SmartRIA Compliance Platform Selected by LPL Financial for Vendor Affinity Partner Program


SmartRIA, a leading compliance software platform for financial advisors, has been selected for inclusion in LPL Financial's Vendor Affinity Program. The SmartRIA Pro™ Platform is the first compliance automation tool approved for the Affinity Program and offers unique efficiencies to registered investment advisor (RIA) firms who partner with LPL.

LPL's Vendor Affinity Program helps financial advisors reduce the complexity and costs of running their independent businesses. Vendors are selected for inclusion in the program based in part on the interest of LPL-affiliated clients as well as technology security and compliance requirements. Vendors offer their services to LPL Financial advisors at discounted rates.

The regulatory environment for RIAs continues to get more complex, eating up valuable time and resources that could be otherwise used for growing a company. SmartRIA's mission is to be the best company in our industry at simplifying compliance. We constantly strive to solve more compliance problems while making our software easier to use.

"We're delighted SmartRIA Pro is now available to the LPL community," said Mac Bartine, CEO of SmartRIA. "Our work building a robust compliance solution for RIA firms over the last 5 years has helped us to be exceptionally well prepared to help LPL-affiliated compliance teams and advisors to solve compliance problems in less time with less stress."

"As the regulatory environment for RIAs continues to evolve, firms are investing increased time and resources to ensure they are managing their compliance programs effectively. SmartRIA provides a tool to help firms more easily manage the complexity and commitment required to maintain a compliant business," said Rob Pettman, LPL executive vice president, Products and Platforms. "With our scale, we seek to deliver value to our clients, by providing greater choice and cost efficiencies to help them be successful serving the unique needs of their clients."

Firms interested in a demo of SmartRIA Pro can schedule one at

About SmartRIA Pro

SmartRIA is a leading compliance software platform for RIAs, hybrid RIAs and RIA networks. We excel at making the complex and often frustrating world of regulatory compliance simple to manage and easy to understand. Our unique roles for compliance consultants and distributed management of large corporations make our solution able to handle any compliance problem for any sized company.

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Source: SmartRIA