SmartRIA Pro Comprehensive Guide for CCOs

Overview of how to get started using SmartRIA

System Access

How to access the SmartRIA platform

  1. go to 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”

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  1. Enter your current password
  2. Enter a new password at least 12 characters long
  3. Confirm your new password by re-entering

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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

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This is your Navigation Toolbar

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 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. 

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

Trade Monitoring allows you to view company trade rules, personal accounts and personal transaction reports

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

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 3 tasks overdue). Clicking on the View All button in the bottom of the box will take you to your My Tasks 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. 

 

Incomplete Forms

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This alert lets you know if you have forms to review that have been input by an Admin Support user, or by an advisor who shares the account with you.

Here you can view all your incomplete forms and you can view, complete or delete the form.

 

Client Annual Reviews Snapshot

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This is a brief snapshot of your client annual reviews. It will provide you a quick glance of how many reviews are recorded and entered in the app, how many do not have reviews, how many started (but not completed) reviews, and how many meetings you have scheduled in the app. By clicking on the numbers to the right, the app will run a report for you and provide you a list of the Clients that require action by you. The total Reviews recorder does not run a report as they are completed and do not require action. 

 

Trade Monitoring

The Trade Monitoring module provides automated monitoring of Adviser Trading activity.  CCOs can set custom trade rules, and Advisor transactions will be checked against those rules. With a custodial data feed, Advisor trades are automatically monitored for front running.  Preclearance and Quarterly Transaction Reports are supported as well.

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Trade Monitoring  is an optional additional module for  code of ethics personal securities monitoring.  You will not see this tile unless you have purchased this module.

 

Your Alerts

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This is a snapshot of your Alerts.  Alerts are a way to track compliance issues.

 

Notifications

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This is a simple system to communicate user actions and between users in the app.

Quick Access Forms

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

 

Your Customer Service Portal

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In the bottom left of your page is your Support button, this will go directly to Support Team for live chat support within the App, available on every page.

 

Unhouseholded Accounts Alert Tile

Role:  CCO, Advisor

Follow these steps when you see the Unhouseholded Accounts alerts on your Smart RIA dashboard.

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In this example we have 21 unhouseholded accounts.  Click the blue hyperlink on the Unhouseholded Accounts tile.

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Clicking the blue hyperlink will take you to the accounts screen.  Use the Filter Accounts field to filter for the specific account.

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From this view you can

  1. Create a new client with selected accounts
  2. Add to household
  3. Add to advisors personal accounts

Create a New client with selected accounts

Using your cursor, click the name of the Household to add a new client.

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The user is prompted to create a new client for the selected account.  Enter in new client information and then click the Submit button.

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Select Clients from the navigation toolbar and search for the new client.  Notice the # of Accounts changes to 1.

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Add to household

Go back to your dashboard and go into unhouseholded accounts. 

Select multiple households by checking the boxes to the left of the account.  Notice the “+” icon at the top of the list displays.  Click the “+” icon to add multiple accounts to a client.

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Select the client in the drop-down list to assign the accounts to and click the Submit button.

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Select Clients from the navigation toolbar and search for the new client.  Notice the # of Accounts changes to 4.

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Add to Advisors personal accounts

Go back to your dashboard and go into unhouseholded accounts. 

Click the person icon under the Assign to Advisor column.

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A message will display to the user asking if you want to add the account to the users personal accounts.  Click the OK button.

Go to your navigation toolbar and select Trade Monitoring.  Then select My Personal Accounts from the drop-down list to see all the personal accounts for the user. 

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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.  The following image is assuming you are logged in as a CCO.

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

Filter – hide or show filter to include household members, inactive users and prospects

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 clients First Name or Last Name from the Client Search results.

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
  • SSN - You must enter a password to view or edit a clients SSN
  • Tags – A tag can be assigned to a client
  • Related Alerts – You can select assignments to send reminder emails and manage alerts
  • Edit, Merge, Share, Notes, Household, PDF View - Actions you can take for a client

Files

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Select the Files tab.  Users can create a file structure to download, edit and delete client files.

Accounts

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Select the Accounts tab.  Users can add accounts for clients

 Annual Review Meetings - Form F450 - Page

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Select the Annual Review tab.  Complete the questions on the form and add any applicable notes to the form.

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.

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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

Step 1:  Go to the Clients Tab

Step 2:  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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Step 3:  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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Step 4:  In the modal that appears, select the Client (Secondary Client) to merge into the Primary Client

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Step 5:  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.

 

What will and won’t Merge

In this process, the following information from the Secondary Client (the Client selected from the dropdown) 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:

👍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.

👍Notes

👍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

👍Annual Review Forms

👍Accounts

👍Households

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

👍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)

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 Johnny Appleseed as the Primary.  I click on the Household Icon on the top right of his client page.

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That will bring you to the Household page as well as seeing what his Role is, if it is anything other then Primary, please set it to Primary for the Client Household Primary.  Here you can define the type of household, set household tags and add other clients to a household.

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The next step will be to choose other Clients to add to the Household, click on the Add other clients button to add them to the Household.  Click the "+" icon to the left of the client to be added.

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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 the House Icon will still show in the top right or 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 Household page.  Note:  Make sure 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.  

Understanding Client Review Forms

From the main Client page, you will see the date of the Last Documented Meeting (if there is one) and the tab for Annual Review Forms

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The next screen will bring you to the Annual Review Forms where you can see new and History tabs. The New tab, will be where you will add the new Review form.

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Once you finished completing the form you will need to sign and submit it from the bottom of the page.  

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One last note, if you want to upload a document to the 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.

The History tab 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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If you select a Meeting Form Last Saved date you can delete, edit, save, and sign and submit the form for the client. 

If you select a Meeting Form Completed date you can only view or print the form.  You cannot edit a submitted and accepted form, it will show as Previewing only because it can no longer be edited. 

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