RIA Solopreneurs and Smaller RIA Firms
The heart of our business is helping Solopreneurs and Registered Investment Advisory firms automate and track their compliance calendar and tasks. We have found that when starting an RIA business, it is unnecessary to spend money on more extensive, more expensive compliance solutions. With RIA Compliance Technology, you can choose the services you need.
Large RIA Firms
Large firms may have multiple locations, compliance consultants, and compliance and executive teams that must know how to keep up with submissions and compliance requirements daily.
Our Platform helps with online submission forms, workflow, and tracking all compliance needs relating to larger firms managing hundreds of advisors.
Compliance Consulting Firms
Whether you are an independent or have multiple consultants in your firm, we can provide a solution to give insight into what is happening with your clients and document your services and value.
Simple Compliance Portal, Simple Email Archive, and Simple Trade Monitor are built for the needs of Compliance Consulting firms. All our solutions give you a single sign-in to access and service all your clients from one place.
Broker-Dealers have a unique and changing landscape. With FINRA Regulatory Notice 18-08 and the changing competitive landscape for representatives, broker-dealers must address how to provide value-added services to their representatives with outside RIAs.
Our Simple Enterprise Compliance Solution for Broker-Dealers allows you to provide compliance resources and tools to ensure your representatives do the tasks necessary to keep them and the Broker-Dealer in compliance.