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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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6 Min Read

Shadow AI Is Already in Your Firm — Here's What the SEC Will Ask

Last updated: 2026-08-18 · By Akhil Lodha Shadow AI — personnel using AI tools the firm never approved — is already happening inside most RIAs, whether or not leadership knows it. ...
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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 ...
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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 ...
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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 ...
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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 ...
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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 ...
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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.
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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. ...
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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.
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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.
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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 ...
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18 Min Read

6 Best Broker-Dealer Compliance Software Platforms in 2026

Broker-dealers operate under a compliance architecture that most general-purpose tools were never built to carry. FINRA Rule 3110 mandates written supervisory procedures (WSPs), ...
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