Independent Report Reinforces Company’s Commitment to Data Security and Trust

KNOXVILLE, Tenn., Feb. 3, 2026 /PRNewswire/ — Smartria, a leading cloud-based compliance management platform for RIAs, broker-dealers, and compliance consultants, today announced that it has successfully completed a SOC 2 Type II attestation resulting in an unqualified opinion.

A SOC 2 is an attestation that is governed by the American Institute of Certified Public Accountants (AICPA) and is a widely recognized third-party examination of a service organization’s internal controls. Smartria obtained an unqualified SOC 2 Type II report on its internal controls related to the security of its Financial Advisor Software-as-a-Service System. An unqualified opinion indicates that the auditor obtained reasonable assurance that Smartria’s internal controls were suitably designed and operating effectively to achieve its service commitments and system requirements based on the AICPA’s security trust services category.

“As compliance requirements become more complex and as cyber risks grow, our clients depend on us to safeguard the data that powers their compliance programs,” said Patrick Hunt, CEO of Smartria. “This unqualified SOC 2 report validates the strength of our controls, the maturity of our processes, and our unwavering commitment to earning and maintaining our clients’ trust.”

Smartria’s platform centralizes and automates key compliance functions for firms of all sizes—from employee oversight and trade monitoring to vendor due diligence, testing workflows, and regulatory recordkeeping. Operating on SOC 2-audited infrastructure strengthens the secure foundation behind these mission-critical activities.

“Our goal has always been to provide compliance technology that not only streamlines oversight but does so with the highest standards of security,” Hunt added. “This attestation underscores that commitment. We will continue investing in the systems, processes, and infrastructure that keep our clients’ data safe.”

The SOC 2 examination was conducted by Frazier & Deeter, LLC (https://www.frazierdeeter.com/), one of the country’s fastest-growing accounting and advisory firms, as well as one of INSIDE Public Accounting’s “Best of the Best” CPA firms.

About Smartria

Smartria is a leading cloud-based compliance software platform designed specifically for registered investment advisors, broker-dealers, and compliance consultants. Built for scalability and ease of use, Smartria helps firms automate complex compliance workflows, maintain audit readiness, meet regulatory obligations, and reduce operational risk—all through an intuitive, modern interface. Learn more at www.smartria.com.

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