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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

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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10 Min Read

Investment Adviser Compliance in 2026: Everything You Need to Know

Investment adviser compliance has changed significantly over the past decade. At one point in time, it centered on maintaining written policies and completing annual reviews. But ...
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8 Min Read

Share Class Monitoring Software for RIAs and Broker-Dealers: What to Look For

See ComplianceIQ's Share Class Exceptions module in action → Related practice: how to identify and fix share-class violations. Most RIA compliance software wasn't built for share ...
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19 Min Read

7 Best Software for Wealth Managers (How to Choose One in 2026)

Managing a modern wealth management firm is no longer just about advising clients.
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10 Min Read

How to Identify and Fix Mutual Fund Share Class Violations Across Client Portfolios

The question isn't whether you have mutual fund share class violations — most RIAs and broker-dealers managing discretionary client assets do. The question is whether you find ...
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8 Min Read

Wealth Management Compliance in 2026: Everything You Need to Know

Compliance has always been part of advisory work. However, its role has fundamentally changed.
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9 Min Read

What Are 12b-1 Fees — And When Do They Create a Compliance Problem for RIAs?

Automate share class conflict detection with ComplianceIQ → Related practice: how to identify and fix share-class violations. Most RIA compliance teams know 12b-1 fees exist. Far ...
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11 Min Read

6 Best Financial Advisor Portfolio Management Software (2026)

Selecting financial advisor portfolio management software is a consequential tech decision for advisory firms. It shapes how portfolios are constructed, how decisions are ...
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14 Min Read

Mutual Fund Share Classes: The Complete Guide for RIAs, Broker-Dealers, and Hybrid Firms

See how ComplianceIQ flags share class conflicts automatically → Related practice: how to identify and fix share-class violations. Mutual fund share classes are one of the most ...
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5 Min Read

AI-Powered Data Extraction for Financial Advisors: Everything You Need to Know

Advisory firms generate enormous amounts of information, but much of it stays trapped inside PDFs, statements, onboarding forms, and review documents. Humans can read that ...
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5 Min Read

Portfolio Risk Management Software: What Modern RIAs Should Look for

For modern advisory firms, portfolio risk is a visible, ongoing responsibility. Clients expect clear explanations of how their portfolios behave in different conditions, while ...
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14 Min Read

Best Compliance Automation Platforms in 2026 (and What RIAs Should Actually Look For)

Compliance automation platforms are utilized across various industries, including SOC 2 reporting and financial services. Their key goal is to reduce repetitive tasks and ...
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