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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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10 Min Read

7 Investment Proposal Software for Advisors and RIAs to Try in 2026

Investment proposal software was designed for a simple advisory model.
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11 Min Read

FINRA Rule 2111 and Excessive Trading: What RIAs and Hybrid Firms Need to Know

Most CCOs at hybrid firms know FINRA Rule 2111 exists. It appears in compliance training materials, in WSP templates, and in FINRA exam preparation guides. What most hybrid firm ...
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7 Min Read

How to Choose the Right SEC Compliance Software for Your RIA

SEC examinations are becoming broader, more data-driven, and increasingly focused on how advisory firms supervise client portfolios over time. For many RIAs, the bigger challenge ...
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12 Min Read

How to Set Trading Activity Thresholds for Your RIA Compliance Program

The SEC provides no bright-line rule on trade frequency. This is not a relief for compliance officers — it is a compliance burden. When the regulator declines to set the number, ...
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12 Min Read

What Is the Wash Sale Rule and How Does It Affect RIA Compliance?

Most RIAs treat wash sales as a client tax problem. When a client realises a loss on a security and their advisor repurchases a substantially identical security within 30 days, ...
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12 Min Read

Best SEC Compliance Solutions for RIAs and Broker-Dealers in 2026 (Buyer’s Guide)

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| 10 Min Read

SEC Trading Activity Monitoring for RIAs in 2026: What's Changed

In March 2026, StratiFi attended the IAA Annual Conference where the SEC's Division of Examinations presented their 2026 exam framework directly. The SEC exam priorities 2026, ...
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13 Min Read

What Is Churning in Finance? A Complete Guide for RIAs

In March 2026, the SEC's Division of Examinations named dually registered advisers — firms operating as both RIAs and broker-dealers — as a named focus area for trading activity ...
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11 Min Read

What is a Unified Wealth Platform? A Practical Guide for Modern RIAs

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11 Min Read

SEC Compliance Requirements for RIAs in 2026: A Practical Guide

SEC compliance requirements require RIAs and broker-dealers to go beyond merely having written policies or conducting regular reviews. They expect registered investment advisors ...
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21 Min Read

Best RIA Compliance Software Platforms in 2026 (Complete Buyer’s Guide)

For RIAs, compliance is no longer a periodic obligation handled during scheduled reviews or annual audits.
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4 Min Read

Stop Chasing Spreadsheets: StratiFi's New Client Reviews Feature Automates Your Compliance Workflow

Most advisory firms know they need to conduct regular client reviews. Fewer have a system that actually makes it easy.
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