ETNA Trading Platform for RIAs & Wealth Management Firms

Elevate Your Advisory Practice with Next-Gen Technology

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Future-proof your business with ETNA — the platform designed for dual-licensed RIAs and broker-dealers seeking:

automation for every step

seamless compliance

flexible solutions

mobile accessibility

rapid implementation

multi-custodian power

Key Criteria for RIA/Wealth Management Firms

API-Driven Workflows

Connect with your core business applications for a truly customized digital back office.

Multi-Custodian Integration

Manage accounts across multiple custodians for diversified execution and security.

Mobile Trading Experience

Empower your clients and team to trade anytime, anywhere with secure iOS/Android apps.

Dual License Support

Simplify oversight with robust tools for both fiduciary (RIA) and suitability (BD) standards.

Automated Portfolio Management

Real-time risk analytics, cash management, and “do not trade” lists keep you compliant and efficient.

Flexible OMS & Compliance

Automate FINRA Pattern Day Trader (PDT) rule enforcement, real-time monitoring, and audit trail creation.

Digital, Paperless Onboarding

Accelerate new client adoption, reduce manual tasks by up to 75%.

ETNA RIA Platform for Investor Advisors & Wealth Managers

Empower your advisory business with a robust all-in-one solution for RIAs, dual-licensed practices, and wealth managers—setting new benchmarks for efficiency and digital advisory excellence.

automation

compliance

multi-custodian integration

client engagement

ETNA RIA Platform Features

Advanced technology that grows with your firm

Comprehensive Portfolio Management

Automated Portfolio Rebalancing: Keep client portfolios aligned with their investment objectives using advanced rebalancing algorithms that adjust allocations based on predefined models and market movements.
Model Portfolio Creation & Assignment: Easily create, customize, and assign portfolios based on asset class, risk tolerance, or investment theme. Combine models or nest strategies for sophisticated allocation plans.
Real-Time Performance & Risk Analytics: Visualize account history, portfolio performance, risk metrics, and allocations with dynamic dashboards, pie charts, and time-series analysis.

Trading & Order Management

Flexible OMS (Order Management Systems): Support for pre- and post-trade risk analysis, compliance, and a custom rule engine for trade validation across asset classes—equities, options, fixed income, and ETFs.
Multi-Custodian Trading: Seamless execution across multiple custodians and clearing venues, giving firms operational flexibility and business continuity.
Fractional Shares & Alternative Assets: Enable trading in fractional shares and expansion into non-traditional assets to meet diverse client needs.

Dual-License Support for RIA/BD Firms

Compliance with Both Fiduciary & Suitability Standards Dual-mode operation enables blending or separation of RIA fiduciary rules and broker-dealer suitability requirements, with independent account controls and reporting for each licensure type.

Real-Time Compliance & Audit Processes

Real-Time CAT / Rule 606 Reporting: Automated regulatory file creation, end-to-end encryption, and penetration testing ensure robust security and audit readiness.
Customizable Security & Permission Rules: Administrators set margin requirements, allowable securities, trading permissions, and custom compliance validation from a single dashboard.
Support Ticket & Feedback System: Integrated user feedback and ticketing enable rapid response and continuous improvement for both clients and firm staff.

Next-Level Digital Onboarding & Compliance

Paperless Digital Onboarding: Streamline new account opening with workflows that verify identity, collect documents, and run KYC/AML checks automatically, including accredited investor verifications.
Automated Compliance Monitoring: Real-time alerts for FINRA, CAT, and SEC rules, with built-in pattern day trading enforcement, audit trail creation, and licensing support for dual RIA/BD entities.
Document, Disclosure & Agreement Management: Securely manage disclosures, agreements, and records with integrated audit trails and encrypted storage.

Advanced Client & Advisor Experiences

Role-Based Interfaces: Dedicated portals for client self-service, advisor management, and firm administration. Advisors can monitor and interact with clients, adjust investment strategies, and oversee compliance in real time.
Goal-Based & Automated Investing: Clients manage accounts independently or delegate investment management with fully automated, goal-driven strategies.
Mobile & Cross-Platform Access: ETNA’s apps work seamlessly across web, desktop, tablet, smartphone, and even smart watches, providing instant access and management capabilities anytime, anywhere.

Reporting, Billing & Integrations

Automated Portfolio Rebalancing: Keep client portfolios aligned with their investment objectives using advanced rebalancing algorithms that adjust allocations based on predefined models and market movements.
Model Portfolio Creation & Assignment: Easily create, customize, and assign portfolios based on asset class, risk tolerance, or investment theme. Combine models or nest strategies for sophisticated allocation plans.
Real-Time Performance & Risk Analytics: Visualize account history, portfolio performance, risk metrics, and allocations with dynamic dashboards, pie charts, and time-series analysis.

Additional Features

Flexible OMS (Order Management Systems): Support for pre- and post-trade risk analysis, compliance, and a custom rule engine for trade validation across asset classes—equities, options, fixed income, and ETFs.
Multi-Custodian Trading: Seamless execution across multiple custodians and clearing venues, giving firms operational flexibility and business continuity.
Fractional Shares & Alternative Assets: Enable trading in fractional shares and expansion into non-traditional assets to meet diverse client needs.