Last updated: June 1, 2026
This Privacy Policy applies to personal information we collect from visitors to our website and customers of our services. It does not govern the nonpublic personal information of our customers’ clients that is processed through our platform; that information is handled under our Data Processing Addendum, where RIA Compliance Technology acts as a service provider (data processor) on the customer’s behalf. We may modify this Privacy Policy from time to time. Any changes we make in the future will be posted on our website, and the updated policy will take effect upon posting.
RIA Compliance Technology may collect, or ask you to provide, personal contact information such as your name, address, telephone number, and email address. We may also collect billing and financial information from you, including credit card and payment information. We sometimes maintain other user account information, such as your transaction history. In some cases, in order to provide you with technical or customer support, we may ask you for additional information.
RIA Compliance Technology only uses your personal information when the law allows us to do so. Most commonly, we will use your personal information where: (i) we need to comply with a legal obligation; (ii) we need to perform a contract we have entered into with you; or (iii) it is necessary for our legitimate interests. In some instances, we process your personal information based on your consent. When the legal basis for the processing of your personal information is your consent, you may withdraw that consent at any time by canceling your account with us.
Primarily, we use your personal information for our internal business purposes. This is in our legitimate interest in order to operate as a business and to monitor and improve the quality of the services we provide. For example, our use of your contact information is necessary to keep you informed of maintenance, support, and usage issues; invoicing and accounting issues; and escalated critical issues and problem resolutions that may arise with the services. Your information is also logged to help us diagnose technical problems and to administer our website.
We would also like to keep you informed about our services and trends in the industry, so we may use email addresses to provide you with informative newsletters and similar information. To opt out of email marketing, you can use the unsubscribe link found in the email communications you receive from us.
We may track and analyze non-identifying and aggregate usage information, including volume and statistical information, from website visitors and customers. We may also use personal and demographic information to help us determine which services are most likely to be of interest to you, to help diagnose problems with our systems, and to analyze product and service usage, purchasing, and target markets.
We do not sell, rent, trade, or otherwise share your personal information with third-party marketing firms. We may share your personal information with third parties solely in responding to your specific requests for products, services, or product evaluations, or as required by applicable law.
Where you provide us with credit card information, be assured that we endeavor to use secure technologies to protect such information against unauthorized disclosure. Credit card information may be shared with the credit card companies themselves.
RIA Compliance Technology securely keeps your information for as long as we reasonably require it, whether for business purposes, to comply with any legal obligations, or for as long as we are contractually obliged.
Under the California Consumer Privacy Act (CCPA), as updated by the California Privacy Rights Act (CPRA), California residents have specific privacy rights. Some information we collect may be exempt from these laws, especially if it is covered by other laws such as the Gramm-Leach-Bliley Act or health privacy laws.
If your information is not exempt, you have the following rights:
Request Verification. To protect your privacy, we’ll need to verify your identity before processing any request. If you’re a customer, we’ll use your existing account to confirm your identity. If you’re not a customer, we may ask for more information.
Authorized Agent. You can have someone else make a request on your behalf, but we’ll need proof that they’re authorized to do so.
Non-Discrimination. Exercising your privacy rights won’t affect the services we provide to you.
Sale or Sharing of Personal Information. We do not sell your personal information. We do not share your personal information with third-party marketing firms. We use your information internally for our own marketing communications only.
Other California Rights. Because we do not share your personal information with third parties for their own marketing purposes, the California “Shine the Light” law (Cal. Civ. Code § 1798.83) does not require us to provide a disclosure about third-party marketing sharing. If you have questions about our data practices, please contact us via email.
If you live in a state with privacy laws, you may have certain rights about how your personal information is collected, used, and shared. If the law applies to us, we will respect your privacy rights, which include:
How to Submit a Request. To exercise these rights, we will need to verify your identity before processing your request. You can authorize someone to make a request for you, but they will need to provide proof of authorization. We may use a third-party service to verify your identity, and in some cases we may have to deny your request — but we’ll explain why. To exercise your rights, or to opt out of the sale of your personal information, contact us using the methods below.
We use a variety of technical controls to help protect your personal information from unauthorized access, use, or dissemination, consistent with applicable data protection laws. Access to sensitive personal information is limited to those individuals and agents having a need to know. When we engage a third-party service provider to collect or otherwise process personal information on our behalf, the third party is selected carefully and is required to have appropriate security measures in place.
RIA Compliance Technology is the data controller of the personal information described in this Privacy Policy.
If you have any questions or concerns about this Privacy Policy or wish to make a complaint if you believe your personal information was not respected, please contact us at (480) 999-2353 or at support@riacomptech.com.
If you have any questions about this Privacy Policy, please contact us: