Forum - Knowledge Base - Phone Support - 24/7 (Live rep) - Chat Training - In Person - Live Online - Webinars - Documentation - Videos Deployment - Web - Android - iPhone/iPad Typical users - Freelancers - Small businesses - Mid size businesses - Enterprises Customer Service 4.8 (12) 4.8 Based on 12 reviews ## User reviews Overall rating 4.6 Based on 12 reviews Filter by rating 5(7) 4(5) 3(0) 2(0) 1(0) Mentioned topic Sorted by most recent TM Tyler M. Operations & Compliance Manager Financial Services ### "Great Solution for Our RIA" 5.0 Overall Rating 5.0 5.0 Ease of Use 5.0 5.0 Features 5.0 5.0 Customer Service 5.0 5.0 Likelihood to Recommend 10/10 October 1, 2020 Our firm was one of the very first to integrate the use of Smart-RIA into our daily operations, so we have seen the progress of this platform from the beginning. The development team has always provided an excellent customer experience including the attempt to incorporate new features, and they have really taken much stronger approach to development when they decided to stay purely in their lane - compliance. Pros The most impactful functionality of this software includes a customizable compliance calendar where alerts can be managed for all employees/advisors and custom forms that can be created to capture critical information including the ability to upload/attach supporting files. Smart-RIA is our one-stop-shop for all things compliance. Cons Occasionally process steps are added or modified between patch releases, but the changes are typically intuitive in nature so as not to impede your work. As of late, the development team has been issuing helpful, proactive communications about new functionality and interface changes when migrating to newer releases. Reasons for choosing Smart RIA I am unaware of any competitive products available when we adopted Smart-RIA. Review source Vendor Referred - Incentive Offered: This reviewer was invited by the software vendor to submit an honest review and offered a nominal incentive as a thank you. VP Veronica P. Family Wealth Advisor Financial Services ### "Excellent tool for a family office" 5.0 Overall Rating 5.0 5.0 Ease of Use 5.0 5.0 Features 5.0 5.0 Customer Service 5.0 5.0 Likelihood to Recommend 10/10 September 28, 2020 Pros What I like is how easy it is to use not only for the compliance department but also for employees. It is an excellent tool that guides us to comply with regulations. Cons Honestly I don't see any cons. if I ever needed something extra or something I didn't know how to do I will just reach the support team which is very responsive. Review source Vendor Referred - Incentive Offered: This reviewer was invited by the software vendor to submit an honest review and offered a nominal incentive as a thank you. Response from Vendor October 31, 2020 Gracias, Veronica! We're thrilled to hear how this tool is working for your firm! Sarah P. Chief Officer of Compliance and Operations Financial Services ### "Finally All-Inclusive Compliance Software" 5.0 Overall Rating 5.0 5.0 Ease of Use 5.0 5.0 Features 5.0 5.0 Customer Service 5.0 5.0 Likelihood to Recommend 10/10 September 25, 2020 I can without a doubt say that SmartRIA is the best vendor we work with. Not just in the compliance software realm. They are always timely with responses and quick to address any issues that pop up. Pros SmartRIA is the only product I was able to find on the market that helps you build out a full compliance program in one place. All of the other products are piecemeal and end up costing significantly more. My team and I really appreciate how receptive SmartRIA is to changing and improving as well. Cons Depending on your custodian getting your data feeds set up correctly can be frustrating and time consuming. Switched from [COMPLY](https://www.capterra.com/p/158178/ComplySci/) ComplySci was only solving for one issue and didn't have the ability to personalize to our firm. And every additional feature was doubling my bill. Review source Vendor Referred - Incentive Offered: This reviewer was invited by the software vendor to submit an honest review and offered a nominal incentive as a thank you. Response from Vendor October 21, 2020 Thank you so much for the kind words about SmartRIA, Sarah. We're grateful to be able to help! MG Michael G. VP of Operations Financial Services ### "SEC Audit" 4.0 Overall Rating 4.0 4.0 Ease of Use 5.0 5.0 Features 5.0 5.0 Customer Service 4.0 4.0 Likelihood to Recommend 8/10 January 17, 2020 Pros We went through an SEC Audit and the access controls and vendor due diligence saved us so much time in reporting for the SEC. Huge help in a stressful time. Cons More communication around acquisition would have been nice Review source Vendor Referred - Incentive Offered: This reviewer was invited by the software vendor to submit an honest review and offered a nominal incentive as a thank you. SB Sharon B. Compliance Specialist Financial Services ### "Smart RIA is a great tool for oversight of RIAs." 5.0 Overall Rating 5.0 5.0 Ease of Use 5.0 5.0 Features 4.0 4.0 Customer Service 5.0 5.0 Likelihood to Recommend 10/10 December 26, 2019 The oversight of annual client reviews and those advisors who are not documenting the annual reviews. Pros The system is easy to use which helps the advisors to utilize the tool. Cons A few more compliance tools would be helpful however the SmartRIA team listens to our needs and works to provide the tools we need. Review source Vendor Referred: This reviewer was invited by the software vendor to submit an honest review. SS Sara S. Compliance Consultant Investment Management ### "Great Organizational Tool" 5.0 Overall Rating 5.0 5.0 Ease of Use 5.0 5.0 Features 4.0 4.0 Customer Service 5.0 5.0 Likelihood to Recommend 10/10 December 20, 2019 Really enjoy working with our contact person \[SENSITIVE CONTENT HIDDEN\] ! She very quick to respond to any questions I might have and is very patient as I have learned how to manipulate the tool. Pros Task Features. This tool offers automatic reminders to our clients each week so that they better keep up with their compliance tasks. Cons The tasks only allow for 1 attachment each. I have tasks that sometime require multiple attachments. I would like this feature to be added. Review source Vendor Referred: This reviewer was invited by the software vendor to submit an honest review. Response from Vendor December 24, 2019 Thank you so much for your kind words, Sara. We appreciate your business, and your constructive suggestion for improvement! Sincerely, The SmartRIA Team DR Daniel R. Owner Financial Services ### "Ease of Use" 5.0 Overall Rating 5.0 5.0 Ease of Use 5.0 5.0 Features 5.0 5.0 Customer Service 5.0 5.0 Likelihood to Recommend 10/10 December 20, 2019 The software allows me to operate my business in an organized manner that presents well to clients and regulators. Pros The software is intuitive and easy to use backed by a responsive support team. Cons There are no significant cons to include. Reasons for choosing Smart RIA Pricing and ease of use. Review source Vendor Referred: This reviewer was invited by the software vendor to submit an honest review. SG Scott G. Senior Compliance Consultant Investment Management ### "Compliance Task Management System" 4.0 Overall Rating 4.0 4.0 Ease of Use 4.0 4.0 Features 3.0 3.0 Customer Service 4.0 4.0 Likelihood to Recommend 10/10 December 20, 2019 It's been a long road. The software has made great advancements in the first couple of years, and the support team has been great. As long as improvements continue to be made, we're moving in the right direction. Pros The software is fully customizable, which is critical for state registered and financial planning focused firms that may need to add or remove tasks according to their specific business model. Cons The integrations are limited, specifically with Wealthbox and Redtail (CRM integrations). Firm owners would like to be able to eliminate the need to track and complete tasks in calendar format in both systems, but by only synching client data and not task data via the integration, that functionality does not improve efficiency from a task management standpoint. Also, the lack of a strong document storage solution that includes the secure transfer of documents to and from clients encourages firms to store documents via other systems (Drop Box, Sharefile, etc.). Reasons for choosing Smart RIA I did not. This decision was made by the CEO of the company, Alan Moore. Review source Vendor Referred: This reviewer was invited by the software vendor to submit an honest review. DB Denise B. CCO Financial Services ### "Compliance Documentation" 4.0 Overall Rating 4.0 4.0 Ease of Use 5.0 5.0 Features 4.0 4.0 Customer Service 5.0 5.0 Likelihood to Recommend 10/10 December 20, 2019 They are very attentive to your needs and wants. Willing to create workflows to automate compliance tasks. Broadening their program to encompass more and more of our advisory compliance needs Pros Provides a way to track when items are sent and completed. Tracking of tasks completed not just for the compliance department but for advisors and access personnel. Cons Currrently, there isn't a direct feed from our custodian. So, there is a daily download and upload of the information to have it appear in the SmartRIA system. Review source Vendor Referred: This reviewer was invited by the software vendor to submit an honest review. MV Melissa V. Compliance Specialist Legal Services ### "Great Software, Improving Every Day" 4.0 Overall Rating 4.0 4.0 Ease of Use 4.0 4.0 Features 4.0 4.0 Customer Service 5.0 5.0 Likelihood to Recommend 10/10 December 20, 2019 We don't use SmartRIA for ourselves. It is a program that we offer to out clients. So far, reviews have been good. It's always a learning process, but overall, it's a great product. The support team is always there to help when we are lost and they are always pleasant to work with. The program is constantly being improved to function better for our clients. Pros The Support Staff and the functionality. The support team has been great through this whole learning process. It is really nice that our clients have one place that they can save and organize all of their compliance documents. Cons It's not necessarily a bad thing, but the software is continuously being improved, so sometimes it is hard to keep up with the changes. But progress is always welcome. Reasons for choosing Smart RIA N/A Review source Vendor Referred: This reviewer was invited by the software vendor to submit an honest review. [View all Reviews](https://www.capterra.com/p/158544/Smart-RIA/reviews/) ## Top-rated software of 2026 ### Fill out the form and we'll send a list of the top-rated software based on real user reviews directly to your inbox.