# Smart RIA Reviews 2026. Verified Reviews, Pros & Cons | Capterra > Is Smart RIA the right Vendor Management solution for you? Explore 12 verified user reviews from people in industries like yours to make a confident choice. Source: https://www.capterra.com/p/158544/Smart-RIA/reviews --- Smart RIA 4.6 (12) [View alternatives](https://www.capterra.com/p/158544/Smart-RIA/alternatives/) Provider data verified by our Software Research team, and reviews moderated by our Reviews Verification team. [Learn more](https://www.capterra.com/our-story/) * * * Last updated March 13th, 2026 # Reviews of Smart RIA Ease of use 4.8 Customer Service 4.8 ## Showing most helpful reviews Showing 1-12 of 12 Reviews Sort by: Most Helpful Rating Company Size Reviewer's Role Length of Use Frequency of Use Sarah P. Chief Officer of Compliance and Operations Financial Services Used the software for: 2+ years ### "Finally All-Inclusive Compliance Software" September 25, 2020 5.0 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 Response from SmartRIA October 21, 2020 Thank you so much for the kind words about SmartRIA, Sarah. We're grateful to be able to help! SG Scott G. Senior Compliance Consultant Investment Management Used the software for: 2+ years ### "Compliance Task Management System" December 20, 2019 4.0 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.). Reason for choosing Smart RIA I did not. This decision was made by the CEO of the company, Alan Moore. Review Source MG Michael G. VP of Operations Financial Services Used the software for: 1-2 years ### "SEC Audit" January 17, 2020 4.0 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 TM Tyler M. Operations & Compliance Manager Financial Services Used the software for: 2+ years ### "Great Solution for Our RIA" October 1, 2020 5.0 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. Reason for choosing Smart RIA I am unaware of any competitive products available when we adopted Smart-RIA. Review Source HT Hannah T. Operations Manager Financial Services Used the software for: 1-2 years ### "Functional platform making switch enhancements." December 20, 2019 4.0 We love working with Amy, she understands the system well, is thorough and is really good at helping familiarize users with the platform. We have had excellent service from SmartRIA and while it is still newer to us, we feel like this will be a good platform to run compliance out of for years to come. Pros The SmartRIA team listens to feedback from users and swiftly implements changes. Examples: email notifications, form template editing ease (DRAG AND DROP FEATURE). The Reports tab is useful for the Compliance team as far as ensuring everyone is completing forms in a timely manner and the ability to pull various types of forms over a certain timeframe. Cons I wish the weekly email with upcoming activities also would show users their past due activities! This seems like an easy item to add that would prevent some of our chasing down of supervised persons! Review Source MV Melissa V. Compliance Specialist Legal Services Used the software for: 2+ years ### "Great Software, Improving Every Day" December 20, 2019 4.0 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. Reason for choosing Smart RIA N/A Review Source WB Wade B. Founder Investment Management Used the software for: 2+ years ### "SmartRIA - Happy client" December 20, 2019 5.0 Excellent and fluid. They are the most flexible / client friendly firm I have worked with Pros The folks at SmartRIA dig in to help their clients make the most out of this incredible software. They are available to customize depending on individual client needs and always flexible with assisting with converting documents into the system Cons N/A - f there is something that does not work with one of my clients they always work with me to configure the system to meet that clients needs. Reason for choosing Smart RIA The flexibility of the system Review Source SS Sara S. Compliance Consultant Investment Management Used the software for: 1-2 years ### "Great Organizational Tool" December 20, 2019 5.0 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 Response from SmartRIA 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 VP Veronica P. Family Wealth Advisor Financial Services Used the software for: 1-2 years ### "Excellent tool for a family office" September 28, 2020 5.0 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 Response from SmartRIA October 31, 2020 Gracias, Veronica! We're thrilled to hear how this tool is working for your firm! DB Denise B. CCO Financial Services Used the software for: 6-12 months ### "Compliance Documentation" December 20, 2019 4.0 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 DR Daniel R. Owner Financial Services Used the software for: 1-2 years ### "Ease of Use" December 20, 2019 5.0 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. Reason for choosing Smart RIA Pricing and ease of use. Review Source SB Sharon B. Compliance Specialist Financial Services Used the software for: 6-12 months ### "Smart RIA is a great tool for oversight of RIAs." December 26, 2019 5.0 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 Similar Products Featured