Compliance made Simple, Structured, and Organized
Our technology solutions streamline the compliance process so you can get back to what is most important
With the expertise of network professionals, RIA Compliance Technology created a software platform to help Registered Investment Advisors better manage and automate regulatory compliance needs. Our compliance management solutions allow firms to meet regulation, collection, review, and archiving standards with a simple approach.
WHAT OUR PLATFORM HAS TO OFFER
One secure Platform
Streamlined advisor approvals
Never miss a filing date
Improved audit process
Reduce firm risk
Streamline your compliance process with a single platform for compliance submissions, data collection, and workflows. We work with you to build a personalized dashboard where you can access all your Simple Solutions under one login.
I always fell behind and missed filing dates. With the RIA Compliance Calendar, my anxiety level is way down!Lisa G
Advisor approvals are a nightmare for me to manage. Whether it’s Ad review, outside business, or attestations, RIA Compliance’s Portal makes it easy.Richard T
This Platform has thought of everything you need to worry about with compliance. It truly is built by compliance officers.Henry P