About Us

RIA Compliance Technology builds Compliance Management Solutions for Registered Investment Advisory firms. Our technology helps streamline your compliance process, making compliance submissions, data collection, and workflows easy. Our experienced Compliance professionals built RIA Compliance Technology specifically for your COO and RIA compliance team. We also build simple enterprise-level Compliance Systems for Consultants and Consulting Firms to give consultants insight and access to all their firm’s compliance programs from one dashboard.

Our Platform

  • Simple Search and Keywords – Determine and set your keywords by simply checking words or phrases you frequently use during searches.
  • Simple Review – We provide an easy-to-use user interface for review, follow-up, and note-taking.
  • Simple Reporting – Our service produces a 1-page report, able to be downloaded or saved to your record retention system.
  • Simple Pricing – No hidden fees. Simple and affordable pricing. All your data is your property.

Tech Stuff

  • Data is secured and backed up with Amazon Web Services (AWS).
  • Guaranteed 99.97% up-time, or your monthly service fee is waived.
  • All-access to the archiving website or email review is tracked and stored for audit purposes.
  • We work firsthand with your IT staff to provide Privacy and Cybersecurity procedures.