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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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14 Min Read

Documenting IPS Supervision Under 206(4)-7: A Framework

Documenting IPS Supervision Under 206(4)-7 Most CCOs at mid-sized RIAs can describe their IPS supervision process in a hallway conversation: the firm reviews accounts against the ...
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11 Min Read

Portfolio Supervision Under Rule 206(4)-7 for RIAs

Portfolio Supervision Under Rule 206(4)-7 Most CCOs at growing RIAs have felt this shift. At 10 advisors, investment supervision is a conversation. At 50, it's a process. At 150, ...
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12 Min Read

Share Class Suitability for Retirement Accounts | StratiFi

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

RIA Compliance 2026: Prove It, Don't Just Say It | StratiFi

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 for RIAs | StratiFi

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 Wealth Management Software | StratiFi

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

Fix Mutual Fund Share Class Violations | StratiFi

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 2026 | StratiFi

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

12b-1 Fees: RIA Compliance Risk & Detection | StratiFi

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

Portfolio Management Software for Advisors | StratiFi

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

Share Class Conflicts: RIA Compliance Guide | StratiFi

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

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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