Related Products
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About
Smartria is RIA compliance software designed to help registered investment advisors, chief compliance officers, and compliance consultants centralize and automate SEC and FINRA compliance programs. The platform comes pre-configured for relevant regulatory requirements while allowing firms to customize workflows and processes to their specific compliance needs. Compliance management features organize tasks, forms, deadlines, alerts, reminders, regulatory filings, and record retention within a centralized system. Smartria also provides marketing review workflows, employee attestations, trade monitoring, vendor management, employee oversight, and automated employee onboarding. Trade monitoring supports customized trade rules, pre-clearance, front-running alerts, and Know Your Client and Know Your Employee requirements.
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About
Sphinx is an AI agent platform that automates KYC (Know Your Customer) and KYB (Know Your Business) compliance workflows for banks, fintechs, and other regulated financial institutions. The platform deploys intelligent AI agents that handle the manual, time-intensive work traditionally performed by compliance analysts, dramatically reducing operational costs while improving accuracy and consistency.
Core Functionality: Automated Customer Onboarding & Verification, Transaction Monitoring & Alert Triage, SAR (Suspicious Activity Report) Preparation, AML (Anti-Money Laundering) Case Management, Regulatory Change Management.
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Platforms Supported
Windows
Not Supported
Mac
Not Supported
Linux
Not Supported
Cloud
Supported
On-Premises
Not Supported
iPhone
Not Supported
iPad
Not Supported
Android
Not Supported
Chromebook
Not Supported
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Platforms Supported
Windows
Not Supported
Mac
Not Supported
Linux
Not Supported
Cloud
Supported
On-Premises
Not Supported
iPhone
Not Supported
iPad
Not Supported
Android
Not Supported
Chromebook
Not Supported
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Audience
Registered investment advisors, chief compliance officers, compliance teams, wealth management firms, and compliance consultants that need to manage, automate, document, and scale SEC and FINRA compliance programs
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Audience
Compliance officers, AML analysts, and operations teams at banks, neobanks, payment processors, cryptocurrency exchanges, lending platforms, and other regulated fintechs.
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Support
Phone Support
Supported
24/7 Live Support
Not Supported
Online
Not Supported
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Support
Phone Support
Not Supported
24/7 Live Support
Not Supported
Online
Not Supported
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API
Offers API
Not Supported
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API
Offers API
Not Supported
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Screenshots and Videos |
Screenshots and VideosNo images available
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Pricing
No information available.
Free Version
Not Supported
Free Trial
Not Supported
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Pricing
No information available.
Free Version
Not Supported
Free Trial
Not Supported
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Reviews/
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Reviews/
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Pros & Cons from Real UsersPros
Cons
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Training
Documentation
Supported
Webinars
Not Supported
Live Online
Supported
In Person
Not Supported
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Training
Documentation
Supported
Webinars
Not Supported
Live Online
Not Supported
In Person
Not Supported
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Company InformationSmartria
Founded: 2011
United States
smart-ria.com
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Company InformationSphinx
Founded: 2024
United States
sphinxhq.com
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Alternatives |
Alternatives |
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Categories |
Categories |
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Compliance Features
Archiving & Retention
Supported
Artificial Intelligence (AI)
Not Supported
Audit Management
Supported
Compliance Tracking
Not Supported
Controls Testing
Not Supported
Environmental Compliance
Not Supported
FDA Compliance
Not Supported
HIPAA Compliance
Not Supported
Incident Management
Not Supported
ISO Compliance
Not Supported
OSHA Compliance
Not Supported
Risk Management
Supported
Sarbanes-Oxley Compliance
Not Supported
Surveys & Feedback
Not Supported
Version Control
Not Supported
Workflow / Process Automation
Not Supported
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Integrations
No info available.
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Integrations
No info available.
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