RIA Compliance Management made Simple
RIA Compliance Technology builds Compliance Management Solutions for Registered Investment Advisory firms. Our technology helps streamline your compliance process, while making compliance submissions, data collection and workflows easy. Let us help you today!
Your compliance calendar is the cornerstone of your compliance program. Let us help you track, complete and document your compliance tasks.
We make it easy for advisers to enter and upload compliance information: advertising, OBA's, gift logs, attestations, and more.
Our portal, forms and workflows can be easily and quickly customized to address your firm's needs.
Simple Email Archiving
Our simple email archiving solution is designed for firms who may not need all the bells and whistles, nor have a large budget. Our solution is simple and meets all your regulatory needs.
Simple Trade Monitor
Our Simple Trade Monitor manual process associated with Personal Investment Monitoring for your employees.
All compliance solutions are available in one place 24/7 on a desktop, laptop, tablet or cellphone.