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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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13 Min Read

Compliance Automation Reporting Tools: How RIAs and Broker-Dealers Stay Audit-Ready before Exams Happen

For RIAs and broker-dealers, regulatory exams still trigger a cycle of disruption. Teams scramble through spreadsheets, email threads, custodian exports, and shared drives to ...
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20 Min Read

8 Best Finance Compliance Software for RIAs and Broker-Dealers (2026 Buyer’s Guide)

Compliance expectations for RIAs and broker-dealers continue to rise. These expectations are driven by Reg BI enforcement, evolving suitability standards, increased exam ...
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31 Min Read

Top AI Compliance Solutions for Financial Services firms: Use Cases, Examples, and Top 6 Options

For RIAs and broker-dealers, compliance has become a daily operating challenge. Best-interest expectations under Reg BI, suitability alignment, share-class oversight, ...
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10 Min Read

How RIAs and Broker-Dealers Can Turn Compliance Documentation into a Strategic Advantage

Compliance documentation is a top priority for RIAs and broker-dealers, particularly larger firms that operate squarely in regulators’ line of sight. Dedicated teams and formal ...
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32 Min Read

AI Wealth Management System for Modern Advisory Firms: A Complete Guide for RIAs and Broker-Dealers

The advisory industry is approaching a critical moment as four structural pressures converge. These forces are defining which firms will scale into the next decade and which will ...
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| | 11 Min Read

PRISM 2.0: A New Era in Risk Assessment

Risk assessment just got a major upgrade. After four months of intensive development and testing, PRISM 2.0 is here. It's not just an update—it's a complete reimagining of how we ...
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| 2 Min Read

Navigating Risk: Pre-Trade Compliance for Wealth Management Firms

Explore the importance of pre-trade compliance in managing risks for wealth management firms and how to navigate these challenges effectively.
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| 12 Min Read

Beginner’s Guide to Uncovering Hidden Dimensions of Risk In Client Investment Portfolios

A well-diversified investment portfolio is a key component of any financial plan and as an experienced financial advisor, you know that risk is inherent in any investment. ...
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| 3 Min Read

January Product Enhancements

Over the past several months, we’ve made many product enhancements including two-factor authentication, enabling a team section for advisors, adding yielded dividends to ...
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| | 10 Min Read

Envestnet | MoneyGuide: Improving Clients’ Understanding of Risk with StratiFi

The financial technology market is huge. This is the era where people are seeking the help of financial advisors to help them manage and grow their wealth. Regardless of what you ...
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| 11 Min Read

Investment Policy Statement Software for RIAs

Given recent periods of exceptional market volatility and predicted reduced investment returns over the market cycle, institutional and high-net-worth clients, such as mutual ...
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