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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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| 4 Min Read

The Long and Short of Investing

For much of the past decade, investment profits have flowed to anyone who simply bought stocks and sat tight. But now the stock market is beginning to show signs of aging. ...
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| 4 Min Read

Why Advisors Need to Offer Private Equity to Their HNW Clients

One of the key lessons of the 2018 investment year is that extreme volatility can wreak havoc on investment portfolios, even those that are thought to be relatively safe due to ...
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| 4 Min Read

The Danger of Index Funds

The recent stock market decline is a stark reminder to investors that there is risk in index funds. This is coming as a shock to many. After years of quantitative easing, ...
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| 5 Min Read

Now is not the Time for Advisors to Cut Back on Their Marketing

In 2018, volatility in the stock market returned with a vengeance, catching most investors and many advisors off guard. Advisors, who have experienced at least a couple of market ...
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| 4 Min Read

Is it Time to Add a Tactical Strategy to Your Asset Allocation Plans?

One thing we can say for certain is that, after a 10-year bull run with minimal volatility, the market is due for a change. With the return of extreme volatility this year and a ...
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| 4 Min Read

What Does Your Online Presence Say About Your Advising Business?

You have an online presence, either intentionally or unintentionally, or both. Go ahead and “Google” yourself or the name of your firm. Does anything come up on the first page of ...
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| 2 Min Read

StratiFi Wins Award For Best Compliance Technology

San Francisco, September 13, 2019 – StratiFi Technologies Inc., which is democratizing risk management to help financial advisors and their clients make better financial ...
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| 4 Min Read

To Grow, RIA Firms Must Achieve Scale without Sacrificing Specialization

Leading RIA firms understand that the key to profitable growth is to optimize their ability to specialize in their core business functions of client management and business ...
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| 4 Min Read

The Higher Purpose of Financial Advisors

More than any other type of professional advisor – be it a doctor, a lawyer, an accountant or a counselor – financial advisors have an extraordinary opportunity to build a ...
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| 3 Min Read

The Great Wealth Transfer: Will You Be Left Behind?

It may be the closest thing to a blind side that financial advisors will ever experience. The theme is becoming more commonplace: The husband of a couple you’ve worked with for 10 ...
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| | 5 Min Read

Getting to the Next Level with an Associate Advisor

Anyone with an ambition of getting to the next level and beyond is bound to reach a critical juncture when they realize that what got them to where they are isn’t enough to propel ...
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