RIA Compliance Technology

RIA Compliance Technology offers a specialized SaaS (Software-as-a-Service) platform tailored for the regulatory compliance needs of Registered Investment Adviser firms. The company's mission is to streamline and simplify the complex compliance tasks that RIAs face, reducing manual work and mitigating regulatory risk. Their integrated solution includes modules for managing employee compliance (e.g., personal trading, gifts, political contributions), firm compliance (e.g., risk assessments, advertising reviews), and features an automated compliance calendar to ensure all regulatory deadlines are met.