hamburger
Book a Demo
sign-1
Book a Demo
hamburger
sign-1
Book a Demo
hamburger

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.

View all blogs

Choose category

11 Min Read

SEC Compliance Officer for RIAs: Roles and Responsibilities

The CCO role has changed significantly since Rule 206(4)-7 was adopted in December 2003 and took effect in February 2004. What began as a part-time, policy-management function has ...
Read More
17 Min Read

Documenting RIA Suitability in the Advice Process

See how OperationsIQ handles suitability documentation at scale We'll walk through how your firm's paperwork flows from intake to your CRM — including what happens during an ...
Read More
15 Min Read

Held Away Assets: A Practical Guide for Financial Advisors

Last updated: May 23, 2026 · By Akhil Lodha
Read More
20 Min Read

Portfolio Concentration Risk: A Practical Guide for RIAs

Last updated: May 23, 2026 · By Akhil Lodha Every RIA carries a few client portfolios that should keep the CCO up at night. The founder who will not sell the employer stock that ...
Read More
| | | | 17 Min Read

AI Brokerage Statement Extraction: How RIAs Turn Statements Into Audit-Ready Data

Last updated: May 13, 2026 · By Akhil Lodha Brokerage statements are the most overlooked compliance data source in a wealth management firm. Every household sends them in. Every ...
Read More
| | 19 Min Read

Best Financial Document Extraction Vendors for RIAs (2026)

Last updated: May 13, 2026 · By Akhil Lodha Financial document extraction software for RIAs spans three distinct sub-markets — tax-return parsing, estate document review, and ...
Read More
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 ...
Read More
12 Min Read

Scaling RIA Compliance Past 50 Advisors | StratiFi

Scaling 206(4)-7 Compliance Past 50 Advisors Somewhere between 40 and 60 advisors, most RIAs discover that scaling RIA compliance is not the problem it was at 10. The rulebook has ...
Read More
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 ...
Read More
16 Min Read

AI Document Extraction for RIAs | StratiFi

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 ...
Read More
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.
Read More
Prev 1 2 3 4 5 Next

Subscribe and stay up-to date with the latest from StratiFi

Frame 1321319448

Choose The Future. Choose Independence. Choose StratiFi.

Book a demo