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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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| 5 Min Read

A Rare Opportunity Your Clients Need to Understand

Over the last number of years, you likely had to tell your clients the importance of being defensive. This is despite markets rallying to new highs month after month, year after ...
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| 5 Min Read

Calming Your Clients – How to Position Volatile Markets

Source: Stockcharts These are stressful times. When the markets are strong, advisors can keep their client base on autopilot and can grow at the pace they want. However, at times ...
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| 4 Min Read

Tail Risk – Your Clients Don’t Understand It … Yet

If you thought the last few weeks in the markets were bad, you did not go to bed very happy Monday evening on March 3rd. Market breakers got triggered, and it was a historic day ...
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| 3 Min Read

Good Investment Coaches are Indispensable to Their Clients

When clients hire financial advisors, there’s an expectation that their advisor will work with them to develop an investment strategy that reflects their investment profile. ...
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| 3 Min Read

4 Steps Advisors Should Take To Strengthen Compliance

As regulatory activity in the wealth management industry hits a fever pitch, financial advisors and their firms are increasingly finding themselves at odds with compliance ...
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| 3 Min Read

Thought Leadership: Advisor Brand Edge | StratiFi

You are your brand. Your brand is you. You may never think that this is a top business priority as a financial advisor, but your clients – current and prospective – crave ...
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| 4 Min Read

Four Reasons Financial Advisors Must Embrace Technology

The future is now. Financial advisors who can see it, and grab it, have an advantage over their competitors. While it is popular for some financial advisors to lament the rise of ...
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| 3 Min Read

How To Avoid Email Marketing Mistakes

For many financial advisors, email marketing is an effective way to communicate with their target market. Advisors favor email because, once it’s set up, it is easy to manage – ...
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| 4 Min Read

Specialization May Be Financial Advisors’ Quickest Path to Success

Most financial advisors begin their careers as generalists, offering a full range of investment and insurance products to anyone who will see them. Some remain as product ...
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