hamburger
Book a Demo
sign-1
Book a Demo
hamburger
sign-1
Book a Demo
hamburger

Insights for RIAs and Broker-Dealers

Risk, compliance, operations and practice management insights for RIAs and broker-dealers — from the StratiFi team and industry contributors.

View all blogs

Choose category

6 Min Read

From Data Entry to Exception Handling: How AI Is Rewriting the Client Service Associate Role

Last updated: 2026-08-27 · By Akhil Lodha AI is not eliminating the client service associate role at RIAs — it's inverting it. Document extraction now handles the transcription ...
Read More
7 Min Read

AI Washing: The Marketing-Rule Trap RIAs Are Walking Into

Last updated: 2026-08-25 · By Akhil Lodha AI washing — overstating or misrepresenting how a firm uses artificial intelligence — is already an enforcement category, not a ...
Read More
6 Min Read

After June 3: Turning Your Reg S-P Incident Response Plan From Paper Into Practice

Last updated: 2026-08-20 · By Akhil Lodha The Regulation S-P compliance deadline for smaller RIAs passed on June 3, 2026 — which means every SEC-registered adviser is now required ...
Read More
9 Min Read

The AI Governance Questions SEC Examiners Are Asking RIAs Right Now

Last updated: 2026-08-13 · By Akhil Lodha SEC examiners are already asking RIAs to produce their AI policies, their AI vendor due diligence files, and evidence that a human ...
Read More
11 Min Read

Investment Adviser Compliance Software: Practical Guide

Last updated: August 2, 2026 · By Akhil Lodha Most RIAs do not buy investment adviser compliance software because they want more software. They buy it because the compliance ...
Read More
12 Min Read

What are Buffer ETFs, and are They a Smart Choice for Investors?

Buffer ETFs now hold over $85 billion in assets across more than 470 funds, and they have grown at an average annualized rate of 39% over the past three years. That pace says ...
Read More
14 Min Read

Discretionary vs Non-Discretionary Accounts: An RIA Guide

Most advisors manage both discretionary and non-discretionary accounts across their client book without a clear framework for handling each differently. The account type ...
Read More
14 Min Read

What is an Interval Fund? Everything You Need to Know

Alternative investments have historically been accessible only to institutional investors or those willing to lock up capital for a decade or more.
Read More
13 Min Read

Document Automation for Financial Services: How to Do It and 5 Tools to Try

Financial services firms process thousands of documents per month. Brokerage statements, custodial transfers, new account applications, tax documents, KYC forms, and IPS updates. ...
Read More
3 Min Read

StratiFi Product Update, July 2026: The Rationale Is Now in the File

When an examiner pulls a client file, the risk rationale should be in the file. Not reconstructed weeks later from email threads, CRM notes, and spreadsheets.
Read More
14 Min Read

What is Risk Tolerance Assessment? Tools, Techniques & Best Practices

A risk tolerance assessment is one of the first things an SEC examiner asks to see, and one of the first places they look for a suitability gap.
Read More
15 Min Read

Advisors' Guide to Portfolio Compliance Monitoring (Tools & Guidance)

Portfolio compliance monitoring failures are rarely the first thing to be discovered. They surface during SEC examinations, through client complaints, or after a share class ...
Read More
Prev 1 2 3 4 5 Next

Subscribe and stay up-to date with the latest from StratiFi

Frame 1321319448

Choose The Future. Choose Independence. Choose StratiFi.

Book a demo