SmartRIA Pro Comprehensive Guide for Advisors

Advisor Getting Started Reference Guide

SmartRIA Getting Started Guide

System Access

How to access the SmartRIA platform for the first time

  1. Go to https://app.smart-ria.com
  2. Enter email and 12 character temporary password

Getting Support

If you have any issues, we have 3 simple ways to get support:

  1. Click on "Forgot your password?" link
  2. Click on "Need unlock instructions?" link
  3. Contact support using the support chatbox on the bottom right of each page.
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Changing Your Password

  1. Hover over your initials in the upper right hand corner
  2. Click “Settings”
  3. Click “Edit Password”
  4. Enter your current password
  5. Enter a new password at least 12 characters long

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Logging In as a Support User

If you are supporting one or many advisors, you will log in using the support role then choose the advisor you want to support.  This role allows you to see everything as the advisor sees it, and allows you to complete tasks and begin filling in information on forms.  Signing and submitting forms must be completed by the advisor.

 

Say Hello to Your Professional Dashboard

 

This is your Navigation Toolbar

 Anytime you click on Dashboard the App will bring you to the home screen. 

Your Documents button will bring up any company documents such as a compliance handbook.

Clients are housed under the Clients button, here you will be able to update clients with annual reviews, account info, householding clients, and much more. 

Management|CCO is where you can manage alerts, view your submitted forms and upload files and maintain the folder structure for management files.

The Compliance button will take you to your compliance calendar where you can see your Tasks, Alerts, and our RSS feed from the SEC.

Trade Monitoring  is an optional additional module for  code of ethics personal securities monitoring that provides compliance teams with insight into employees personal trades and potential conflicts of interest.

Reports will allow you to see reports for incomplete forms, completed tasks, alerts all forms and their status, and file search.

We have our Help Documents and Frequently Asked Questions stored under the Help button. 

The little white circle with your initials is where you will go to change your settings, passwords, email addresses, roles, Integrations (ie...Wealthbox, Redtail, Black Diamond, etc if applicable), your digital signature for documents, and logging out.

 

Your Compliance Calendar

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In your Compliance Calendar you will find any and all tasks. In your Dashboard you will see a snapshot of your current tasks. The default view is 60 days for this however, be aware for anything over 60 days will show as overdue (this example has 1 task overdue). Clicking on the View All button in the bottom of the box will take you to your My Calendar page, which has a list or calendar view of your Tasks, Alerts, and our RSS feed of SEC compliance news. There is also the ability to see any Incomplete Tasks and Completed Tasks. 
 

 

Your Action Items

This is a snapshot of your Action Items. These are things you need to respond to or take care of. 

Quick Access Forms

These are quick access forms, commonly used compliance forms that you can simply click on for quick use and submission. 

 

Clients / Households

Overview

When you click Clients on the navigation bar, you will be taken to a summary page of all of your active client households.

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Quick Search Bar - Quickly search for active and inactive clients by any field

Share - share one or multiple clients with another advisor.  Learn more here.

Client Name - click on the client First Name or Last Name to open the Summary page for that client.

Edit - click the edit icon to open the client/household Edit page

Click on any of the column headings to sort by that column.

 

Click on a client name to edit a client.

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Overview of Tabs

  • Summary - Gives and overview of the client household
  • Files - Client-specific files, including those required by your CCO
  • Accounts - All of the accounts for the household
  • Annual Review - This is your Form F450.  

Summary Page

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  • Last Documented Meeting - The meeting date input in the last Annual Review Form completed.
  • Next Scheduled Meeting - This clears after each Annual Review, and can be populated to show on the client summary page
  • Email(s) for Electronic Delivery
  • Edit, Merge, Notes - Actions your can take for a client

Files Page  

Select the Files tab.  Users can create a file structure to download, edit and delete files.  You can also assign required documents from here.

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Accounts Page

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Select the Accounts tab.  Users can add accounts for clients, add transactions, add account files, edit the account and remove the account.

Click the Add Account button.  From here you can add a new account number and it's supporting details.  Click the Add Account button to save the changes.

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Then new account is added.

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Click the folder icon under the Actions Column.

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Step 1 Choose a file

Step 2 Upload the file

Step 3 Select if this is a required document file type and hit apply to save the changes

Step 4 Manage the account

Click the blue "Manage" hyper-link.

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Add comments, review history and access file details.  Click Submit to save the changes.

 

Annual Review Meetings - (Form F450) - Page

Select the Annual Review tab and click the New tab. 

The New tab will be where you will add the new Review form, the History tab is where you can go in and see previous forms.

Complete the questions on the form and add any applicable notes to the form.  Click the Save button to save the review or click the submit button to submit the Annual Review.

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When an Annual Review Form is signed and submitted, the Meeting Date is automatically populated with the date of the meeting input on the form (not the date submitted).  The “Next Scheduled Meeting” date will be reset on the Summary page, and the advisor or support admin can enter the next scheduled meeting. This also updates the Alerts tile on the dashboard and the user is able to manage or view the form and any relevant documents attached to the client.

You can view the meeting history for a client by selecting the History tab. 

In the History screen, it will show all previous reviews, you will need to click on the date of the one you want to see and it will bring up the form attached with that date. 

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Click the Meeting Form Last Saved Date.  From here you can edit, save, sign and submit the meeting form last saved.

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One last note, if you want to upload your form you can easily do so by scrolling down to the bottom of the form and either dragging and dropping the saved form or by uploading it from a saved area on your computer. You will still need to enter the client name, meeting date, and any account information into the software and sign the form.

Click the History tab and click on the Meeting Form Completed Date.  The Annual Meeting Form will display as read only.  You can view signatures and approval dates from here.

If you select to View Form you will be able to Accept or Reject the annual review for the client. 

 

Merging Clients vs Householding Clients

Before you merge two clients, it’s important to know what happens during the process.  

  1. How to Merge
  2. What will and won’t merge

How to Merge

Select Clients from the navigation toolbar and search for the client with duplicate entries.

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Click on the Client you want to be the Primary Client (This will be the Client who will have the duplicate merged into)

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From the Client Summary page, click the Merge Client icon. This icon will only be available for Clients with a Primary Role in their Household

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In the modal that appears, select the Client (Secondary Client) to merge into the Primary Client

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Once you have selected the Secondary Client, click Submit

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You will be taken back to the Primary Client’s Summary when the merge has completed.  Go back to the Client page and search for the merged client.

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What will and won’t Merge

In this process, the following information from the Secondary Client (the Client selected from the drop-down) will be merged into Primary Client (the initial Client you viewed). The Primary Client will be the primary source of information, please make sure you have selected the correct Primary Client.

What will merge:

👍Accounts

👍Document Alerts

  • Any active Document Alerts will show up for the Primary Client
  • These may appear duplicated if the same file was uploaded to both the Primary Client and Secondary Client

👍Households

  • Any household members will automatically be put in a household with the Primary Client

👍Notes

👍Shares with other Advisors

  • Any Advisors who have access to the Secondary Client will automatically have access to the Primary Client.
  • Any Advisors who have access to the Primary Client will automatically have access to the new household members (if applicable)

👍Uploaded Files and Folders

  • Files will appear duplicated if both Primary Client and Secondary Client have the same file uploaded
  • Folders will be merged if they exist, otherwise, they will be created. 

What won’t merge:

👎Client Information (address, phone number, email, etc)
👎Spouse Information
👎Miscellaneous Information
👎Anything not listed above

Householding Clients

Householding will allow you to have multiple clients under one primary client.

In the example below Bob jones is the primary, his wife is labeled as spouse and the children can be added as children. You can also choose other if it is not a family householding as long as one person is made the primary.  

 Householding does not combine any account information. Whoever you select as the primary is the client you will see in the Clients list, but you will also keep access to the other clients. This will ensure your state alerts are by household, not by client.  

To Build a Household you will need to go into your client list

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From here, choose a client you want to Household other clients under (the primary). In this example I am Choosing Bob Jones as the Primary.  I click on the Household Icon on the top right of his client page.

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 Create a household name and click Set Name to save the changes.
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Set the client's role to "Primary".  Click the Set Roles button to save the changes.

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3.  Click the Add Other Clients button to add members to the household.  A list of clients will display below.  

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The next step will be to choose other Clients to add to the Household, click on the + sign to add them to the Household.

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Now you will need to select the Role of the Client you are adding to the Household. You must hit Set Roles before exiting this screen for it to take or the Household action will not complete. 

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Once the Household is created you will be able to use the Manage link under the Edit heading in the All Household Members section. 

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Once you click on Manage or House icon, it will bring you back to the Add Other Clients section , everything from there will be the same workflow. Right now, the only thing you need to make sure of is that you are always choosing the Manage button of the Primary in the Household. Whoever you select as the primary is the client you will see in the Clients list, but you will also keep access to the other clients. This will ensure your state alerts are by household, not by client.  

 

Reports

Select Reports from the navigation toolbar.  You will see reports categorized by Forms and Tasks, Client Accounts and Miscellaneous

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Forms and Tasks tab

  • Completed Forms Download:  Lists all completed forms based on user defined parameters.  These forms can be downloaded as a Zip file and printed.
  • My Incomplete Forms:  Creates a report for all incomplete forms.  You can Complete the form or delete it from here.
  • Forms Status:  Use this form to see the status of all your forms started, submitted and completed.  You can view and print this form.
  • Completed Tasks:  Creates a report of all completed tasks.  You can export as csv and export as pdf.  Clicking on the Task Name will allow you to add and save comments to the selected task. 
  • Alerts Report:  This report lists some types of alerts based on selected parameters.  You can export this to pdf and you can send a reminder email to the selected advisors. 

Clients and Accounts tab

  • Annual Review Forms:  This report creates a report for all completed or saved annual review forms between two dates.  The user has the option to export to csv and pdf and can download completed forms as a zip file. 
  • Clients No Meeting by Quarter:  Here you can generate a report that lists all clients who have no last meeting date recorded within one year of the selected quarter.
  • Clients Report:  This report lists all clients based on the account selected status.  You can  choose from Active and Inactive clients
  • Accounts Report:  Here you will find a report that lists all client accounts.  You can narrow the search criteria by client status, balance, account status, custodian, advisor and tags.
  • Required Documents Report:  Creates a report for all clients with submitted required documents.
  • Clients No of Meetings in Last Year:  Provides a report for client annual reviews in last 365 days. 
  • Missing Required Documents Report:  Creates a report for all clients with missing required documents.
  • Scheduled Meetings:  Lists all clients who have a next scheduled meeting date within the selected range.
  • Clients by State:  This report lists all open accounts by state.

Miscellaneous tab

  • File Search:  Search through all available files.