Wer verwendet SmartRIA?

Medium to large-sized wealth management firms and institutional financial services platforms. Companies struggling to track and meet complex regulatory requirements.

Was ist SmartRIA?

SmartRIA software simplifies compliance for over 1,400 wealth management companies with assets under management as high as $40Billion: keeping compliance data organized and audit ready.

We excel at making the complex and often frustrating world of regulatory compliance simple to manage and easy to understand. Our unique roles for compliance consultants and distributed management of large corporations makes our solution able to handle any type of compliance problem for any sized company.

SmartRIA – Details

SmartRIA

http://www.smart-ria.com

Gegründet 2011

SmartRIA – Kostenübersicht

SmartRIA bietet keine Gratisversion und keine kostenlose Testversion.

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Kostenlose Version

Nein

Gratis Testen

Nein

Einsatz

Cloud, SaaS, Web

Training

Persönlich

Live Online

Webinare

Dokumentation

Kundenbetreuung

Support während der Geschäftszeiten

Online

SmartRIA Funktionen

Lieferantenmanagement Software
Audit Trail
Beschaffungsmanagement
Compliance Management
Leistungskennzahlen
Lieferantenzahlung
Offboarding
Self-Service Portal
Transaktionshistorie

SmartRIA – Nutzerbewertungen

Zeigt 5 von 9 Nutzerbewertungen

Gesamt
4,4/5
Benutzerfreundlichkeit
4,7/5
Kundenservice
4,8/5
Funktionen
4,2/5
Preis-Leistungs-Verhältnis
4,7/5
Wade B.
Founder
Vermögensverwaltung, 2-10 Mitarbeiter
Verwendete die Software für: Mehr als 2 Jahre
  • Gesamtbewertung
    5/5
  • Benutzerfreundlichkeit
    5/5
  • Eigenschaften & Funktionalitäten
    5/5
  • Kundenbetreuung
    5/5
  • Preis-Leistungs-Verhältnis
    5/5
  • Wahrscheinlichkeit der Weiterempfehlung
    10/10
  • Quelle des Nutzers 
  • Bewertet am 20.12.2019

"SmartRIA - Happy client"

Kommentare: Excellent and fluid. They are the most flexible / client friendly firm I have worked with

Vorteile: 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

Nachteile: 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.

  • Quelle des Nutzers 
  • Bewertet am 20.12.2019
Scott G.
Senior Compliance Consultant
Vermögensverwaltung, 51-200 Mitarbeiter
Verwendete die Software für: Mehr als 2 Jahre
  • Gesamtbewertung
    4/5
  • Benutzerfreundlichkeit
    4/5
  • Eigenschaften & Funktionalitäten
    3/5
  • Kundenbetreuung
    4/5
  • Preis-Leistungs-Verhältnis
    5/5
  • Wahrscheinlichkeit der Weiterempfehlung
    10/10
  • Quelle des Nutzers 
  • Bewertet am 20.12.2019

"Compliance Task Management System"

Kommentare: 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.

Vorteile: 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.

Nachteile: 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.).

  • Quelle des Nutzers 
  • Bewertet am 20.12.2019
Michael G.
VP of Operations
Finanzdienstleistungen, 13-50 Mitarbeiter
Verwendete die Software für: Mehr als 1 Jahr
  • Gesamtbewertung
    4/5
  • Benutzerfreundlichkeit
    5/5
  • Eigenschaften & Funktionalitäten
    5/5
  • Kundenbetreuung
    4/5
  • Preis-Leistungs-Verhältnis
    4/5
  • Wahrscheinlichkeit der Weiterempfehlung
    8/10
  • Quelle des Nutzers 
  • Bewertet am 17.1.2020

"SEC Audit"

Vorteile: 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.

Nachteile: More communication around acquisition would have been nice

  • Quelle des Nutzers 
  • Bewertet am 17.1.2020
Hannah T.
Operations Manager
Finanzdienstleistungen, 2-10 Mitarbeiter
Verwendete die Software für: Mehr als 1 Jahr
  • Gesamtbewertung
    4/5
  • Benutzerfreundlichkeit
    4/5
  • Eigenschaften & Funktionalitäten
    4/5
  • Kundenbetreuung
    5/5
  • Preis-Leistungs-Verhältnis
    4/5
  • Wahrscheinlichkeit der Weiterempfehlung
    9/10
  • Quelle des Nutzers 
  • Bewertet am 20.12.2019

"Functional platform making switch enhancements."

Kommentare: 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.

Vorteile: 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.

Nachteile: 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!

  • Quelle des Nutzers 
  • Bewertet am 20.12.2019
Melissa V.
Compliance Specialist
Rechtsberatung, 2-10 Mitarbeiter
Verwendete die Software für: Mehr als 2 Jahre
  • Gesamtbewertung
    4/5
  • Benutzerfreundlichkeit
    4/5
  • Eigenschaften & Funktionalitäten
    4/5
  • Kundenbetreuung
    5/5
  • Preis-Leistungs-Verhältnis
    5/5
  • Wahrscheinlichkeit der Weiterempfehlung
    10/10
  • Quelle des Nutzers 
  • Bewertet am 20.12.2019

"Great Software, Improving Every Day"

Kommentare: 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.

Vorteile: 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.

Nachteile: 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.

  • Quelle des Nutzers 
  • Bewertet am 20.12.2019