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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.

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12 Min Read

Financial Document Automation: A 2026 Guide for RIAs

Most operations leaders at growing RIAs have tried the obvious fixes — an OCR tool, a folder taxonomy, an analyst keying data from custodian PDFs into the CRM. And the queue is ...
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12 Min Read

Scaling RIA Compliance Past 50 Advisors | StratiFi

Scaling 206(4)-7 Compliance Past 50 Advisors: What Annual Review Looks Like at Volume Somewhere between 40 and 60 advisors, most RIAs discover that scaling RIA compliance is not ...
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10 Min Read

SEC Enforcement Actions RIA | IPS Supervision Failures

Four SEC Enforcement Actions That Turned on IPS Supervision Failures Every CCO at a growing RIA eventually asks a version of the same question: what actually triggers SEC ...
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16 Min Read

6 Best AI Document Data Extraction Tools for Financial Advisors and RIAs

Financial advisors and RIAs are inundated with data locked inside PDFs. Custodial statements, tax returns, onboarding forms, and client agreements hold a lot of data, rarely in a ...
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10 Min Read

7 Best Investment Risk Analytics Software for RIAs

Portfolio risk has become central to how RIAs operate, yet most firms still manage it through fragmented tools and static assessments.
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10 Min Read

AI for Regulatory Compliance: Process and Top 5 Tools for Finance Advisors

Managing growth in a financial advisory firm brings compliance complexity that can quickly overwhelm manual processes.
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11 Min Read

Portfolio Drift: IPS Drift, Style Drift & Policy Breach

IPS Drift, Style Drift, and Policy Breach: The Three Compliance Categories RIAs Confuse Most compliance conversations at a growing RIA stall on the same problem: three different ...
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15 Min Read

RIA Portfolio Supervision Compliance: 206(4)-7 & FINRA 3110

The RIA Portfolio Supervision Rulebook: 206(4)-7, FINRA 3110, and 2026 SEC Exam Priorities Every registered investment adviser (RIA) operates under a specific statutory duty: ...
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10 Min Read

RIA Compliance Software: The 206(4)-7 Supervision Gap

Why Your Compliance Stack Fails 206(4)-7's Portfolio Supervision Test Walk into any well-run RIA and you will find a mature RIA compliance software stack: a ...
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14 Min Read

Documenting IPS Supervision Under 206(4)-7: A Framework

Documenting IPS Supervision Under 206(4)-7: A Framework CCOs Can Defend in an Exam Most CCOs at mid-sized RIAs can describe their IPS supervision process in a hallway ...
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11 Min Read

Portfolio Supervision Under Rule 206(4)-7 for RIAs

Portfolio Supervision Under Rule 206(4)-7: What IPS Intelligence Means for Growing RIAs Most CCOs at growing RIAs have felt this shift. At 10 advisors, investment supervision is a ...
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12 Min Read

Share Class Suitability for Retirement Accounts: What RIAs and Broker-Dealers Must Know

See ComplianceIQ's retirement account share class compliance → An R3 share in a 401(k) plan may be entirely appropriate. The same R3 share in a retail IRA is almost certainly an ...
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