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April 05, 2023 | Tom Ballard

SmartRIA secures more funding to accelerate its business

The Knoxville-based compliance management software firm serves registered investment advisors (RIAs). The latest funding comes from previous investors.

Knoxville-based SmartRIA®, a leading compliance management software provider to registered investment advisors (RIAs), has secured a second strategic investment round from Dynasty Financial Partners and MarketCounsel.

With the new investment, the company is committed to continuing to accelerate the development and implementation of enterprise functionality that addresses the needs of large financial institutions. Through the ongoing partnership with Dynasty and MarketCounsel, SmartRIA® has curated a list of new enterprise functionality that is specifically designed to meet the complex compliance requirements of large organizations.

SmartRIA® was an outgrowth of a capability that Roger Kiger, Chief Manager and Wealth Strategist at Visionary Horizons Wealth Management, developed to support the latter company’s needs. The company began serving the needs of other RIAs soon after Mac Bartine joined in 2016 as Chief Executive Officer.

“SmartRIA® is delighted to receive a second strategic investment from Dynasty and MarketCounsel,” Bartine said. “This investment will enable us to further our mission of providing best-in-class compliance management solutions to our clients. We are proud to partner with Dynasty and MarketCounsel as we continue to innovate and develop new technology solutions that meet the needs of our clients.”

We have spotlighted SmartRIA® in a number of articles including this two-part series (Part 1 and Part 2) from about 18 months ago.

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